CONNECTICUT PRACTICE BOOK

OFFICIAL

2024

(Revision of 1998)

OFFICIAL

2024

CONNECTICUT PRACTICE BOOK

(Revision of 1998)

CONTAINING

RULES OF PROFESSIONAL CONDUCT

CODE OF JUDICIAL CONDUCT

RULES FOR THE SUPERIOR COURT

RULES OF APPELLATE PROCEDURE

APPENDIX OF FORMS

NOTICE REGARDING OFFICIAL JUDICIAL BRANCH FORMS

Published by

The Commission on Official Legal Publications

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

EXPLANATORY NOTES

The Superior Court Rules as organized herein were first published in the Connecticut Law

Journal dated July 29, 1997. This 2024 edition of the Practice Book contains amendments to the

Rules of Professional Conduct, the Superior Court Rules and the Rules of Appellate Procedure.

The amendments were published in the Connecticut Law Journals dated June 20, 2023, and

July 11, 2023. In the 2024 edition, technical changes were made in order to conform the

rules to the style adopted by the courts.

The system used to number each section is based on the chapter in which the section is

located. Each section has a two part number. The first part of the number designates the chap-

ter, and the second part designates the number of the section within that chapter (Chapter

1 begins with 1-1, Chapter 2 with 2-1, etc.). The internal breakdown of individual rules follows

the style of the General Statutes. Subsections are designated by lower case letters in paren-

theses, (a), (b), subdivisions are designated by numbers in parentheses, (1), (2), and subpara-

graphs are designated by upper case letters in parentheses, (A), (B).

Origin of the rules. A parenthetical notation about the origin of each rule is found at the

end of every section in this volume. The notation (P.B. 1978-1997, Sec. ) indicates the

number of the section in the 1978-1997 Practice Book corresponding to the current section.

Current numbers of any sections corresponding to the sections in the 1978-1997 Practice

Book appear in the Reference Tables following the text of the rules. The notation (1998)

indicates that the section was new in the 1998 Practice Book, taking effect October 1, 1997.

The notation (See P.B. 1978-1997, Sec. ) (1998) indicates that the section was modeled

on a rule in the 1978-1997 Practice Book but was actually adopted for the first time to take

effect October 1, 1997. There may be significant differences between the rules in this volume

and those in the 1978-1997 Practice Book on which they were modeled. The temporary num-

bers assigned to those rules in the July 29, 1997 Connecticut Law Journal, where they were

originally published, appear in the Reference Tables following the text of the rules.

When a section was adopted or amended after 1997, a parenthetical notation to that effect

appears either immediately following the text of the section or following the parenthetical nota-

tion concerning the derivation of the section. When the title to a section has been amended,

a parenthetical notation appears immediately following the title.

Histories and commentaries. Histories describing the nature of amendments and Com-

mentaries indicating the intended purpose of new rules or amendments to existing rules are

printed following the text of new or amended rules. Histories and Commentaries are included

for only those rules that were adopted or amended to take effect in the year corresponding

to the current edition of the Practice Book, with the following exceptions: (1) the Histories

and Commentaries to the rules on sealing of files and closure of the courtroom will be retained

on a cumulative basis; (2) the 2014 and 2021 Commentaries to Section 1-10B, the 2021

Commentary to Section 1-11C, the 2017 Commentary to Section 2-27A, the 2022 Commentary

to Section 25-6A and the 2022 Commentary to Section 37-1 have been retained; and (3)

Commentaries to certain sections of the Rules of Appellate Procedure have been retained.

Users wanting to access the Histories documenting rule changes and Commentaries to new

or amended rules, in a given year, should not discard the corresponding edition of the Practice

Book. For example, Histories and Commentaries corresponding to rule changes to take effect

January 1, 2024, will appear only in the 2024 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

iii

and Code of Judicial Conduct are adopted by the judges and justices and are printed in every

edition of the Practice Book.

Beginning in 2000, Amendment Notes were incorporated into the Rules of Professional

Conduct and the Code of Judicial Conduct. Those notes, approved by the Rules Committee

of the Superior Court to explain the revisions to the Rules of Professional Conduct and Code

of Judicial Conduct, appear only in the edition of the Practice Book corresponding to the year

of the revision and not in subsequent editions.

Every year, certain nonsubstantive, technical editorial changes are made to a number of

the rules. Some, but not all, of these changes are explained in Technical Change notes.

The Rules of Appellate Procedure. The reorganization of the Rules of Appellate Procedure

in 1998 was completed subsequent to the publication of the July 29, 1997 Connecticut Law

Journal and was published in this volume for the first time in 1998. The goal in reorganiz-

ing the Rules of Appellate Procedure was to present them in the order in which an appellant

might approach the appeal process, i.e., rules on whether to appeal, how to file, what to do

next, when argument will take place, opinions and reargument. Rules on various special pro-

ceedings were organized into separate chapters. No substantive changes were made in the

course of reorganization, but there were editorial changes.

Two versions of certain rules pertaining to briefing and the preparation of the appellate

record were published in the 2022 and 2023 editions of the Practice Book. A parenthetical

indicated whether each rule was applicable to appeals filed before October 1, 2021, or

applicable to appeals filed on or after October 1, 2021. Only one version of those rules is

included in the 2024 edition, and the parentheticals have been removed. The appellate clerk’s

office can provide guidance regarding appeals filed before October 1, 2021.

Juvenile matters. Effective January 1, 2003, the rules pertaining to procedure in juvenile

matters were amended and reorganized. The amendments initially were published in the

Connecticut Law Journal of July 23, 2002. The July 23, 2002 Connecticut Law Journal gave

notice that the rules on juvenile matters, which, since 1998, had been found in Chapters 26

through 35, had been moved to Chapters 26a through 35a. In the Practice Book itself, however,

the original numbers of the juvenile rules were retained whenever possible.

Appendices and notices. In 2002, an Appendix was added following the Index. The Appen-

dix contains certain forms that previously had been in Volume 2 of the 1978-1997 Practice

Book. The Appendix of Superior Court Standing Orders, which was added in 2010, was removed

in 2012. A notice referring the reader to the Judicial Branch website for access to the Superior

Court Standing Orders was substituted in its place. The Index of Official Judicial Branch Forms

Used in Civil, Family and Juvenile Matters, which was added in 2010, was removed in 2018. A

notice referring the reader to the Judicial Branch website for access to official Judicial Branch forms

was substituted in its place. In 2021, a Temporary Appendix was added noting various changes

enacted by the Rules Committee of the Superior Court, and subsequently adopted by the judges

of the Superior Court, pursuant to Section 1-9B, in response to the public health emergency and

the civil preparedness emergency initially declared by Governor Lamont on March 10, 2020, and

then renewed by him on September 1, 2020, and January 26, 2021. The public health emergency

has expired, and the Temporary Appendix and corresponding appendix notes have been removed

in the 2024 edition.

TABLE OF CONTENTS

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

Rules of Professional Conduct

Preamble. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1

Scope . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2

Rules and Commentaries . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4

Code of Judicial Conduct

Preamble. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 66

Scope . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 66

Terminology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 67

Application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 68

Canons, Rules and Comments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 69

Superior Court Rules and Rules of Appellate Procedure

Chapter and Section Headings of the Rules . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 83

Superior Court—General Provisions

Chapter 1 Scope of Rules . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 104

Chapter 2 Attorneys. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 114

Chapter 3 Appearances . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 168

Chapter 4 Pleadings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 174

Chapter 5 Trials . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 177

Chapter 6 Judgments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 180

Chapter 7 Clerks; Files and Records . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 182

Superior Court—Procedure in Civil Matters

Chapter 8 Commencement of Action . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 189

Chapter 9 Parties . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 191

Chapter 10 Pleadings. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 197

Chapter 11 Motions, Requests, Orders of Notice and Short Calendar. . . . . . . . . . . . . . . 209

Chapter 12 Transfer of Actions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 218

Chapter 13 Discovery and Depositions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 219

Chapter 14 Dockets, Trial Lists, Pretrials and Assignment Lists . . . . . . . . . . . . . . . . . . 239

Chapter 15 Trials in General; Argument by Counsel . . . . . . . . . . . . . . . . . . . . . . . . 246

Chapter 16 Jury Trials . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 248

Chapter 17 Judgments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 254

Chapter 18 Fees and Costs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 266

Chapter 19 References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 269

Chapter 20 Hearings in Chambers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 272

Chapter 21 Receivers. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 273

Chapter 22 Unemployment Compensation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 277

Chapter 23 Miscellaneous Remedies and Procedures . . . . . . . . . . . . . . . . . . . . . . . 279

Chapter 24 Small Claims . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 289

Superior Court—Procedure in Family Matters

Chapter 25 General Provisions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 296

Superior Court—Procedure in Family Support Magistrate Matters

Chapter 25a Family Support Magistrate Matters . . . . . . . . . . . . . . . . . . . . . . . . . . . 318

Superior Court—Procedure in Juvenile Matters

Chapter 26 General Provisions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 327

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

Chapter 27 Reception and Processing of Delinquency Complaints or Petitions . . . . . . . . . 330

Chapter 28 Delinquency and Family with Service Needs Nonjudicial Supervision [Repealed] . 333

Chapter 29 Reception and Processing of Delinquency Petitions and Delinquency Informations 334

Chapter 30 Detention . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 335

Chapter 30a Delinquency Hearings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 338

Chapter 31 Delinquency and Family with Service Needs Hearing [Repealed] . . . . . . . . . . 341

Chapter 31a Delinquency Motions and Applications. . . . . . . . . . . . . . . . . . . . . . . . . 342

Chapter 32 Neglected, Uncared for and Dependent Children and Termination of Parental Rights

[Repealed] . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 346

Chapter 32a Rights of Parties, Neglected, Abused and Uncared for Children and Termination

of Parental Rights . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 347

Chapter 33 Hearings concerning Neglected, Uncared for and Dependent Children and Termina-

tion of Parental Rights [Repealed] . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 350

Chapter 33a Petitions for Neglect, Uncared for, Dependency and Termination of Parental Rights:

Initiation of Proceedings, Orders of Temporary Custody and Preliminary Hearings . . . . . 351

Chapter 34 Rights of Parties [Repealed] . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 355

Chapter 34a Pleadings, Motions and Discovery Neglected, Abused and Uncared for Children

and Termination of Parental Rights . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 356

Chapter 35 General Provisions [Repealed] . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 361

Chapter 35a Hearings concerning Neglected, Abused and Uncared for Children and Termination

of Parental Rights . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 362

Superior Court—Procedure in Criminal Matters

Chapter 36 Procedure Prior to Appearance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 373

Chapter 37 Arraignment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 377

Chapter 38 Pretrial Release . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 381

Chapter 39 Disposition without Trial. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 390

Chapter 40 Discovery and Depositions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 395

Chapter 41 Pretrial Motions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 405

Chapter 42 Trial Procedure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 409

Chapter 43 Sentencing, Judgment, and Appeal . . . . . . . . . . . . . . . . . . . . . . . . . . . 421

Chapter 44 General Provisions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 431

Rules of Appellate Procedure

Chapter 60 General Provisions Relating to Appellate Rules and Appellate Review . . . . . . . 439

Chapter 61 Remedy by Appeal . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 443

Chapter 62 Chief Judge, Appellate Clerk and Docket: General Administrative Matters . . . . . 452

Chapter 63 Filing the Appeal; Withdrawals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 457

Chapter 64 Procedure concerning Memorandum of Decision . . . . . . . . . . . . . . . . . . . 465

Chapter 65 Transfer of Matters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 466

Chapter 66 Motions and Other Procedures. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 467

Chapter 67 Briefs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 473

Chapter 68 Case File and Clerk Appendix . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 484

Chapter 69 Assignment of Cases for Argument . . . . . . . . . . . . . . . . . . . . . . . . . . . 487

Chapter 70 Arguments and Media Coverage of Court Proceedings . . . . . . . . . . . . . . . . 488

Chapter 71 Appellate Judgments and Opinions . . . . . . . . . . . . . . . . . . . . . . . . . . . 491

Chapter 72 Writs of Error. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 493

Chapter 73 Reservations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 496

Chapter 74 Decisions of Judicial Review Council . . . . . . . . . . . . . . . . . . . . . . . . . . 498

Chapter 75 Appeals from Council on Probate Judicial Conduct . . . . . . . . . . . . . . . . . . 500

Chapter 76 Appeals in Workers’ Compensation Cases . . . . . . . . . . . . . . . . . . . . . . . 501

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

Chapter 77 Procedures concerning Court Closure and Sealing Orders or Orders Limiting the

Disclosure of Files, Affidavits, Documents or Other Material . . . . . . . . . . . . . . . . . 503

Chapter 78 Review of Grand Jury Record or Finding Order . . . . . . . . . . . . . . . . . . . . 506

Chapter 78a Review of Orders concerning Release on Bail . . . . . . . . . . . . . . . . . . . . 507

Chapter 78b Review of Orders Denying Application for waiver of Fees to Commence a Civil

Action or a Writ of Habeas Corpus. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 508

Chapter 79 Appeals in Juvenile Matters [Repealed] . . . . . . . . . . . . . . . . . . . . . . . . . 509

Chapter 79a Appeals in Child Protection Matters . . . . . . . . . . . . . . . . . . . . . . . . . . 510

Chapter 80 Appeals in Habeas Corpus Proceedings Following Conviction . . . . . . . . . . . . 516

Chapter 81 Appeals to Appellate Court by Certification for Review in Accordance with General

Statutes Chapters 124 and 440 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 517

Chapter 82 Certified Questions to or from Courts of Other Jurisdictions . . . . . . . . . . . . . 520

Chapter 83 Certification Pursuant to General Statutes § 52-265a in Cases of Substantial Public

Interest . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 522

Chapter 84 Appeals to Supreme Court by Certification for Review . . . . . . . . . . . . . . . . 523

Chapter 84a Matters within Supreme Court’s Original Jurisdiction in which Facts May Be Found 527

Chapter 85 Sanctions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 528

Chapter 86 Rule Changes; Effective Date; Applicability. . . . . . . . . . . . . . . . . . . . . . . 529

Tables and Index

Reference Table 1978-1997 to 1998 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 531

Reference Table 1998 to 1978-1997 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 544

Table of Statutes Noted . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 555

Index . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 559

Appendix: Forms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 595

Official Judicial Branch Forms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 683

Superior Court Standing Orders . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 684

vii

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

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 respon-

sibility 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 negotiator, a

lawyer seeks a result advantageous to the client

but consistent with requirements of honest dealing

with others. As evaluator, a lawyer examines 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 non-

representational 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 law-

yers 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 conduct of a business

is subject to discipline for engaging in conduct

involving dishonesty, fraud, deceit or misrepre-

sentation. See Rule 8.4.

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 require-

ments of the law, both in professional service 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 neces-

sary, to challenge the rectitude of official 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

secure adequate legal counsel. A lawyer should

RULES OF PROFESSIONAL CONDUCT

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 responsibili-

ties are prescribed in the Rules of Professional

Conduct, 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 pub-

lic 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 remain-

ing an ethical person while earning a satisfactory

living. The Rules of Professional Conduct often

prescribe terms for resolving such conflicts. Within

the framework of these Rules, however, many dif-

ficult issues of professional discretion can arise.

Such issues must be resolved through the exer-

cise 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 pursue a client’s legiti-

mate interests, within the bounds of the law, while

maintaining a professional, courteous and civil

attitude toward all persons 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 profession is

unique in this respect because of the close rela-

tionship between the profession and the processes

of government and law enforcement. This connec-

tion is manifested in the fact that ultimate authority

over the legal profession is vested largely in the

courts.

To the extent that lawyers meet the obliga-

tions of their professional calling, the occasion for

government regulation is obviated. Self-regulation

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 professio n has a responsibi lity 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 lawyer is

responsible for observance of the Rules of Profes-

sional Conduct. A lawyer should also aid in secur-

ing their observance by other lawyers. Neglect of

these responsibilities compromises the indepen-

dence 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 dis-

cipline. 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 con text shap-

ing the lawyer’s role. That context includes court rules

and statutes relating to matters of licensure, laws

defining specific obligations of lawyers and substan-

tive and procedural law in general. Compliance with

the Rules , as wi th all law in an open society, depends

primarily upon understanding and voluntary com-

pliance, secondarily upon reinf orcement by peer and

public opinion and finally, when necessary, upon

enforcement through disciplinary proceedings. The

Rules do not, however, exhaust the moral and ethica l

consideration s that should inform a lawyer, for no

worthwhile human activity can be completely defined

by legal rules. The Ru les simply provid e a framework

for the ethical practice of law.

RULES OF PROFESSIONAL CONDUCT

Furthermore, for purposes of determining the

lawyer’s authority and res ponsibility, principl es of sub-

stantive law external to these Rules determine

whether a client-lawyer relationship exists. Most of

the duties flowing from the client-lawyer relationship

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

confidentiali ty 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-lawyer relatio nship exists for any

specific purpose can depend on the circumstances

and may be a question of fact.

Under var ious legal p rovisions, including constitu-

tional, statutory and common law, the r esponsibilities

of government lawyers may include authority con-

cerning legal matters that ordinarily reposes in the

client in private client-lawyer relationships. For exam-

ple, a lawyer for a governme nt agency may have

authority on behalf of the government to decide upon

settlement or whether to appeal from an adverse

judgment. Such autho rity in various respect s is gener-

ally vested in the attorney general and the state’s

attorney in state gov ernment, an d their federal coun-

terparts, and the same may be true of other govern-

ment law officers. Also, lawyers under the supervision

of these o fficers may be authoriz ed to repres ent sev-

eral government agencies in intragovernmen tal le gal

controversies in circumstances where a private law-

yer could not represent mul tiple private clients. They

also may have au thority to represent th e ‘‘pu blic inter-

est’’ in circumstances where a private lawyer would

not be authorized to do so. These Rules do not abro-

gate any such authority.

Failure to comply with an obligation or prohibition

imposed by a Rule is a basis for invoking the discipl in-

ary process. The Rules presuppose that disciplin-

ary assessment of a lawyer’s conduct will be made

on the basis of the facts and circumstances 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 incomplete evidence of the

situation. Moreover, the Rules presuppose that

whether or not discipline should be imposed for a

violation, and the severit y of a sancti on, depend on

all the circumstance s, such as the wilfulness and

seriousness of the violation, extenuating factors and

whether there have been previous violations.

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 nondisc iplinary rem-

edy, such as disquali fication of a lawyer in pending

litigation. Th e Rules are designed to provid e guidance

to lawyers and to provide a struct ure 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 sanctioni ng a lawyer

under the administration of a discipli nary authority,

does not imply that an antagonist in a collateral pro-

ceeding or transacti on has standing to seek e nforce-

ment of the Rule. Nevertheless, since the Rules do

establish stan dards of con duct by lawy ers, a lawye r’s

violation of a Rule ma y be evidence of breach o f the

applicable standard of conduct.

Moreover, these Rules are not intended to gov-

ern or aff ect judicial application of e ither the at torney-

client or work p roduct privilege. Those privileges were

developed to promote compliance with law and fair-

ness in litigation. In reliance on the attorney-client

privilege, clients are entitled to exp ect th at communi-

cations within the scope of the privile ge will be pro-

tected against compelled disclosure. The attorney-

client privile ge is that of the client a nd not of the law-

yer. The f act that in exceptional situa tions the lawyer

under the Rules has a limite d discretion to disclose

a client confidence does not vitiate the proposition

that, as a general matter, t he cli ent has a reasonable

expectation 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 attor-

ney-client and work product privileges.

The lawye r’s ex ercise of discretion not to disclose

information under Rule 1.6 should not be subject to

reexamination . Perm itting such reexamination would

be incompatible with the general policy of promoting

compliance with law through assurance s that com-

munications 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 interpreta tion, but the text of

each Rule is authorit ative. Commentaries do not ad d

obligations to the Rules but provide guidanc e for

practicing in compliance with the Rules. The Com-

mentaries are sometimes used to alert lawyers to

their responsi bilities under other law, such as court

rules and statutes relating to matters of licensure,

laws defining specific obligations of lawyers and sub-

stantive and procedural law in general.

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

RULES OF PROFESSIONAL CONDUCTRule 1.0

RULES OF PROFESSIONAL CONDUCT

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 Gov-

ernment 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 ‘‘believ es’’ denotes that the person

involved actua lly suppose d the fact in question to be

true. A person’s belief may be inferred from circum-

stances.

(b) ‘‘Client’’ or ‘‘person ’’ as used in these Rules

includes an authorized representative unless other-

wise stated.

to the informed consent of a person, denotes

informed consent that is given in writing by the person

or a writing that a lawyer promptly transmits to the

Rule

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 Services

Programs

Information about Legal Services

7.1. Communications concerning a Lawyer’s Services

7.2. Communications concerning a Lawyer’s Services: Spe-

cific Rules

7.3. Solicitation of Clients

7.4. Communication of Fields of Practice [Repealed]

7.4A. Certi fica tio n as S pec iali st

7.4B. Legal Specialization Screening Committee

7.4C. Application by Board or Entity To Certify Lawyers as Spe-

cialists

7.5. Firm Names and Letterheads [Repealed]

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

person confirm ing an oral informed con sent. See sub-

section (f) for the definition of ‘‘informed consent.’’ If

it is not feasible to obtain or transmit the writing at

the time t he per son gives in formed consent, t hen the

lawyer must obtain or transmit it within a reasonable

time thereafter.

(d) ‘‘Firm’’ or ‘‘law firm’’ deno tes a lawyer or lawyers

in a law partnership, professional corporation, sole

proprietorshi p or ot her association authorized to prac-

tice law; or lawyers employed in a legal services

organization or the l egal d epartment o f a corporation

or other organization.

RULES OF PROFESSIONAL CONDUCT Rule 1.0

(e) ‘‘Fraud’’ or ‘‘fraudulent’’ denotes conduct that

is fraudu lent u nder the substantive or procedural 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 information and

explanation about the material risks of and reason-

ably available alternatives to the proposed course

of conduct.

(g) ‘‘Knowingly,’’ ‘‘known,’’ or ‘‘knows’’ denotes

actual knowledge of the fact in question. A person’s

knowledge may be inferred from circumstances.

(h) ‘‘Partner’’ deno tes a member of a partner ship, a

shareholder in a law firm or ganized as a professional

corporation, or a member of an association author-

ized to practice law.

(i) ‘‘Reasonab le’’ or ‘‘reasonably,’’ when used in

relation to con duct by a lawyer, denote s the conduct

of a reasonably prudent and competent lawyer.

(j) ‘‘Reasonable belief’’ or ‘‘reasonably believes,’’

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 law-

yer 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

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, print-

ing, photostatting, photography, audio or video-

recording 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

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

RULES OF PROFESSIONAL CONDUCTRule 1.0

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 per-

son 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

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

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 compe-

tent 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

RULES OF PROFESSIONAL CONDUCT Rule 1.2

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

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.

tation if the limitation is reasonable under the cir-

cumstances and the client gives informed con-

sent. Such informed consent shall not be required

when a client cannot be located despite reason-

able efforts where the lawyer is retained to repre-

sent a client by a third party that is obligated 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

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

RULES OF PROFESSIONAL CONDUCTRule 1.2

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

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 the lawyer’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

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

RULES OF PROFESSIONAL CONDUCT Rule 1.5

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 lawyer or a lawyer with disabilities).

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.

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

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;

RULES OF PROFESSIONAL CONDUCTRule 1.5

(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 cli-

ent will be responsible, shall be communicated

to the client, in writing, before or within a reason-

able time after commencing the representation,

except when the lawyer will charge a regularly

represented 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)

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.

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

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,

RULES OF PROFESSIONAL CONDUCT Rule 1.6

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. In matters 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

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 autho-

rized 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.

extent the lawyer reasonably believes necessary

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

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.)

RULES OF PROFESSIONAL CONDUCTRule 1.6

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

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

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

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 about the possibility of divorce

RULES OF PROFESSIONAL CONDUCT Rule 1.6

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, such as 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

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

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 that impose 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

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

RULES OF PROFESSIONAL CONDUCTRule 1.6

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).

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 to represent 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

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

RULES OF PROFESSIONAL CONDUCT Rule 1.7

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 serious question, 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

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 con-

flict 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).

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

RULES OF PROFESSIONAL CONDUCTRule 1.7

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

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,

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

RULES OF PROFESSIONAL CONDUCT Rule 1.8

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 can-

not 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 client that 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

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 repre-

sentation, 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.

Rule 1.8. Conflict of Interest: Prohibited

Transactions

(a) A lawyer shall not enter into a business trans-

action, including investment services, with a client

or former client or knowingly acquire an ownership,

possessory, security or other pecuniary interest

adverse to a client or former client unless:

(1) The transaction and terms on which the lawyer

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

RULES OF PROFESSIONAL CONDUCTRule 1.8

in a manner that can be reasonably understood by

the client or former client;

(2) The client or former client is advised in writing

that the client or former client should consider the

desirability of seeking and is given a reasonable

opportunity to seek the advice of independent legal

counsel in the transaction;

(3) The client or former client gives informed con-

sent 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 trans-

action;

(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 transac-

tion, 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 con-

cerning 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 cov-

ered by legal liability insurance or other insurance,

and either (B) that the lawyer will provide legal ser-

vices to the client or former client concerning 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 apply only where the lawyer has either a direct

or indirect control over the invested funds and a

direct or indirect interest in the underlying invest-

ment.

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 con-

clusion of representation has not expired.

(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.

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 sub-

stantial gift, unless the lawyer or other recipient 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 main-

tains 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 substantial part

on information relating to the representation.

(e) A lawyer shall not provide financial assistance

to a client in connection with pending or contem-

plated 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; and

(3) A lawyer representing an indigent client pro

bono; a lawyer representing an indigent client pro

bono through a nonprofit legal services or public

interest organization, a law school clinical or pro

bono program, or a state or local bar association

program; and a lawyer representing an indigent cli-

ent through a public defender’s office may provide

modest gifts to the client to pay for food, shelter,

transportation, medicine and other basic living

expenses. A lawyer may not:

(i) promise, assure or imply the availability of such

gifts prior to retention, or as an inducement to con-

tinue the client-lawyer relationship after retention,

or as an inducement to take, or forgo taking, any

action in the matter;

(ii) seek or accept reimbursement from the client,

a relative of the client, or anyone affiliated with the

client; or

(iii) publicize or advertise a willingness to provide

such gifts to prospective clients.

A lawyer may provide financial assistance permit-

ted by this Rule even if the representation is eligible

for fees under a fee-shifting statute.

(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 inde-

pendence of professional judgment or with the cli-

ent-lawyer relationship; and

(3) Information relating to representation of a cli-

ent is protected as required by Rule 16.

(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

RULES OF PROFESSIONAL CONDUCT Rule 1.8

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 be in writing 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 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 liabil-

ity with an unrepresented client or former client

unless that person is advised in writing of the desir-

ability of seeking and is given a reasonable opportu-

nity to seek the advice of independent legal counsel

in connection therewith.

(i) A lawyer shall not acquire a proprietary interest

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 contin-

gent 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 prohi-

bition in the foregoing subsection (a) through (i) that

applies to any one of them shall apply to all of them.

(P.B. 1978-199 7, Rule 1.8.) (Amended June 26, 2006, to take

effect Jan. 1, 200 7; amended Jun e 29, 2007, to take eff ec t J an.

1, 20 08 ; amended June 11, 202 1, to take effect Jan. 1, 2022. )

COMMEN TA RY: Business Trans act io ns between Client

and Lawye r. Subse cti on (a ) expres sly applies to former clien ts

as well as existing clients. A lawy er ’s legal skill and tra ini ng ,

togeth er with the relationship of trust and confid en ce betwe en

lawyer and client , create the possibil ity of overreachin g when the

lawyer participates in a business , p ro perty or fin an ci al transaction

with a c li ent , for example, a loan or sales transact io n or a law yer

invest me nt on behalf of a c li ent . The require ments of subsection

(a) must be met even when the tran sa ct io n is no t closel y related

to the subjec t matter of the represen ta tio n, as when a lawyer

drafti ng a will for a clien t learns that the client needs money for

unrela te d expenses and offers to make a loan to the clien t. It

also applies to lawyers purchasing property from estates they

repres en t. It does not apply to ordin ar y fee arr ang ements

betwee n client and lawyer, which are governed by Rule 1.5,

althou gh its requireme nt s must be me t when the l awy er accepts

an interest in the client’s busi ne ss or other nonmone ta ry prope rty

as paym en t of al l o r part of a fee. In additio n, the Rule does not

apply to standa rd commercia l transaction s between t he lawyer

and the client for product s or servic es that the clien t genera ll y

market s to others, for exa mp le, bank in g or brokerage services,

produc ts manufactur ed or di str ib ut ed by the client, and utilities’

servic es . In such transactions , the lawyer has no a dv an tage in

dealin g with th e client , and the re st ri ctions in subsecti on (a) ar e

unnece ss ary and impracti ca ble .

Subsec ti on (a) (1) requ ir es that the trans ac tion itself be fair

to the client and that it s essential terms be com mun ic at ed to the

client , in writin g, in a manner that can be reasonab ly underst oo d.

Subsec ti on (a) (2) requir es that the client also be advise d, in

writin g, of the desir ab il it y of seeking the advice of independe nt

legal counsel. It also r eq ui resthat the client be given a reasonab le

opport un ity to obtain such advice. Subsecti on (a) (3) requir es

that the lawyer obtain the clien t’ s inform ed conse nt , in a writing

signed by the client, both to the essent ial terms of the transact io n

and to the lawyer’s role. When necessary, the lawyer should

discus s both the material risks of the proposed transaction,

includ in g any risk presen te d by the lawyer ’s involvement, and

the exist enc e of reasonab ly available alternativ es and should

explai n why the advice of indepe nd en t legal counsel is desirabl e.

See Rul e 1 .0 ( f) (definition of informed co ns en t).

The risk to a client is greatest when the client expects the

lawyer to represent the client in the transac ti on itsel f or when

the l aw ye r’s financial interest otherwis e poses a significant risk

that the lawyer’s representati on of the client will be materially

limite d by the l aw yer ’s financial interest i n the trans action. Here,

the lawye r’s ro le requi re s that th e lawyer must comply, no t only

with the requirement s of subsection (a), but also with the require-

ments of Rule 1.7. Under that Rule, the lawyer must discl os e

the risks associated with the lawyer ’s dual role as both legal

advise r a nd p ar ti cip ant in the transactio n, such as the ri sk t ha t

the lawyer will structu re the transact ion or give legal advice in

a way that favors the lawyer’ s interest s at the expens e of the

client . Moreover, the lawyer must obtain the client’ s informed

consen t. In some case s, the lawy er ’s in ter est may be such that

Rule 1.7 will pr ec lud e t helawyer from seekin g the client’ s consent

to the t ra nsa ct io n.

If the client is indep en de nt ly rep re sented in the trans ac tio n,

subsec ti on (a) (2) of this Rule is inapplicab le , and the subsect io n

(a) (1) requi re me nt for full disclos ur e is sati sfied either by a

writte n disclo su re by the lawyer involved in the transact ion or

by the client’s indep en de nt counsel . The fact that the client

was independen tl y represented in the tran sa ct ion is relevant in

determ in ing whet her th e agreem ent was fair and reasonabl e to

the cli en t as subsection ( a) (1) further re qu ir es.

Use of I nf orm at io n Related t o Re pr es en tat io n. Useofinfor-

mation relat in g to the representa ti on to the disadva nt age of th e

client violates the l aw ye r’ s duty of loyalty. Subsecti on (b) ap plies

when the information is used to benef it either the lawyer or a

third person, such as anothe r client or bus in es s associate of th e

lawyer . For examp le, if a lawyer learns tha t a client inten ds to

purcha se and develop several parc el s o f la nd, the l aw ye r m ay

not use that informat io n to purchase one of the parcels in compe-

tition wi th the cl ien t or t o reco mm end that another cl ie nt mak e

such a purchase . The Rule doe s not prohi bit uses tha t do not

disadv an tag e the client. For example, a lawy er who learns a

govern me nt agenc y’s interpret at io n of trade legislat io n during

the repre sen ta ti on of one cl ient may prope rl y use tha t inf orm ation

to benefi t othe r clie nt s. Su bsection (b) pro hi bit s dis ad vantageou s

use of client in fo rma ti on un less the client giv es inf or me d cons ent,

except as permitted or req ui red by these Ru le s. See Rules 1 .2

(d), 1. 6, 1.9 (c), 3.3, 4 .1 (b), 8.1 and 8 .3.

Gifts t o Lawyers. A lawyer may accept a gift from a client,

if the transa ct io n meets general standard s of fairne ss. For exam-

ple, a simple gift such as a present gi ve n at a holiday or as a

token of apprecia tio n is permitted. If a client offers the lawyer a

RULES OF PROFESSIONAL CONDUCTRule 1.8

more substanti al gift, subsection (c) doe s not prohibit t he lawyer

from acce pti ng it , alth ou gh suc h a gift may be voidabl e by the

client under the doctri ne of und ue influen ce , which t re ats clie nt

gifts a s p res um pt ive ly fraudulent. In any event, due to co nce rn s

about ove rre ac hi ng a nd im position on c lie nt s, a lawy er may not

sugges t that a s ub sta nt ia l gift be made to the lawyer or for the

lawyer ’s ben ef it , ex ce pt where the law yer is related to the clie nt

as set f or th i n p ar agr aph (c).

If effe ct uat io n of a substan tia l gift requires prepa ri ng a legal

instru me nt suc h a s a wil l or conv eyance, th e cli ent should have

the detached advice t ha t another lawyer ca n provide. The s ole

except io n to th is Rule is where the client is a relat iv e o f the d on ee .

This Rule does not prohibit a lawyer from seeking to have

the lawye r or a partner or associate of the lawyer named as

execut or of the client’ s estate or to another po ten ti al ly lucrative

fiduci ar y po si ti on. Neverthel ess, such a pp oi ntm en ts will be sub-

ject to the general conf li ct of interest pr ov is ion in Rule 1.7 when

there is a signifi can t risk that the lawyer ’s inter es t in obtaining

the appointmen t will materially limit the lawyer’s independen t

profes si ona l jud gme nt in advis ing the client concerni ng the

choice of an e xe cu tor or ot he r fi duciary. In obt ain in g t he cli en t’s

inform ed consent to the conflic t, the lawyer should advise the

client conce rn in g the natur e and exten t of the lawyer ’s financial

intere st in the appoint me nt , as well as the avai lab ility of al te rn a-

tive ca nd ida te s f or t he position.

Litera ry Rights. An agreement by which a lawyer acquires

litera ry or media rights concerning the conduct of the repres en ta -

tion creates a con fli ct between the interest s of the client and

the personal interests of the lawyer . Measures suitabl e in the

repres en tat io n of the client may detract from the publi ca tion

value of an account of the representa ti on. Subsectio n (d) doe s

not p ro hi bit a lawyer represent in g a client in a tra nsaction con-

cernin g litera ry property from agreeing that the lawyer’ s fee shall

consis t o f a sha re in o wn ership in the pr ope rt y, if the arrangeme nt

confor ms to Rule 1.5 and subsections (a) and (i).

Financ ia l As si st anc e. Lawyers ma y n ot subsidize law su it s

or administr at iv e procee di ngs brou ght on be ha lf of their clients ,

includ in g making or guara nt eei ng loan s to their clients for l iv in g

expens es , be ca us e to do so would encour age clients to pursue

lawsui ts that might not othe rwi se be brought and beca us e s uch

assist an ce g iv es lawyers too gr ea t a financial stake in th e li ti ga -

tion. These dangers do not warrant a prohibit io n on a lawyer

lendin g a client court costs and litigatio n expens es , includ in g the

expens es of medic al examinatio n and the costs of obtaining

and prese nti ng ev ide nc e, be cause these adva nc es are vi rt ual ly

indist in gui sh ab le fro m contingent fees and help ens ur e access to

the courts. Similarly, an ex cep ti on allowing lawyer s repres enting

indige nt clients to pay court costs and litigation expe ns es regard-

less of whether these funds will be repaid is war ran te d.

Subsec ti on ( e) (3) providesanother exception. A l aw ye r r epr e-

sentin g an indigent client who does not pay a fee may gi ve the

client gifts in the form of modest contributi on s toward basic

necess it ies of life such as f ood , she lt er, transportation, clo th in g,

and medicine . If the gif t may have consequenc es for the client,

includ in g, e .g .,for receipt of go ve rn men t b en efits, s oc ial services,

or tax liabil it y, the lawyer should consult with the client about

such co ns equ en ce s. S ee Rule 1.4.

The sub se cti on (e ) (3 ) exc eption is n ar row . Mod est contribu-

tions towards basic necessitie s are allowed only in circum-

stance s where it is unlike ly to creat e conflict s of intere st or

invite abuse.

Financ ia l assi st anc e, including mode st gifts pursuan t t o sub-

sectio n (e) (3), may be provided even if the represe nt at io n is

eligib le for fees under a fee-shifti ng statu te . Howeve r, subsection

(e) (3) does not permit lawye rs to provide assistance in other

contem pl ate d or pending litigation in which the lawyer may even-

tually recov er a fee, such as contingen t-f ee perso na l injury cases

or cases in which fees may be availa bl e under a contrac tu al

fee-sh if tin g pro vis io n, even if the lawyer does not eventual ly

receiv e a fee.

Person Payin g for a Lawyer’s Servi ce s. Subsection (f)

requir es disclosure of the fact that the lawyer’s ser vi ce s are

being paid for by a thi rd pa rt y. Such an arrangem ent must also

confor m to the requirem en ts of Rule 1.6 concerning confidentia l-

ity and Ru le 1.7 concerning conf li ct of interest. Where the client

is a class, consent may be obtained on behalf of the class by

court- su per vi se d pr ocedure.

Lawyer s are frequent ly asked to repres ent a client unde r

circum st anc es in which a thi rd perso n will co mpensate the law-

yer, in whole or in part. The thir d person mi gh t b e a relativ e or

friend , an indemnitor (such as a liab il ity insu ran ce company ) or

a co-client (such as a corp or ati on sued along with one or mo re

of its employee s) . Because third- pa rt y payers frequently have

intere st s that differ from those of the client, including interes ts

in minimi zin g the amount spent on the represent ati on and in

learni ng how the repr es en ta tio n is progress in g, lawyers are pro-

hibite d from accepting or continuin g such represent at io ns unless

the lawyer dete rm ine s that there will be no interferenc e with

the law ye r’s independe nt professio na l judg ment and there is

inform ed con se nt from the cl ien t. See also Rule 5.4 (c) (prohib-

iting i nt erf er en ce w ith a lawye r’ s p ro fes sional jud gm en t by one

who recom men ds , empl oy s or pays th e lawyer to render leg al

servic es for another).

Someti me s, it will be suffic ien t for the lawyer to obtain the

client ’s inf or me d cons en t regardin g the fac t of th e pay me nt and

the identity of the third-pa rty payer. If, ho we ver , the fe e arrange-

ment creates a con fli ct of interest f or the lawyer, then th e lawyer

must comply with Rule 1.7. The lawyer must also conform to

the requirem en ts of Rule 1.6 concern in g confid entiality . Under

Rule 1. 7 ( a), a conflict of interest e xi sts if there is si gn ificant ri sk

that the lawyer’s representati on of the client will be materially

limite d by th e lawyer’s own interest in the fee arrangem en t or by

the lawyer’s responsibil it ies to the third-party payer (for exampl e,

when the third-party payer is a co-client) . Under Rule 1.7 (b),

the lawye r may accept or cont inu e the repre se ntation with the

inform ed conse nt of each affected client, unless the conflict is

noncon se nta bl e under t ha t subsection. Under Rule 1.7 ( b) , the

inform ed consent must b e c on fir me d in writing.

Aggreg at e Settle men ts . Differences in willingness to make

or ac ce pt an offer of settl em ent are among the risks of comm on

repres en tat io n of mult ip le clients by a single lawyer. Under Rule

1.7, this is one of the risks that should be discussed before

undert ak ing the repres en ta tio n, as part of the process of

obtain in g the cli ent s’ informed conse nt. In ad dition, Ru le 1.2 (a )

protec ts each client’s righ t to have the final say in decid ing

whethe r to accept or rej ec t an offer of settleme nt and in de cid ing

whethe r to enter a guilty or nolo cont en der e plea in a criminal

case. The rule stated in this paragraph is a corollary of both

these Rules and provide s that, before any settlement offer or

plea ba rg ain is made o r a cc ep ted on behalf of multip le clients,

the lawyer must inform each of them about all the materia l terms

of the set tle me nt , incl ud ing what the othe r cli ent s wil l r eceive or

pay if the settlem ent or plea offer is accepte d. See also Rule

1.0 (f) (definiti on o f i nf or med consent). Lawyers re presentin g a

class of plaintif fs or defendants , or those proceedi ng deriv atively,

may n ot have a fu ll client-lawye r relationsh ip with each member

of the c la ss; neverth el es s, such lawyers must comply with appli-

cable rules regulating notific at io n of class members and other

proced ur al requi rem en ts de signed to ensure adequat e protec -

tion of the entire cla ss .

Limiti ng Liability and Settlin g Malpract ic e Claims .

Agreem en ts prospect iv el y limiting a lawyer’s liability for malprac-

tice are prohibit ed unless the client is independent ly represe nt ed

in making the agreeme nt because they are like ly to und er mi ne

RULES OF PROFESSIONAL CONDUCT Rule 1.9

compet en t and diligent represe nt at io n. Also, many clients are

unable to evalu at e the desirabi li ty of making such an ag re ement

before a disp ut e has ari se n, particularly if th ey are th en repre-

sented by the lawyer seeki ng the agreement. This subsection

does not, however , prohibit a lawyer from enter ing into an

agreem en t with the client to arbitra te legal malpr ac ti ce claims,

provid ed such agr eem en ts are enfo rc eable and t he clien t is fully

inform ed of the scope and effect of the agreem en t. Nor does

this subsect io n limi t the abili ty of lawye rs to pract ice in the f or m

of a limit ed- li ab ili ty en tity, where p erm it te d by law, provided that

each lawy er rem ai ns p er so nally liable to the cl ien t f or hi s or her

own c on du ct and the fi rm complies with any c on ditions required

by la w, such a s provisio ns requiring client notificati on or mai nt e-

nance of adequate liability insuran ce . Nor does it prohibit an

agreem en t in accordance with Rule 1. 2 t hat defines th e s cope

of the repres en ta tio n, al th ough a definit io n of scop e tha t make s

the obl ig ati on s of representation i ll uso rywill amoun t to an atte mp t

to limi t l iab il it y.

Agreem en ts set tl ing a claim or a potent ial cl aim for malprac-

tice are not p ro hi bit ed by th is Rul e. Neverthel ess , i n vie w of the

danger th at a lawyer wil l tak e unfair ad van ta ge of an unrepre-

sented client or former client, the law yer must first ad vi se such

a per so n in writ in g of the appropri at eness of independe nt repre-

sentat io n in connectio n with such a settleme nt . In addition, the

lawyer must give the clien t or former client a reasona bl e opport u-

nity to find and consu lt independent counsel.

Acquir in g Proprietary Interest i n Litigation . Subsecti on (i)

states the tradit ion al general rule that law ye rs are prohibi te d

from acquiring a propri et ar y interest in litig ati on . Like subsecti on

(e), the general rule, which has its b as is in common-law cham-

perty and mai nt en anc e, is de sig ned to avoid giv ing th e law yer

too great an interest in the repr es en ta tio n. In addition, when

the law ye r ac qu ir es a n ownershi p i nt er est in the subjec t of the

repres en tat io n, it will be more difficult for a client to discha rge

the l aw ye r if the client so desires . The Rul e is subjec t to specific

except io ns developed in decisi on al law and continued in these

Rules. The except ion for certai n a dvances of the cost s o f litigation

is se t forth i n subsecti on (e). I n addition, subsecti on (i) se ts forth

except io ns for liens authorize d by law to secure the lawyer’s

fees or expen se s and con tr ac ts f or reasonabl e cont in ge nt fee s.

The law of each j ur isd ic ti on determine s which liens are author-

ized by law. These may includ e liens grante d by statut e, liens

origin at ing in common law and liens acquir ed by contrac t with

the clien t. When a lawyer acquires by contract a securit y interest

in proper ty other than that recovere d through the lawyer’ s efforts

in the litigati on , such an acquisiti on is a busines s or financ ia l

transa ct ion with a client and is governed by the requirements

of subsection (a). Contract s for contingent fees in c iv il cases ar e

govern ed by Rule 1.5.

Client -L awy er Se xua l Rel at ion ships. The rela tio ns hi p

betwee n l awy er and client is a fiduciar y on e in which the lawyer

occupi es the highest posi ti on of trust and confidenc e. The rela-

tionsh ip is almost always unequal; thus, a sexual relationsh ip

betwee n lawyer and cl ie nt can involve unfair exploitat io n of th e

lawyer ’s fiduc ia ry role, in violati on of the lawyer’ s basic ethic al

obliga ti on not to use the trust of the client to the client’s disadv an -

tage. In additi on , su cha relationship presents a significan t danger

that, b ec aus e o f t he l awyer’s em ot io na l in volvement , t he lawyer

will be unable to r epr es en t t he client with out impair me nt of the

exerci se of independ en t professi on al judgmen t. Moreover, a

blurre d line between the pro fes si on al and pe rsonal relation sh ip s

may make it diff ic ult to pr ed ict to wh at ext ent client conf ide nc es

will be prote ct ed by the atto rne y- client evide nti ar y privil eg e, since

client confidenc es are prot ect ed by privi le ge only whe n they are

impart ed in the context of the client-l awy er relatio ns hip. Becau se

of the signif ic an t danger of harm to cli ent interes t and be cause

the clien t’s own emotional involv em en t renders it unlikely that

the c li en t co ul d give adeq ua te informed co ns en t, this Rule prohib-

its the la wye r fro m ha vi ng sexual relat ion s wit h a cli en t r ega rd le ss

of whether the relationsh ip is consens ual and regardle ss of the

absenc e o f pr ej ud ice to the client .

Sexual relations hip s t ha t predate the client- law ye r relationsh ip

are not prohibi te d. Iss ue s rela ti ng to the exploitatio n of the fidu-

ciary relation sh ip and client dependency are dimini sh ed when

the sexual relati ons hi p existe d prior to the commencem ent of

the client-law ye r relationshi p. However , before proceeding with

the represen ta ti on in these circumstance s, the lawy er should

consid er whether the lawyer’s ability to represent the client will

be mate ri all y l im ite d by the relationship. S ee Rule 1.7 (a) (2 ).

Imputa ti on of Prohibitio ns . Under subsecti on (k), a prohibi-

tion on condu ct by an ind iv id ual la wyer in subsecti on s (a) thr ou gh

(i) also applie s to all lawye rs associa ted in a firm with the person-

ally prohibite d lawyer. The prohi bi ti on set fo rth in subsectio n (j)

is pers on al a nd is not applie d to associated l awyers.

Rule 1.9. Duties to Former Clients

(Amend ed June 26, 2006, to take effec t J an. 1, 2007.)

(a) A lawyer who has formerly represented a cli-

ent 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 consent, confirmed

in writing.

(b) A lawyer shall not knowingly represent a per-

son in the same or a substantially related matter 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 informa-

tion protected by Rules 1.6 and 1.9 (c) that is mate-

rial to the matter; unless the former client gives

informed consent, confirmed in writing.

ent 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 representation

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. 1978-199 7, Rule 1.9.) (Amended June 26, 2006, to take

effect Jan. 1, 2007.)

COMMEN TA RY: After te rm in ation of a client -l aw yer relation-

ship, a la wye r has certain continuing duties with respect to c on fi -

dentia li ty and conflicts of interest and thus may not represe nt

anothe r client except in con for mi ty with thi s Rule. Under this

Rule, f or example, a law ye r could not pr ope rly seek to rescind

on behalf of a new client a contract drafted on behalf of the

former client. So also a la wy er who has p ros ec ut ed an accused

person co uld no t prop er ly re present th e accu se d in a subse que nt

civil a ct ion against the gov ern ment conce rn in g th e sam e transac-

tion. N or cou ld a lawyer who has r ep re se nted multip le cl ie nts in

a m at te r represent one of the cli en ts against the interest of the

RULES OF PROFESSIONAL CONDUCTRule 1.9

others in the same or a substanti al ly related matter after a disput e

arose among the clients in that matter, unless all affected client s

give in fo rme d consent. Se e last paragr aph of this Com mentary,

below. Current and form er government lawyer s must comply

with th is Rule to the ext en t r equ ir ed by Rule 1.11.

The scope of a ‘‘matter’ ’ for purpo se s of this Rule depen ds

on the fac ts o f a pa rti cu la r situatio n o r tr an sa ction. The law ye r’ s

involv em ent in a matter can also be a questi on of degre e. When

a law ye r has been directly involved in a speci fi c transact ion ,

subseq ue nt representa ti on of other clients with materially

advers e interests in that transaction clearly is prohibi ted . On the

other h an d, a lawyer w ho recurrently handled a t ype of problem

for a former clien t is not pre clu ded from later repres en ti ng another

client in a fact ua lly distinct problem of that type even thoug h the

subseq ue nt representa ti on involves a posit io n adverse to the

prior client. Similar consider at io ns can apply to the reassign me nt

of mili ta ry law ye rs b et ween defense and prosecution functions

within the same military jurisd ic ti on s. The underlyin g question

is whether the law yer was so involved in the matter that the

subseq ue nt represen ta ti on can be justly regar ded as a changing

of side s i n th e m at ter in question.

Matter s are ‘‘s ub sta nt ia lly related’ ’ fo r pur pos es of th is Rule

if they invol ve th e same transaction or leg al di spu te or if the re

otherw is e is a substantia l risk that confi de ntial factual inform at ion

as would normal ly have bee n obtain ed in the prio r repres entation

would materially advance the client ’s position in the s ub seq ue nt

matter . For example, a lawye r who has represent ed a busi-

nesspe rs on and learned extensive private fi na nci al information

about tha t pers on may no t t he n repr esent that perso n’ s spo use

in seek in g a divor ce. Similarly , a lawyer who has previous ly

repres en ted a client in se cu rin g e nvironmen ta l pe rm it s to build

a sho pp in g center wou ld be preclud ed from rep resenting neigh-

bors seeking to oppose rezon ing of the proper ty on the basis

of en vi ro nme nt al conside rations; however, the lawy er would not

be preclu ded , on the groun ds of substantia l relation sh ip, from

defend in g a ten an t of th e completed shopping center in resist in g

evicti on for nonp aym en t o f rent. Inf ormation that has b ee n dis-

closed to the public or to other parti es adverse to the former

client ordin ar il y will not be disqualifyi ng . Inform ation acquired in

a prior repre se nt ati on may have been rendered obsole te by

the passa ge of time, a circumsta nc e that may be relevant in

determ in ing whether two representa ti ons are substantia lly

relate d.In the case of a n organizational c li en t, general knowledge

of the cli ent ’s policies and pra ct ic es ord inarily wi ll no t pr ec lu de

a sub se qu ent representat io n; on the ot her hand, knowledge of

specif ic fac ts ga ine d in a prior repr es entation that ar e rele va nt

to the matter in question ordina ri ly will precl ude such a represen-

tation . A former client is not required to revea l the confiden ti al

inform at ion learned by the lawyer in order to establish a substa n-

tial ri sk that the lawye r h as confident ial information to use in the

subseq ue nt matte r. A conclusio n about the possessio n of such

inform at ion may be based on the natur e of the services the

lawyer provided the former client an d information that would in

ordina ry pract ic e be learned by a lawyer providing such servi ce s.

Lawyer s Moving between Firms. When lawyers have been

associ at ed withi n a fir m but then e nd their association, the ques-

tion of whether a lawyer shou ld und er ta ke repre sentation is more

compli ca ted . There are several competing considera ti on s. First,

the client previously represente d by the former firm must be

reason ab ly assured that the principle of loyalty to the client is

not compromise d. Second, the rule should not be so broad ly

cast as to preclude other person s from having reaso na bl e choice

of legal counsel. Third, the rule shoul d not unreason ab ly hamper

lawyer s from forming new associ at io ns and taki ng on new clients

after having left a previous association. In this connect ion , it

should be recog ni zed that to day many lawyers pr act ic e in firms,

that many lawyers to some degree limit their practi ce to one

field or anothe r, and that many move from one associatio n to

anothe r s eve ra l time s in their caree rs . If th e c onc ep t of i mpu ta ti on

were appl ied with unq ua li fi ed rigor , the res ul t woul d be radica l

curtai lm ent of the op po rt un ity of lawyers to move f ro m one prac-

tice setting to another and of the oppor tun it y of clients to

change counsel.

Subsec ti on (b) opera te s to disqua lify the lawyer only when the

lawyer involved has act ua l know le dg e of informati on protected

by Ru le s 1 .6 and 1.9 (c ). Thus, if a lawyer, whi le with one firm

acquir ed no kno wl edg e or inf orm ation relating to a particular

client of the firm, and that lawyer later joined another firm, neithe r

the lawyer individuall y nor the second firm is disquali fi ed from

repres en tin g another client in the same or a relate d matter even

though the interests of the two clients conflict. See Rule 1.10

(b) for the restri cti on s on a firm once a lawyer has terminated

associ at ion with the firm .

Applic at ion of subsection (b) depends on a situati on ’s particu -

lar fac ts , ai de d b y inferences, deductions o r working pre sum p-

tions that reasonably may be made about the way in which

lawyer s work together. A lawyer may have general access to

files of all cli en ts of a law firm an d may reg ul ar ly p ar ti ci pat e in

discus si ons of their affair s; it sho ul d be inferred that such a

lawyer in fact i s privy to a ll informati on about all the firm’s clients.

In contra st, an ot her la wy er may ha ve access to the files of onl y

a limited number of clients and participat e in discussion s of the

affair s of no other clients; in the absence of informa ti on to the

contra ry , it should b e inferred that such a la wy er in f act is priv y

to informati on about the clients actua lly serv ed but not those of

other client s. In such an inquiry, the burden of proof rests upon

the fir m w hos e d is qua lificatio n i s s ou ght .

Indepe nd ent of the question of disqual ifi ca ti on of a firm, a

lawyer ch ang in g prof es si onal associa tio n has a contin ui ng dut y

to preserve confidenti al it y of information about a c li ent fo rm er ly

repres en ted . S ee Rules 1.6 and 1 .9 (c).

Subsec ti on (c) provi de s that info rm ation acquired b y the law-

yer in the course of repres en tin g a client may not subseq ue ntl y

be used or revealed by the lawyer to the disadvantag e of the

client . Howeve r, the fact that a la wy er has once served a client

does not preclu de the lawy er from usi ng gener al ly kno wn infor-

mation about th at client w he n later rep res enting a no th er client.

The provi sio ns of this Rule are for the protecti on of former

client s a nd c an be waived if t he c li ent gives i nf orm ed consent,

which c on sen t m us t be confirmed in writing unde r subsections

(a) and (b). See Rule 1.0 (f). With regard to the effectiven ess

of an advance waiver, see Commentary to Rule 1.7. With regard

to disqualif ic at ion of a f ir m with which a lawyer is or was formerly

associ at ed, see Rule 1.10 .

TECHNICAL CHANGE: A technical change was made to add

a colon in subsection (b).

Rule 1.10. Imputation of Conflicts of Interest:

General Rule

(Amend ed June 26, 2006, to take effec t J an. 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 prohibited

from doing so by Rules 1.7 or 1.9, unless:

(1) the prohibition is based on a personal interest

of the disqualified lawyer and does not present a

significant risk of materially limiting the representa-

tion of the client by the remaining lawyers in the

firm; or

RULES OF PROFESSIONAL CONDUCT Rule 1.10

(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 apportioned

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 screening proce-

dures employed; a statement of the firm’s and of

the screened lawyer’s compliance 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

and with the screening procedures are provided to

the former client by the screened lawyer and by a

partner of the firm, at reasonable intervals upon the

former client’s written request and upon termination

of the screening procedures.

(b) When a lawyer has terminated an association

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 currently repre-

sented by the firm, unless:

(1) The matter is the same or substantially related

to that in which the formerly associated lawyer rep-

resented the client; and

(2) Any lawyer remaining in the firm has informa-

tion protected by Rules 1.6 and 1.9 (c) that is mate-

rial to the matter.

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 lawyers

is governed by Rule 1.11.

(P.B. 1978-1 99 7, Rule 1.10. ) (Amend ed June 26, 2006, to

take ef fe ct Jan. 1, 20 07 ; a me nded Jun e 1 5, 2012, to t ak e e ff ect

Jan. 1, 2013.)

COMMEN TA RY: Definition of ‘‘Firm.’’ For purposes of the

Rules o f P rof es si ona l Conduct, the term ‘‘firm ’’ d en ot es lawyers

in a law partnersh ip, pr of es sio nal corporat io n, sole pro pri et orship

or other associ at ion author ize d to practice law; or lawyers

employ ed in a le ga l serv ic es organization or the legal departme nt

of a corpo rat io n or other organi za ti on. See Rule 1.0 (d). Whether

two or more lawyers constitu te a firm within this definiti on can

depend on the sp ec ifi c facts. See R ul e 1.0 and it s Commentary.

Princi pl es of Imputed Disqu ali fi ca tion. The rule of imputed

disqua li fic at io n stated in subse ction (a) giv es effect to the princi-

ple of loy alt y to t he cli en t a s it applies to la wy ers wh o p ra ctice

in a law firm. Such situati on s can be consider ed fro m the premise

that a fir m of la wy ers is essentially one lawyer for pu rp os es of

the r ul es governing loyalty to the client, or from the premise that

each lawyer is vicariou sl y bound by the obligat ion of loyalty owed

by ea ch lawyer w it h whom the lawyer is associate d. Subsection

(a) opera tes only amo ng the lawy er s curren tl y associated in a

firm. Whe n a lawye r move s fro m one fir m t o anot he r, the si tu ati on

is gove rn ed b y R ul es 1 .9 (b) and 1.10 (b).

The Rule in subsectio n (a) does not prohibi t repres en ta tion

where neither question s of clie nt loyalty nor p rot ec tion of confi -

dentia l informat ion are presented. Where one lawyer in a firm

could not eff ec ti vel y represen t a give n client because of stron g

politi ca l beliefs, for ex am ple , but that lawye r will do no work on

the case and the persona l belief s of t he lawyer will not material ly

limit the representati on by others in the firm, the firm should not

be disqualif ie d. On the other hand, if an opposing party in a

case were owned by a lawy er in the law firm, a nd other s in the

firm would be ma te ria ll y limited in p ur suing the ma tt er because

of loyalt y to th at law ye r, th e personal disqu al ifi ca ti on of t he la wy er

would be imputed to all others in the firm.

The R ul e in subs ec tio n (a) also does n ot prohibit representa-

tion by others in the law firm whe re the pers on prohibite d from

involv em ent in a m att er is a n onl awyer, such as a paralegal or

legal secret ar y. Nor does su bse ct io n (a) pro hi bit repr es ent at io n

if the lawyer is prohibited from acting because of events before

the per so n be ca me a lawyer, for example, wo rk that the person

did while a law student. Such persons , howe ve r, must be

screen ed from any personal participat ion in the ma tt er to avoid

commun ic ati on to others in the firm of confidentia l informat ion

that both the nonl awy er s and the firm ha ve a legal duty to protect.

See Rul es 1.0 (k) and 5.3 .

Rule 1.10 (b) oper ate s to per mit a law firm, under certain

circum st anc es , to represent a perso n with interests directly

advers e to those of a client repres en te d by a lawyer who formerly

was assoc iat ed with the firm. The Rule applies regardless of

when the formerly associa te d lawyer represented the client.

Howeve r, the law firm may not rep re se nt a pe rson with int er est s

advers e to those of a present client of the firm, which would

violat e Rule 1. 7. Mor eo ve r, the firm may not repres en t the per so n

where t he matter is the s am e o r su bs tantially related to th at i n

which the formerly as so ci at ed lawyer represen ted the c lient and

any other lawyer currentl y in the firm has mater ial inform ati on

protec te d by Rules 1.6 and 1.9 (c).

Rule 1.10 (c) re mo ves imputa tio n with the i nf ormed consent

of th e affected client or former client und er the cond it io ns stated

in Ru le 1.7. The condition s stated in Rule 1.7 require th e lawyer

to determine that the repres ent at io n is not prohibited by Rule

1.7 (b) and th at ea ch aff ec te d clie nt or former client has given

inform ed consent to the represent at io n, confirme d in writing. In

some cases, the risk may be so severe that the confli ct may

not be cured by c li ent consent. For a discussi on of the effecti ve -

ness of client w ai ver s of confli ct s that migh t arise in the fut ur e,

see Rule 1.7 and its commen ta ry. For a definitio n of informed

consen t, see Rule 1.0 (f ).

Rule 1.10 (a) (2) similarly removes the imputation otherwise

requir ed by Rule 1 .10 (a ), but unlike subse ct ion (c), it do es so

withou t requ ir in g th at th ere be inform ed c on se nt by t he former

client . Instead, it requires that the procedures laid out in subpara -

graphs (A) through (C) of subsection (a) (2) be followed . A

descri pt ion of effective screening mecha ni sm s appears in Rule

1.0 (l) and commentary there to. Lawyers should be aware,

howeve r, that, even where screening mechani sm s have been

adopte d, tribuna ls may consider addit ion al factors in rulin g upon

motion s t o di sq ua lif y a lawyer from pending l it iga ti on .

Subpar ag rap h (A) of subsection (a) (2) does not prohibit the

screen ed lawyer from receiving a salary or partnersh ip share

establ is hed by prior indepe nde nt agreement, but that lawyer

may not recei ve co mpe ns at io n directly related to the ma tt er in

which t he lawyer is disq ua li fie d.

The notice required by subparagra ph (B) of subsect io n (a)

(2) gen er all y s ho uld include a d escriptio n o f t he s cr eened law-

yer’s pri or rep re sen ta ti on and be given as soon as practic abl e

after the need for scr ee ni ng becom es ap par ent. It also should

RULES OF PROFESSIONAL CONDUCTRule 1.10

includ e a stateme nt by the screene d lawyer and the firm that

the client’s material confi den ti al informati on has not been dis-

closed or used in viol at io n of the R ul es . The notice is intended

to enable the former clien t to ev al ua te and comment upon th e

effect iv ene ss of the screen ing procedures.

The certi fic at io ns require d by subparagr aph (C) of subse cti on

(a) (2) give t he fo rme r cli en t assu rance that th e clie nt ’s mat er ial

confid en tia l inform at io n has not been disclosed or used inappro-

priate ly , either prior to timely implementa ti on of a screen or

therea ft er. If complia nc e cannot be certified, th e certificat e must

descri be the failure to comply.

Where a la wye r has joi ne d a pr iva te firm after having repre-

sented the governmen t, imputat io n is governed by Rule 1.11

(b) a nd (c), not this Rul e. Under Ru le 1.11 (d) , where a lawyer

repres en ts the go ver nm en t after having served clients in private

practi ce , nongovernme nt al employmen t or in another govern-

ment agency, former-cl ie nt confl ic ts are not impu te d to govern-

ment lawyers associa te d with the individual ly disqual if ied lawyer.

Where a lawye r is proh ib it ed fro m engaging in certa in tr an sac -

tions under Rule 1.8, subsectio n (k) of that Rule, and not this

Rule, det erm in es whether that pro hi bi tion also appl ie s to ot he r

lawyer s a sso ci at ed in a firm with t he personally pr oh ib it ed l aw ye r.

Rule 1.11. Special Conflicts of Interest for For-

mer and Current Government Officers and

Employees

(Amend ed June 26, 2006, to take effec t J an. 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 partic-

ipated personally and substantially as a public offi-

cer or employee, unless the appropriate govern-

ment agency gives its informed consent, confirmed

in writing, to the representation.

(b) When a lawyer is disqualified from representa-

tion under subsection (a), no lawyer in a firm with

which that lawyer is associated may knowingly

undertake or continue representation in such a mat-

ter 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.

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 person. As

used in this Rule, the term ‘‘confidential govern-

ment information’’ means information that has

been obtained under governmental authority and

which, at the time this Rule is applied, the govern-

ment 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. A

firm with which that lawyer is associated may under-

take or continue representation in the matter only

if the disqualified lawyer is timely screened from

any participation in the matter and is apportioned

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:

(A) 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

(B) 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) Grievance counsel, disciplinary counsel and

bar counsel as well as members of the Statewide

Grievance Committee and grievance panels shall

not represent any party other than the state with

respect to an unauthorized practice of law com-

plaint or attorney grievance matter, while serving

as such. In addition, such counsel and members

shall not represent an individual or entity investi-

gated or prosecuted for the unauthorized practice

of law or an attorney investigated or prosecuted

with respect to an attorney grievance matter if that

specific unauthorized practice of law complaint or

attorney grievance matter was pending in their

office or with their committee or panel at the time

of such counsel’s or member’s termination of

employment or service as such grievance coun-

sel, disciplinary counsel, bar counsel or member

of the Statewide Grievance Committee or a griev-

ance panel.

(f) As used in this Rule, the term ‘‘matter’’

includes:

(1) Any judicial or other proceeding, applica-

tion, request for a ruling or other determination,

contract, claim, controversy,investigation,charge,

accusation, arrest or other particular matter involv-

ing 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; amended June 15, 2018, to take

effect Jan. 1, 2019.)

COMMENTARY: A lawyer who has served or is currently

serving as a public officer or employee is personally subject

RULES OF PROFESSIONAL CONDUCT Rule 1.12

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 conflicts 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, sub-

section (b) sets forth a special imputation rule for former gov-

ernment lawyers that provides for screening and notice.

Because of the special problems raised by imputation within

a government 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

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.

For purposes of subsection (e), an ‘‘unauthorized practice

of law complaint’’ means a complaint alleging conduct covered

by General Statutes § 51-88. ‘‘Attorney grievance matter’’

means any grievance complaint, investigation, presentment,

interim suspension, disability, resignation, reinstatement,

reciprocal discipline, discipline following a finding of guilt of a

serious crime or inactive status matter.

For purposes of subsection (f) 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 adjudica-

tive 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 negoti-

ate for employment with a party or lawyer involved

in a matter in which the clerk is participating per-

sonally, but only after the lawyer has notified the

judge or other adjudicative officer.

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

RULES OF PROFESSIONAL CONDUCTRule 1.12

(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.

Like former judges, lawyers who have served as arbitrators,

mediators or other third-party neutrals may be asked to repre-

sent a client in a matter in which the lawyer participated person-

ally. This Rule forbids such representation unless all of 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 warranted by the

circumstances, to the highest authority that can act

in behalf of the organization as determined by

applicable law.

(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 vio-

lation 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,

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 vio-

lation 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 law-

yer’s actions taken pursuant to subsection (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, employ-

ees, members, shareholders or other constituents,

subject to the provisions of Rule 1.7. If the organi-

zation’s consent to the dual representation is

required by Rule 1.7, the consent shall be given

by an appropriate official of the organization other

RULES OF PROFESSIONAL CONDUCT Rule 1.13

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.

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

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,

RULES OF PROFESSIONAL CONDUCTRule 1.13

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.

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 com-

municate 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-lawyer relation-

ship with the client.

(b) When the lawyer reasonably believes that

the client is unable to make or communicate

adequately considered decisions, is likely to suf-

fer 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.

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, when properly 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

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

RULES OF PROFESSIONAL CONDUCT Rule 1.15

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.

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.

(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 (overnight)

financial institution repurchase agreement or an

RULES OF PROFESSIONAL CONDUCTRule 1.15

open-end money market fund. A daily financial

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 agree-

ments fully collateralized by U.S. Government

Securities, must hold itself out as a ‘‘money mar-

ket 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

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.

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

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 party’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 ques-

tion 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

RULES OF PROFESSIONAL CONDUCT Rule 1.15

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

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

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

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-IO LTA accounts

and that these factors do not include the fact that

the account is an IOLTA account. In lieu of the

rate set forth in the first sentence of this subpara-

graph, 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 allow-

able reasonable fees and service charges. The

eligible institution may offer, and the lawyer or law

firm may request, a sweep account that provides

a mechanism for the overnight investment of bal-

ances in the IOLTA account in an interest- or

dividend-bearing account that is a daily financial

institution repurchase agreement or a money mar-

ket 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 institution may choose

to pay the higher interest or dividend 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.

RULES OF PROFESSIONAL CONDUCTRule 1.15

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

amended, to administer the program. The chief

court administrator shall cause to be published

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 shall publish on the designated

organization’s website a detailed annual report of

all funds disbursed under the program, including

the amount disbursed to each recipient of funds,

and shall cause to be published in the Connecticut

Law Journal a notice that the detailed annual

report is available on the designated organiza-

tion’s website, along with a link to the report that

can be accessed by members of the public as

well as each judge of the Superior Court, and

mail to each lawyer or law firm participating in the

program a copy of that detailed annual report;

(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;

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)

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;

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 admin-

istration of the program, including the method of

RULES OF PROFESSIONAL CONDUCT Rule 1.15

allocation and the allocation of funds to be dis-

bursed 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

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 agree-

ments 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

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; amended

June 10, 2022, to take effect Jan. 1, 2023.)

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

RULES OF PROFESSIONAL CONDUCTRule 1.15

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 on funds 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

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

recogn it ion (M IC R) lin e containing al l the inf orm at io n appe aring

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 maintained 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 payments between 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).

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 reuse a 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

RULES OF PROFESSIONAL CONDUCT Rule 1.16

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 distribution of proceeds,

settlement agreements contemplating payment of funds, set-

tlement statements issued to the client, documentation relating

to sharing litigation costs and attorney’s 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.

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;

(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.

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 practi-

cable to protect a client’s interest, such as giv-

ing reasonable notice to the client, allowing time

RULES OF PROFESSIONAL CONDUCTRule 1.16

for employment of other counsel, surrendering

papers and properly 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

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,

withdraws 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

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 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;

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.

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

RULES OF PROFESSIONAL CONDUCT Rule 1.18

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

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 lawyer with disabilities

or a lawyer who is deceased or has disappeared. Thus, the

seller may be represented by a nonlawyer representative not

subject to these Rules. Since, however, no lawyer may partici-

pate 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.

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

RULES OF PROFESSIONAL CONDUCTRule 1.18

paragraph, no lawyer in a firm with which that law-

yer 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

(A) the disqualified lawyer is timely screened

from any participation in the matter; and

(B) 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.

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 expec-

tation that the lawyer is willing to discuss the possibility of

forming a client-lawyer relationship, and is thus not a ‘‘prospec-

tive 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 both the 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).

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 pre-

senting 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

RULES OF PROFESSIONAL CONDUCT Rule 2.3

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 dispute resolution that might consti-

tute reasonable alternatives to litigation.

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.

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

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.

RULES OF PROFESSIONAL CONDUCTRule 2.3

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

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.

ADVOCATE

Rule 3.1. Meritorious Claims and Conten-

tions

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

RULES OF PROFESSIONAL CONDUCT Rule 3.3

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.

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.

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

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.

RULES OF PROFESSIONAL CONDUCTRule 3.3

If a lawyer knows that the client intends to testify falsely or

wants the lawyer to introduce false evidence, the lawyer 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

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 to the 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

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;

RULES OF PROFESSIONAL CONDUCT Rule 3.6

(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.

(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

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.)

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.

RULES OF PROFESSIONAL CONDUCTRule 3.6

(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.

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

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;

(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;

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

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

prejudicial comments in these cases, but the likelihood of

prejudice may be different depending on the type of pro-

ceeding.

(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

RULES OF PROFESSIONAL CONDUCT Rule 3.8

(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 that issue. Moreover,

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;

(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.)

RULES OF PROFESSIONAL CONDUCTRule 3.8

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

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 pros-

ecutor cannot determine if a defendant is represented, disclo-

sure 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 outcome,’’ as articu-

lated 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, 104 S. Ct. 2052, 80 L. Ed. 2d 674 (1984). The

decision by a prosecutor to disclose information to a defendant

or an appropriate authority shall not be deemed a concession

that, and shall not ethically foreclose the prosecutor from con-

testing 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 leg-

islative body or administrative agency in a nonad-

judicative 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

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. Truthfuln ess 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,

RULES OF PROFESSIONAL CONDUCT Rule 4.3

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

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 an employee 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.

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 is a 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

RULES OF PROFESSIONAL CONDUCTRule 4.3

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 rep-

resentation of the lawyer’s client and knows or

reasonably should know that the document or

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

email 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, email 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

to ensure that the other lawyer conforms to the

Rules of Professional Conduct.

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

RULES OF PROFESSIONAL CONDUCT Rule 5.3

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.

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

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;

(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 Rule 5.1. 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

RULES OF PROFESSIONAL CONDUCTRule 5.3

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

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 lawyer with disabilities or a lawyer who is

deceased or has disappeared 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.

(4) A lawyer may share legal fees from a court

award or settlement with a nonprofit organiza-

tion that employed, retained, or recommended

employment of the lawyer in the matter.

(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.

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

(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; amended June 13, 2019, to take

effect July 16, 2019.)

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), (d) and (f) 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.

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:

RULES OF PROFESSIONAL CONDUCT Rule 5.5

(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

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 in another United States

jurisdiction, who is in good standing in each juris-

diction in which he or she has been admitted, or

who has taken retirement status or otherwise left

the active practice of law while in good standing

in another jurisdiction, may participate in the provi-

sion of uncompensated pro bono publico legal

services in Connecticut where such services are

offered under the supervision of an organized

legal aid society or state or local bar associa-

tion project.

(e) 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.

(f) To the extent that a lawyer is physically pre-

sent in this jurisdiction and remotely engages in

the practice of law as authorized under the laws

of another United States jurisdiction in which that

lawyer is admitted, such conduct does not consti-

tute the practice of law in this jurisdiction.

(g) 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.

(h) A lawyer desirous of obtaining the privileges

set forth in subsection (c) (3) or (4):

(1) shall notify the statewide bar counsel as to

each separate matter prior to any such represen-

tation in Connecticut;

(2) shall notify the statewide bar counsel upon

termination of each such representation in Con-

necticut; 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; amended

June 11, 2021, to take effect Jan. 1, 2022; amended June 10,

2022, to take effect Jan. 1, 2023.)

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 may not 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

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 (e) (1) and (e) (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

RULES OF PROFESSIONAL CONDUCTRule 5.5

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.

Subsections (c), (d) and (f) apply to lawyers who are admit-

ted to practice 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

subsections (c), (d) and (f) contemplates that the lawyer is

authorized to practice in the jurisdiction in which the lawyer

is admitted and excludes a lawyer who, while technically admit-

ted, 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

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 subdivision (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

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.

For purposes of subsection (d), an attorney in ‘‘good stand-

ing’’ is one who: (1) has been admitted to practice law in any

United States jurisdiction; (2) is not suspended or disbarred

in any other jurisdiction; (3) has never resigned or retired from

the practice of law while subject to discipline or disciplinary

proceedings in any other jurisdiction; (4) has not been placed

on inactive status while subject to discipline or disciplinary

proceedings in any other jurisdiction; and (5) is not currently

subject to disciplinary proceedings in any other jurisdiction.

Subdivision (e) (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

subsection (c), (d) or (e) or otherwise is subject to the disciplin-

ary authority of this jurisdiction. See Rule 8.5 (a). In some

circumstances, a lawyer who practices law in this jurisdiction

pursuant to subsection (c), (d) or (e) may have to inform the

client that the lawyer is not licensed to practice law in this juris-

diction.

Subsections (c), (d), (e) and (f) do not authorize communica-

tions advertising legal services in this jurisdiction by lawyers

who are admitted to practice in other jurisdictions. Whether

and how lawyers may communicate the availability of their

services in this jurisdiction is governed by Rules 7.1 to 7.5.

Subsection (f) reflects the reality that with the advancement

of technology, many lawyers work remotely from locations

outside the jurisdiction(s) in which they are admitted to practice

law. Subsection (f) allows those lawyers to practice law as

authorized in the jurisdiction(s) in which they are admitted while

physically present in Connecticut. This subsection coordinates

with Practice Book Section 2-44A (c), which provides that a

lawyer admitted in another United States jurisdiction engaged

in the remote practice of law as authorized by that jurisdiction

while physically present in Connecticut is not engaged in the

practice of law in this jurisdiction.

RULES OF PROFESSIONAL CONDUCT Rule 6.3

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 agree-

ment 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 freedom of 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 Delegates has 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

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 mem-

ber of a legal services organization, apart from the

law firm in which the lawyer practices, notwith-

standing that the organization serves persons

having interests adverse to a client of the lawyer.

The lawyer shall not knowingly participate in a

decision or action of the organization:

RULES OF PROFESSIONAL CONDUCTRule 6.3

(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:

(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.

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 cir-

cumstances 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 if the 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 Rule 1.10 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.

RULES OF PROFESSIONAL CONDUCT Rule 7.2

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 state-

ment considered as a whole not materially mis-

leading.

(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. Whatever means

are used to make known a lawyer’s services, statements about

them must be truthful. Misleading truthful statements are pro-

hibited by this Rule. A truthful statement is misleading if it omits

a fact necessary to make the lawyer’s communication consid-

ered as a whole not materially misleading. A truthful statement

is misleading if a substantial likelihood exists 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 reason-

able factual foundation. A truthful statement also is misleading

if presented in a way that leads a reasonable person to believe

the lawyer’s communication requires that person to take further

action when, in fact, no action is required.

A communication that truthfully reports a lawyer’s achieve-

ments on behalf of clients or former clients may be misleading

if presented without a disclaimer indicating that the communi-

cated result is based upon the particular facts of that case so

as to lead a reasonable person to form an unjustified expecta-

tion 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 unsub-

stantiated claim about a lawyer’s or law firm’s services or fees,

or an unsubstantiated comparison of the lawyer’s services or

fees with those of other lawyers or law firms may be misleading

if presented with such specificity as would lead a reasonable

person to conclude that the comparison or claim can be sub-

stantiated. The inclusion of an appropriate disclaimer or quali-

fying langua ge ma y preclu de a findin g that a statemen t is likely

to create unjustified exp ec tat io ns or otherwise misle ad the pub-

lic.

In addition to the provisions of this Rule, see Rule 8.4 (3)

defining professional misconduct to include conduct involving

dishonesty, fraud, deceit, or misrepresentation. See also Rule

8.4 (5) for the prohibition against stating or implying an ability

to improperly influence a government agency or official or to

achieve results by means that violate the Rules of Professional

Conduct or other law.

Firm names, letterhead and professional designations are

communications concerning a lawyer’s services. A firm may

be designated by the names of all or some of its current mem-

bers, by the names of deceased or retired members where

there has been a succession in the firm’s identity or by a trade

name if it is not false or misleading. A lawyer or law firm also

may be designated by a distinctive website address, social

media username or comparable professional designation that

is not misleading. A law firm name or designation is misleading

if it implies a connection with a government agency, with a

deceased lawyer who was not a former member of the firm,

with a lawyer not associated with the firm or a predecessor

firm, with a nonlawyer or with a public or charitable legal services

organizat ion. If a firm uses a trade name that includes a geo-

graphical name such as "Springf ield Legal Clinic," an express

statement explaining that it is not a public legal aid organization

may be requ ired to avoid a misleading implication.

Letterhead identification of the lawyers in the office of the

firm shall indicate the jurisdictional limitations on those not

licensed to practice in the jurisdiction where the office is located.

A law firm with offices in more than one jurisdiction may

use the same name or other professional designati on in each

jurisdict ion.

Lawyers may not imply or hold themselves out as practicing

together in one firm when they are not a firm, as defined in

Rule 1.0 (d), because to do so would be false and misleading.

It is misleading to use the name of a lawyer holding a public

office in the name of a law firm, or in communications on the

law firm’s behalf, during any substantial period in which the

lawyer is not actively and regularly practicing with the firm.

Rule 7.2. Communications concerning a

Lawyer’s Services: Specific Rules

(Amended June 13, 2019, to take effect Jan. 1, 2020.)

(a) A lawyer may communicate information

regarding the lawyer’s services through all media.

(b) (1) A copy or recording of a communication

regarding the lawyer’s services shall be kept for

three years after its last dissemination along with

a record of when and where it was used. An elec-

tronic communication regarding the lawyer’s ser-

vices 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.

ise anything of value to a person for recommend-

ing the lawyer’s services, except that a lawyer

may:

(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;

(3) pay for a law practice in accordance with

Rule 1.17;

(4) refer clients to another lawyer or a nonlawyer

professional pursuant to an agreement not other-

wise prohibited under these Rules that provides

for the other person to refer clients or customers

to the lawyer, if:

(A) the reciprocal referral agreement is not

exclusive; and

(B) the client is informed of the existence and

nature of the agreement; and

(5) give a nominal gift as an expression of

appreciation, provided that such a gift is neither

intended nor reasonably expected to be a form

of compensation for recommending a lawyer’s

services, and such gifts are limited to no more

than two per year to any recipient.

RULES OF PROFESSIONAL CONDUCTRule 7.2

(d) A lawyer shall not state or imply that a lawyer

is certified as a specialist in a particular field of

law, unless:

(1) the lawyer is currently certified as a special-

ist 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 or by an organization

accredited by the American Bar Association; and

(2) the name of the certifying organization is

clearly identified in the communication.

(e) Any communication made under this Rule

must include the name and contact information

of at least one lawyer admitted in Connecticut

responsible for its content. In the case of television

advertisements, the name, address and tele-

phone number of the lawyer admitted in Connect-

icut shall be displayed in bold print for fifteen sec-

onds or the duration of the commercial, whichever

is less, and shall be prominent enough to be read-

able.

(f) Every communication that contains infor-

mation 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 client 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 dura-

tion as the information regarding the lawyer’s fee.

If the information regarding the fee is spoken, the

disclosure concerning court costs and expenses

of litigation shall also be spoken.

(g) A lawyer who communicates a specific fee

or range of fees for a particular service shall honor

the fee or range of fees described in the communi-

cation for at least ninety days unless the communi-

cation specifies a shorter period; provided that, for

communications in the yellow pages of telephone

directories or other media not published more fre-

quently than annually, the fee or range of fees

described in the communication shall be honored

for no less than one year following publication.

(h) 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 (e).

(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; amended June 13, 2019, to take effect

Jan. 1, 2020.)

COMMENTARY: This Rule permits public dissemination of

information concerning a lawyer or law firm’s name, address,

email 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 ser-

vices 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 references and, with their consent, names of clients

regularly represented; and other information that might invite

the attention of those seeking legal assistance.

Record of Communications. 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 of doubtful constitutionality.

Paying Others To Recommend a Lawyer. Except as per-

mitted under subsection (c) (1) through (c) (5), lawyers are

not permitted to pay others for recommending the lawyer’s

services. A communication contains a recommendation if it

endorses or vouches for a lawyer’s credentials, abilities, com-

petence, character, or other professional qualities. Directory

listings and group advertisements that list lawyers by practice

area, without more, do not constitute impermissible ‘‘recom-

mendations.’’

Subsection (c) (1) allows a lawyer to pay for advertising

and communications permitted by this Rule, including the costs

of print directory listings, on-line directory listings, newspaper

advertisements, television and radio airtime, domain name

registrations, sponsorship fees, advertisements, internet

based advertisements, and group advertising. A lawyer 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, television and radio employees or spokesper-

sons, 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 (1) (duty to avoid violating the Rules through

the acts of another).

Pursuant to subsection (c) (4), a lawyer also may agree to

refer clients to another lawyer or a nonlawyer professional, in

return for the undertaking of that person to refer clients or

customers to the lawyer. Such reciprocal referral arrange-

ments must not interfere with the lawyer’s professional judg-

ment as to making referrals or as to providing substantive

legal services. See Rules 2.1 and 5.4 (c). Except as provided

in Rule 1.5 (e), a lawyer who receives referrals from a lawyer

or nonlawyer professional must not pay anything solely for the

referral, but the lawyer does not violate subsection (c) of this

Rule by agreeing to refer clients to the other lawyer or nonlaw-

yer professional, so long as the reciprocal referral agreement

is not exclusive and the client is informed of the referral

agreement. Conflicts of interest created by such arrangements

are governed by Rule 1.7. Reciprocal referral agreements

should not be of indefinite duration and should be reviewed

periodically to determine whether they comply with these

Rules. This Rule does not restrict referrals or divisions of

revenues or net income among lawyers within firms comprised

of multiple entities.

Subsection (c) (5) permits lawyers to give nominal gifts as

an expression of appreciation to a person for recommending

the lawyer’s services or referring a prospective client. The gift

may not be more than a token item as might be given for

holidays, or other ordinary social hospitality. A gift is prohibited

if the value of the gift is more than $50, or otherwise indicates

a sharing of either legal fees or the ultimate recovery in the

RULES OF PROFESSIONAL CONDUCT Rule 7.3

referred case, or if the gift is offered or given in consideration

of any promise, agreement or understanding that such a gift

would be forthcoming or that referrals would be made or

encouraged in the future.

A lawyer may pay others for generating client leads, such

as internet based client leads, as long as the lead generator

does not recommend the lawyer, any payment to the lead

generator is consistent with Rules 1.5 (e) (division of fees)

and 5.4 (professional independence of the lawyer), and the

lead generator’s communications are consistent with Rule 7.1

(communications concerning a lawyer’s services). To comply

with Rule 7.1, a lawyer must not pay a lead generator that

states, implies, or creates a reasonable impression that it

is recommending the lawyer, is making the referral without

payment from the lawyer, or has analyzed a person’s legal

problems when determining which lawyer should receive the

referral. See Paying Others To Recommend a Lawyer above

(definition of ‘‘recommendation’’). See also Rule 5.3 (duties

of lawyers and law firms with respect to the conduct of nonlaw-

yers); Rule 8.4 (1) (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

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.

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 activities of 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 asso-

ciation.

Communications about Fields of Practice. Subsection

(a) of this Rule permits a lawyer to communicate that the

lawyer does or does not practice in particular areas of law. A

lawyer is generally permitted to state that the lawyer ‘‘concen-

trates in,’’ ‘‘focuses on,’’ or that the practice is ‘‘limited to’’

particular fields of practice, but such communications are sub-

ject to the ‘‘false and misleading’’ standard applied in Rule

7.1 to communications concerning a lawyer’s services.

The Patent and Trademark Office has a long established

policy of designating lawyers practicing before the Office. The

designation of Admiralty practice also has a long historical

tradition associated with maritime commerce and the federal

courts. A lawyer’s communications about these practice areas

are not prohibited by this Rule.

This Rule permits a lawyer to state that the lawyer is certified

as a specialist in a field of law if such 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 Supe-

rior Court of this state or by an organization accredited by

the American Bar Association. Certification signifies that an

objective entity has recognized an advanced degree of knowl-

edge and experience in the specialty area greater than is

suggested by general licensure to practice law. Certifying orga-

nizations may be expected to apply standards of experience,

knowledge and proficiency to ensure that a lawyer’s recogni-

tion as a specialist is meaningful and reliable. To ensure that

consumers can obtain access to useful information about an

organization granting certification, the name of the certifying

organization must be included in any communication regarding

the certification.

Required Contact Information. This Rule requires that

any communication about a lawyer or law firm’s services

include the name of, and contact information for, the lawyer

or law firm. Contact information includes a website address,

a telephone number, an email address or a physical office

location.

Rule 7.3. Solicitation of Clients

(Amended June 13, 2014, to take effect Jan. 1, 2015.)

(a) ‘‘Solicitation’’ or ‘‘solicit’’ denotes a commu-

nication initiated by or on behalf of a lawyer or

law firm that is directed to a specific person the

lawyer knows or reasonably should know needs

legal services in a particular matter and that offers

to provide, or reasonably can be understood as

offering to provide, legal services for that matter.

(b) A lawyer shall not solicit professional employ-

ment by live person-to-person contact when a sig-

nificant motive for the lawyer’s doing so is the

lawyer’s or law firm’s pecuniary gain unless the

contact is:

(1) With a lawyer or a person who has a family,

close personal or prior business or professional

relationship with the lawyer;

(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) With a person who routinely uses for busi-

ness purposes the type of legal services offered

by the lawyer or with a business organization, a not-

for-profit organization or gove rnmental body and the

lawyer se eks to provide services related to the org a-

nization.

ment even when not otherwise prohibite d by sub-

section (b) 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 CONDUCTRule 7.3

would exercise reasonable judgment in employing

a lawyer;

(2) The target of the solicitation has made

known to the lawyer a desire not to be solicited

by the lawyer;

(3) The solicitation involves coercion, duress,

fraud, overreaching, harassment, intimidation or

undue influence; or

(4) The solicitation concerns an action for per-

sonal injury or wrongful death or otherwise relates

to an accident or disaster involving the person to

whom the solicitation is addressed or a relative

of that person, unless the accident or disaster

occurred more than forty days prior to the mailing

of the solicitation, or the recipient is a person or

entity within the scope of subsection (b) of this

Rule.

(d) This Rule does not prohibit communications

authorized by law or ordered by a court or other

tribunal.

(e) Every written solicitation, as well as any

solicitation by audio or video recording, or other

electronic means, used by a lawyer for the pur-

pose of obtaining professional employment from

anyone known to be in need of legal services in a

particular matter, must be clearly and prominently

labeled ‘‘Advertising Material’’ in red ink on the

first page of any written solicitation and the lower

left corner of the outside envelope or container,

if any, and at the beginning and ending of any

solicitation by audio or video recording or other

electronic means. If the written solicitation 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 brochure or

pamphlet. Communications solicited by clients or

any other person, or if the recipient is a person

or entity within the scope of subsection (b) of this

Rule, need not contain such marks. No reference

shall be made in the solicitation to the solicitation

having any kind of approval from the Connecticut

bar. Such written solicitations shall be sent only

by regular United States mail, not by registered

mail or other forms of restricted delivery.

(f) Notwithstanding the prohibitions in this Rule,

a lawyer may participate with a prepaid or group

legal service plan operated by an organization not

owned or directed by the lawyer which uses live

person-to-person contact to enroll members or

sell 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; amended June 13, 2019, to take effect

Jan. 1, 2020.)

COMMENTARY: Subsection (b) prohibits a lawyer from

soliciting professional employment by live person-to-person

contact when a significant motive for the lawyer’s doing so

is the lawyer’s or the law firm’s pecuniary gain. A lawyer’s

communication is not a solicitation if it is directed to the general

public, such as through a billboard, an internet banner adver-

tisement, a website or a television commercial, or if it is in

response to a request for information or is automatically gener-

ated in response to electronic searches.

‘‘Live person-to-person contact’’ means in-person, face-to-

face, live telephone and other real-time visual or auditory per-

son-to-person communications where the person is subject

to a direct personal encounter without time for reflection. Such

person-to-person contact does not include chat rooms, text

messages or other written communications that recipients may

easily disregard. A potential for overreaching exists when a

lawyer, seeking pecuniary gain, solicits a person known to be

in need of legal services. This form of contact subjects a person

to the private importuning of the trained advocate in a direct

interpersonal encounter. The person, who may already feel

overwhelmed by the circumstances giving rise to the need for

legal services, may find it difficult to fully evaluate all available

alternatives with reasoned judgment and appropriate self-

interest in the face of the lawyer’s presence and insistence

upon an immediate response. The situation is fraught with the

possibility of undue influence, intimidation, and overreaching.

The potential for overreaching inherent in live person-to-

person contact justifies its prohibition, since lawyers have alter-

native means of conveying necessary information. In particu-

lar, communications can be mailed or transmitted by email or

other electronic means that do not violate other laws. These

forms of communications 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 sub-

jecting the public to live person-to-person persuasion that may

overwhelm a person’s judgment.

The contents of live person-to-person contact can be dis-

puted and may not be subject to a third-party scrutiny. Conse-

quently, they are much more likely to approach (and occasion-

ally 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

overreaching against a former client, or a person with whom

the lawyer has a close personal, family, business or profes-

sional relationship, or in situations in which the lawyer is moti-

vated by considerations other than the lawyer’s pecuniary

gain. Nor is there a serious potential for overreaching when

the person contacted is a lawyer or is known to routinely use

the type of legal services involved for business purposes.

Examples include persons who routinely hire outside counsel

to represent the entity; entrepreneurs who regularly engage

business, employment law or intellectual property lawyers;

small business proprietors who routinely hire lawyers for lease

or contract issues; and other people who routinely retain law-

yers for business transactions or formations. Subsection (b)

is not intended to prohibit a lawyer from participating in consti-

tutionally protected activities of public or charitable legal ser-

vice organizations or bona fide political, social, civic, fraternal,

employee or trade organizations whose purposes include pro-

viding or recommending legal services to their members or

beneficiaries.

A solicitation that contains false or misleading information

within the meaning of Rule 7.1, that involves coercion, duress

or harassment within the meaning of Rule 7.3 (c) (3), or that

involves contact with someone who has made known to the

lawyer a desire not to be solicited by the lawyer within the

meaning of Rule 7.3 (c) (2) is prohibited. Live person-to-person

solicitation of individuals who may be especially vulnerable to

coercion or duress, for example, the elderly, those whose first

RULES OF PROFESSIONAL CONDUCT Rule 7.4A

language is not English, or persons with disabilities, is ordi-

narily not appropriate when a significant motive for the solicita-

tion is pecuniary gain.

This Rule does not prohibit a lawyer from contacting repre-

sentatives of organizations or groups that may be interested

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 con-

cerning the plan or arrangement which the lawyer or lawyer’s

firm is willing to off er . This form of co mmu ni ca tion i s not directed

to people who are seeking legal service s for themselves . Rather,

it is usually addressed to an individual acting in a fiduciary

capacity seeking a supplier of legal services 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 representatives and

the type of information transmitted to the individual are func-

tionally similar to and serve the same purpose as advertising

permitted under Rule 7.2.

Communications authorized by law or ordered by a court

or tribunal include a notice to potential members of a class in

class action litigation.

Subsection (f) 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 organiza-

tion must not be owned by or directed (whether as manager

or otherwise) by any lawyer or law firm that participates in the

plan. For example, subsection (f) would not permit a lawyer

to create an organization controlled directly or indirectly by the

lawyer and use the organization for the in-person or telephone

solicitation of legal employment of the lawyer through member-

ships in the plan or otherwise. The communication 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. Lawyers who par-

ticipate in a legal service plan must reasonably ensure that

the plan sponsors are in compliance with Rules 7.1, 7.2 and

7.3 (c).

Rule 7.4. Communication of Fields of

Practice

[Repealed as of Jan. 1, 2020.]

Rule 7.4A. Certification as Specialist

(a) 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 or by an organization accredited

by the American Bar Association. Among the crite-

ria 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 special-

ists, shall be the requirement that the board or

entity certify specialists on the basis of published

standards and procedures which (1) do not dis-

criminate against any lawyer properly qualified for

such certification, (2) provide a reasonable basis

for the representation that lawyers so certified

possess special competence, and (3) require

redetermination of the special qualifications 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.

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 enti-

ties including, but not limited to, their rights and

duties, financing, public housing and urban devel-

opment, the rights of public employees, election

law, school law, sovereign immunity, and constitu-

tional 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, Clay-

ton Act, Federal Trade Commission Act, Hart-

Scott-Rodino Antitrust Improvements Act and

state antitrust statutes including, but not limited

to, restraints of trade, unfair competition, monopo-

lization, 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.

(5) Business bankruptcy: The practice of law

dealing with all aspects of the United States Bank-

ruptcy Code when the debtor was engaged in

RULES OF PROFESSIONAL CONDUCTRule 7.4A

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 repre-

senting children, parents or the government in all

child protection proceedings including emer-

gency, temporary custody, adjudication, disposi-

tion, foster care, permanency planning, termi-

nation, 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

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 per-

sons 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, dis-

position, and administration of the estates of older

persons and the implementation of decisions of

older persons and their representatives relative

to the foregoing with due consideration to the

applicable tax consequences of an action, involv-

ing, when appropriate, consultation and collab-

oration with professionals in related disciplines.

Lawyers certified in elder law must be capable of

recognizing issues that arise during counseling

and representation of older persons or their repre-

sentatives with respect to the following: Abuse,

neglect or exploitation of older persons; estate,

trust, and tax planning; other probate matters.

Elder law specialists must be capable of recogniz-

ing 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

pollution, toxic substances, pesticides, and civil-

ian 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

preparation of legal instruments in order to effec-

tuate estate plans; administering estates, includ-

ing tax related matters, both federal and state.

RULES OF PROFESSIONAL CONDUCT Rule 7.4B

(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

representation 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

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, trade-

marks 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; coun-

seling with regard to the law of unfair competition

as it relates to patents, trademarks and copy-

rights.

(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 transac-

tions except for residential real estate as defined

in subparagraph (A) of this subdivision, including,

but not limited to, real estate conveyances, title

searches and property transfers, leases, condo-

miniums, cooperatives and other common interest

communities, planned unit developments, mort-

gages, condemnation and eminent domain, zon-

ing and land use planning, property taxes, real

estate development and financing (with due con-

sideration to tax and securities consequences)

and determination of property 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; amended June 13, 2019, to take effect Jan. 1, 2020.)

Rule 7.4B. Legal Specialization Screening

Committee

(a) The chief justice, upon recommendation of

the Rules Committee of the Superior Court, shall

RULES OF PROFESSIONAL CONDUCTRule 7.4B

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.

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 its application

with the Legal Specialization Screening Commit-

tee pursuant to Rule 7.4B on form JD-ES-63. The

application materials shall be filed in a format pre-

scribed 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; amended June 13, 2019, to take effect

Jan. 1, 2020.)

Rule 7.5. Firm Names and Letterheads

[Repealed as of Jan. 1, 2020.]

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

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

RULES OF PROFESSIONAL CONDUCT Rule 8.4

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.

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 Miscon-

duct

(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 appro-

priate professional authority. A lawyer may not con-

dition settlement of a civil dispute involving alle-

gations of improprieties on the part of a lawyer

on an agreement that the subject misconduct not

be reported to the appropriate disciplinary author-

ity.

(b) A lawyer who knows that a judge has com-

mitted a violation of applicable rules of judicial con-

duct that raises a substantial question as to the

judge’s fitness for office shall inform the appro-

priate authority.

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 some other 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

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;

(6) Knowingly assist a judge or judicial officer

in conduct that is a violation of applicable rules

of judicial conduct or other law; or

(7) Engage in conduct that the lawyer knows

or reasonably should know is harassment or dis-

crimination on the basis of race, color, ancestry,

sex, pregnancy, religion, national origin, ethnicity,

disability, status as a veteran, age, sexual orienta-

tion, gender identity, gender expression or marital

status in conduct related to the practice of law.

This paragraph does not limit the ability of a lawyer

to accept, decline or withdraw from a representa-

tion, or to provide advice, assistance or advocacy

consistent with these Rules.

(P.B. 1978-1997, Rule 8.4.) (Amended June 26, 2006, to

take effect Jan. 1, 2007; amended June 11, 2021, to take

effect Jan. 1, 2022.)

RULES OF PROFESSIONAL CONDUCTRule 8.4

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.

Discrimination and harassment in the practice of law under-

mine confidence in the legal profession and the legal system.

Discrimination includes harmful verbal or physical conduct

directed at an individual or individuals that manifests bias or

prejudice on the basis of one or more of the protected catego-

ries. Not all conduct that involves consideration of these char-

acteristics manifests bias or prejudice: there may be a

legitimate nondiscriminatory basis for the conduct.

Harassment includes severe or pervasive derogatory or

demeaning verbal or physical conduct. Harassment on the

basis of sex includes unwelcome sexual advances, requests

for sexual favors and other unwelcome verbal or physical

conduct of a sexual nature.

The substantive law of antidiscrimination and antiharass-

ment statutes and case law should guide application of para-

graph (7), where applicable. Where the conduct in question is

subject to federal or state antidiscrimination or antiharassment

law, a lawyer’s conduct does not violate paragraph (7) when

the conduct does not violate such law. Moreover, an adminis-

trative or judicial finding of a violation of state or federal antidis-

crimination or antiharassment laws does not alone establish

a violation of paragraph (7).

A lawyer’s conduct does not violate paragraph (7) when

the conduct in question is protected under the first amendment

to the United States constitution or article first, § 4 of the

Connecticut constitution.

Conduct related to the practice of law includes representing

clients; interacting with witnesses, coworkers, court personnel,

lawyers and others while engaged in the practice of law;

operating or managing a law firm or law practice; and partici-

pating in bar association, business or professional activities

or events in connection with the practice of law. Lawyers may

engage in conduct undertaken to promote diversity, equity

and inclusion without violating this Rule by, for example, imple-

menting initiatives aimed at recruiting, hiring, retaining and

advancing diverse employees or sponsoring diverse law stu-

dent organizations.

A trial judge’s finding that peremptory challenges were exer-

cised on a discriminatory basis does not alone establish a

violation of paragraph (7). Moreover, no disciplinary violation

may be found where a lawyer exercises a peremptory chal-

lenge on a basis that is permitted under substantive law. A

lawyer does not violate paragraph (7) by limiting the scope or

subject matter of the lawyer’s practice or by limiting the law-

yer’s practice to members of a particular segment of the popu-

lation in accordance with these rules and other law. A lawyer

may charge and collect reasonable fees and expenses for a

representation. Rule 1.5 (a). Lawyers also should be mindful

of their professional obligations under Rule 6.1 to provide legal

services to those who are unable to pay, and their obligation

under Rule 6.2 not to avoid appointments from a tribunal

except for good cause. See Rule 6.2 (1), (2) and (3). A lawyer’s

representation of a client does not constitute an endorsement

by the lawyer of the client’s views or activities. See Rule 1.2 (b).

The provisions of Rule 1.2 (d) concerning a good faith

challenge 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

RULES OF PROFESSIONAL CONDUCT Rule 8.5

jurisdiction is subject to the disciplinary authority of this 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

to Practice Book Section 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 be designated 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

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

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

under each Canon,

and Comments that generally follow and explain

each Rule. Scope and Terminology sections pro-

vide additional guidance in interpreting and apply-

ing 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 impor -

tant guidance in interpreting the Rules. Where a

Rule contains a permissive term, such as ‘‘may’’

or ‘‘should,’’ the conduct being addressed is com-

mitted to the sound personal and professional dis-

cretion of the judge in question, and no disciplinary

action shall be taken for action or inaction within

the bounds of such discretion.

(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 prohib ited co nduct. 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,

properly understood, is obligatory as to the con-

duct at issue.

References herein to numbered Rules are to the Rules of

this Code, unless stated otherwise.

CODE OF JUDICIAL CONDUCT

(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.

‘‘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 ch ild ser ves 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,’’ ‘‘imp artial ity,’’ and ‘‘imp artial ly’’

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’’ mean s pro bity , fai rnes s, ho nesty,

uprightne ss, a nd so undn ess o f cha racter . See

Canons 1 and 4 and Rules 1.2, 3.1, 3.12, 3.13,

and 4.2.

‘‘Knowingly,’’ ‘‘knowledge,’’ ‘‘known,’’ and

‘‘knows’’ mean actual knowledge of the fact 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.

CODE OF JUDICIAL CONDUCT

‘‘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 o r domes tic par tner or an indivi dual

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.

‘‘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 refer-

ees, 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 CONDUCT Rule 1.2

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

avoid impropriety and the appearance of impro-

priety. The test for appearance of impropriety is

3. A Judge Shall Conduct the Judge’s Personal and Extraju-

dicial 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 Activ-

ity 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

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.

(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 conducting such activi-

ties, the judge must act in a manner consistent with this Code.

CODE OF JUDICIAL CONDUCTRule 1.3

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.)

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 perfor man ce of judi-

cial 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.

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, re lig io n, nat ion al origin, ethnicit y, dis abi li ty,

age, sexua l orientation, marital statu s, soc ioe co-

nomic 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 stere o-

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.

(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.

CODE OF JUDICIAL CONDUCT Rule 2.8

(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.

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 an d exp edit ious in dete rmin ing m atters

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.)

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.

willingness to serve, a judge shall not commend

or criticize jurors with respect to their verdict in a

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 the duty 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.

CODE OF JUDICIAL CONDUCTRule 2.8

(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.

(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.

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,

includi ng pr ovid ing a ppro pria te supe rvis ion, 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.

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.)

CODE OF JUDICIAL CONDUCT Rule 2.11

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;

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

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

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.

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 or an

administrative agency. When the judge becomes

aware pursuant to Practice Book Sections 1-22

(b), 4-8, 66-9, or otherwise that such a lawsuit or

complaint has been filed against him or her, the

judge shall proceed in accordance with Practice

Book Section 1-22 (b) or 66-9.

(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

the sole basis for recusal by the judge in lawsuits

where the attorney general appears.

(Effective Jan. 1, 2011.) (Amended June 15, 2018, to take

effect Jan. 1, 2019; amended June 9, 2023, to take effect Jan.

1, 2024.)

HISTORY—2024: Prior to 2024, the second sentence of

subsection (e) read: ‘‘When the judge becomes aware pursu-

ant to Practice Book Section 1-22 (b) or 4-8 or otherwise that

such a lawsuit or complaint has been filed against him or her,

the judge shall, on the record, disclose that fact to the lawyers

and parties to the proceeding before such judge, and the judge

shall thereafter proceed in accordance with Practice Book

Section 1-22 (b).’’

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.’’

CODE OF JUDICIAL CONDUCTRule 2.11

(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—2011: 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.

AMENDMENT NOTE—2023: The change to this rule

deletes the requirement that the judge, on the record, disclose

the fact that a lawsuit or complaint has been filed against him

or her, because the burden of disclosure under Section 1-22

and under Section 66-9, is on the party or attorney filing the

lawsuit or complaint.

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

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 addre ss th e pro blem . Dep endi ng on th e cir cum-

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 CONDUCT Rule 3.1

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 includ-

ing 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 regarding

the lawyer’s honesty, trustworthiness, or fitness as

a lawyer in other respects shall take appropriate

action including informing the appropriate authority.

a substantial likelihood that another judge has com-

mitted a violation of this Code shall take appro-

priate action.

(d) A judge who receives information indicating

a substantial likelihood that a lawyer has committed

a violation of the Rules of Professional Conduct

shall take appropriate action.

(e) A judge is not required to disclose information

gained by the judge while serving as a member 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.

(Effec ti ve J an . 1 , 20 11.)

COMMEN T: (1) Ta ki ng app ro pr iate action unde r the cir cu m-

stance s to addres s known misconduct is a judge’ s obligation.

Except as otherwi se pro vi de d in subsec tio n (e), subsections

(a) and (b) impose an obligat ion on the judge to report to the

appropriate disciplinary authority the known misconduct of

anothe r judg e or a lawye r that rais es a substa nt ial question

regard in g the honest y, trus two rt hiness, or fitness of that judge

or lawyer. Ignoring or d en yi ng known miscond uc t among one’s

judici al colleagues or members of the legal professi on under-

mines a judge’s responsibil ity to part ici pa te in efforts to ensur e

public respect for the j us ti ce s ystem. Thi s R ul e limi ts the reporting

obliga ti on to tho se offense s that an indepen de nt judiciary m us t

vigoro us ly e nd ea vor to prevent.

(2) A judge who does not have actual knowledge that another

judge or a lawyer may have committe d misconduct , but receives

inform at ion indicat in g a substan ti al likelihood of such miscon-

duct, is required to take approp ri at e action under subsec tio ns

Approp ri ate action may incl ude , but is not limited to , c om mun ic at -

ing direc tly with the judge who may have violated this Code,

commun ic ati ng with a supervisi ng judg e, or report ing the sus-

pected violation to the appr opr ia te authority or other agency

or body .

(3) Simil arl y, ac tio ns to be taken in re spo nse to information

indica ti ng t ha t a lawyer has commi tt ed a violation of the Rules

of Profes sio na l Cond uc t may include, but are not limite d to,

commun ic ati ng di rec tl y w it h the law ye r who may hav e com mi tte d

the violation or report in g the suspe ct ed viola tion to the appro-

priate authority or o th er agency or bod y.

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 indirectly,

against a person known or suspected to have

assisted or cooperated with an investigation of a

judge or a lawyer.

(Effec ti ve J an . 1 , 20 11.)

COMMEN T:Cooperatio n with invest igations and proce ed in gs

of judicial and lawyer discipli ne agencie s, as req ui re d in subsec-

tion (a), instills co nf id en ce in j ud ges’ c om mi tme nt to th e integrity

of the j ud ici al system and th e pr ot ection of t he public.

Canon 3. A Judge Shall Conduct the Judge’s

Personal and Extrajudicial Activities To Min-

imize the Risk of Conflict with the Obliga-

tions 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, and the 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 CONDUCTRule 3.1

(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 Gove rn me n-

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

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

governmental 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 particul ar

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 CONDUCT Rule 3.8

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:

(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 Pos i-

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 CONDUCTRule 3.8

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.

ties permitted under subsections (a) and (b) if

they will:

(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. Compensa tion for Extra judi cial

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 interest

CODE OF JUDICIAL CONDUCT Rule 3.14

in a proceeding pending or impending before the

judge would in any event require disqualification

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.

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 ind epen denc e, in tegr ity, or impa rtiali ty 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.

(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.

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 CONDUCTRule 3.14

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;

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

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 sub-

section (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.

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

designated 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 reappoint-

ment 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 CONDUCT Rule 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).

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

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 subsection (a) (7), (a) (8), or (a) (9), the judge may

make a factually accurate public response. See Rule 2.10.

(8) Subject to subsection (a) (8), a judge is permitted to

respond directly to false, misleading, or unfai r all egat ions

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, a dmin istr atio n, an d cou rt mana geme nt, s uch a s 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 CONDUCTRule 4.1

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 par-

tisan 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

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

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. Bar Examining Committee

2-4. —Regulations by Bar Examining Committee

2-4A. —Records of Bar Examining Committee

2-5. —Examination of Candidates for Admission

2-5A. —Good Moral Character and Fitness To Prac-

tice Law

2-6. —Personnel of Bar 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; Admission in

Absentia

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; Attorney Registration

2-27A. Minimum Continuing Legal Education

2-27B. Enforcement of Attorney Registration and Mini-

mum Continuing Legal Education; Administra-

tive Suspension

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

CHAPTER AND SECTION HEADINGS OF THE RULES

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

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

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, Detention Hearing or Alter-

native Arraignment Proceedings Only

3-7. Consequence of Filing Appearance

3-8. Appearance for Represented Party

3-9. Withdrawal of Appearance; Duration of Appear-

ance

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 [Repealed]

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 Injunc-

tions

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

4-8. Notice of Complaint or Action Filed against Judi-

cial Authority

CHAPTER AND SECTION HEADINGS OF THE RULES

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

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

5-12. Objection to the Use of a Peremptory Challenge

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

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 7

CLERKS; FILES AND RECORDS

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 Judg-

ment

7-11. —Judgments on the Merits—Stripping and Reten-

tion

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

CHAPTER 9

PARTIES

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 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

CHAPTER AND SECTION HEADINGS OF THE RULES

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 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

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

CHAPTER AND SECTION HEADINGS OF THE RULES

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 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

13-12A. Disclosure of Medicare Enrollment, Eligibility and

Payments Received

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

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

CHAPTER AND SECTION HEADINGS OF THE RULES

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. Jurors Who Are Deaf or Hard of Hearing

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 E xcep tio ns; Necessit y 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

Remittitur, 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

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; 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

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

CHAPTER AND SECTION HEADINGS OF THE RULES

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

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

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

21-25. Applicability of Rules

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]

CHAPTER AND SECTION HEADINGS OF THE RULES

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

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

Withdraw 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

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

CHAPTER AND SECTION HEADINGS OF THE RULES

SUPERIOR COURT—PROCEDURE IN FAMILY MATTERS

CHAPTER 25

GENERAL PROVISIONS

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

25-6A. Appearance by Self-Represented Party in Addi-

tion to Appearance of Attorney

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

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

CHAPTER AND SECTION HEADINGS OF THE RULES

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 Appear-

ance

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

SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERS

CHAPTER 26

GENERAL PROVISIONS

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 COMPLAINTS OR PETITIONS

Sec.

27-1. Complaints; In General [Repealed]

27-1A. Referrals for Nonjudicial Handling of Delin-

quency 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 or Diversion

of Delinquency 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

25a-14. —Continuances when Counsel’s Presence or Oral

Argument Required

25a-15. Statements To Be Filed

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 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

27-9. Family with Service Needs Referrals [Repealed]

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.)

CHAPTER 29

RECEPTION AND PROCESSING OF

DELINQUENCY PETITIONS AND

DELINQUENCY INFORMATIONS

Sec.

29-1. Contents of Delinquency Petitions or Informations

29-1A. Processing of Delinquency Petitions and Infor-

mations

29-1B. Processing of Family with Service Needs Peti-

tions [Repealed]

29-2. Service of Petitions

CHAPTER 30

DETENTION

Sec.

30-1. Notice and Statement by Person Bringing Child

to Detention [Repealed]

CHAPTER AND SECTION HEADINGS OF THE RULES

30-1A. Admission to a Juvenile Residential Center

30-2. Release [Repealed]

30-2A. Nondelinquent Juvenile Runaway from Another State

and Dete ntion

30-3. Advisem ent of Rights

30-4. Notice to Parents by Juvenile Residenti al Center Per-

sonnel

30-5. Detenti on Tim e Limi tatio ns

30-6. Basis fo r Dete ntion

30-7. Place of Detention Hea rings

30-8. Initial Order for Dete ntion ; Waiv er of H earin g

30-9. Informa tion A llowe d at De tenti on Hea ring

30-10. Orders of a Judicial Authority after Initial Detention

Hearing

30-11. Detenti on aft er Dis posit ional Hearing

30-12. Where Pres ence of a Detained Child May Be by

Means of an Interactiv e Audi ovisu al Dev ice

CHAPTER 30a

DELINQUENCY HEARINGS

Sec.

30a-1. Initial Plea Hearing

30a-1A. Family w ith Se rvice Needs Preadju dicat ion

Continu ance [ Repea led]

30a-2. Pretria l Conf erenc e

30a-3. —Standa rd of P roof; Burden of Goin g Forw ard

30a-4. Plea Can vass

30a-5. Disposi tiona l Hear ing

30a-6. —Statem ent on Behalf of Vict im

30a-6A. —Person s in Atte ndanc e at Heari ngs [Repealed]

(Transf erred to Section 26- 2.)

30a-7. Recordi ng of H earin gs

30a-8. Records

30a-9. Appeals in Delinquenc y Proc eedin gs

CHAPTER 31

DELINQUENCY AND FAMILY WITH SERVICE

NEEDS HEARING

[Repealed as of Jan. 1, 2003.]

Sec.

31-1. Adjudic atory Hearing ; Actions by Judic ial Authority

[Repeal ed]

31-2. —Contin uance for Pretrial C onfer ence [ Repea led]

31-3. —Burden of Going Forwa rd [Re peale d]

31-4. —Physic al Pre sence of Child [Repe aled]

31-5. Disposi tiona l Hearin g; Factor s To Be Considered by

Judicia l Auth ority [Repealed]

31-6. —When Held; Evidence and Predis posit ional

Study [R epeal ed]

31-7. —Availa bilit y of Predispositi onal Stu dy to Counsel

and Part ies [R epeal ed]

31-8. —Dispos ition al Plan Offere d by Child or Parent

[Repeal ed]

31-9. —Statem ent on Behalf of Vict im [Re peale d]

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 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 [Repealed]

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

[Repealed]

31a-19A. Motion for Extension or Revocation of Family with

Service Needs Commitment; Motion for Review

of Permanency Plan [Repealed]

31a-20. Petition for Violation of Family with Service Needs

Post-Adjudicatory Orders [Repealed]

31a-21. Petition for Child from a Family with Service Needs

at Imminent Risk [Repealed]

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 AND SECTION HEADINGS OF THE RULES

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]

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

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

35a-24. Motions for Posttermination Visitation

CHAPTER 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 AND SECTION HEADINGS OF THE RULES

CHAPTER 35a

HEARINGS CONCERNING NEGLECTED,

ABUSED AND UNCARED FOR CHILDREN

AND TERMINATION OF PARENTAL RIGHTS

Sec.

35a-1. Adjudication upon Acceptance of Admission or

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

SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERS

CHAPTER 36

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

35a-12. Protective Supervision—Conditions, Modification

and Termination

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 as Guardian

35a-20A. Motions for Reinstatement of Former Legal Guard-

ian 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

35a-24. Motions for Posttermination Visitation

CHAPTER 37

ARRAIGNMENT

Sec.

37-1. Arraignment; Timing, Alternative Proceedings

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 Constitu-

tional 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

37-11. —Notice to Defendant when Information in Two

Parts

37-12. Defendant in Custody; Determination of Proba-

ble 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 Officer or Probation Officer

Serving Warrant

38-3. —Release by Bail Commissioner or Intake,

Assessment and Referral Specialist

38-4. —Release by Judicial Authority

CHAPTER AND SECTION HEADINGS OF THE RULES

38-5. —Release by Correctional Officials

38-6. Appearance after Release

38-7. Cash Bail

38-8. Seven 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 Modifica-

tion 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

Contendere

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

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 regard-

ing Alibi Defense

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. 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

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

CHAPTER AND SECTION HEADINGS OF THE RULES

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

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; Jurors Who Are Deaf or Hard

of Hearing

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 Clari-

fication

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

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. —Participation of Defense Counsel in Report

Preparation

43-6. —Period of Continuance To Complete Report

CHAPTER AND SECTION HEADINGS OF THE RULES

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 Sentence or Discharge of Defendant

by Sentencing Court

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’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

43-40A. —Included Time Period in Determining Speedy

Trial; Failure To Comply with Disclosure by

Prosecuting Authority

43-41. —Motion for Speedy Trial; Dismissal

43-42. —Definition of Commencement of Trial

43-43. —Waiver of Speedy Trial Provisions

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. —Where Presence of Defendant May Be by Means

of an Interactive Audiovisual Device

44-11. Docketing and Scheduling in General of Crimi-

nal Cases

44-12. —Control of Scheduling

44-13. —Scheduling for Proceedings before Trial; Con-

tinuances

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. —Plea of Nolo Contendere to Infraction or Vio-

lation

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 Cer-

tain 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

CHAPTER AND SECTION HEADINGS OF THE RULES

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. Appeal of Judgment on Part of Complaint, Coun-

terclaim 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

61-7. Joint and Consolidated Appeals

61-8. Cross Appeals

61-9. Decisions Subs eque nt t o Fil ing of Appeal; Amende d

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; WhenStay May Be

Requested from Court Having Appellate Juris-

diction

61-15. Stay of Execution in Death Penalty Case

[Repealed as of Jan. 1, 2024]

61-16. Notice of Bankruptcy Filing, Order of Bankruptcy

Court Granting Relief from Automatic Stay and

Disposition of Bankruptcy Case

CHAPTER 62

CHIEF JUDGE, APPELLATE CLERK AND

DOCKET: GENERAL ADMINISTRATIVE

MATTERS

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

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

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 Subsequent to the Filing of the 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 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 AND SECTION HEADINGS OF THE RULES

CHAPTER 65

TRANSFER OF MATTERS

Sec.

65-1. Transfer of Matter by Supreme Court

65-1A. Transfer of Matter on Recommendation of Appel-

late Court

65-2. Party Motion to Transfer Appeal, Writ of Error or

Reservation

65-3. Transfer of Petition for Review of Bail Order from

Appellate Court to Supreme Court

65-4. Transfer of Matter Brought to Wrong Court

65-5. Proceedings after Transfer

CHAPTER 66

MOTIONS AND OTHER PROCEDURES

Sec.

66-1. Extension of Time

66-2. Motions

66-2A. Supreme Court Briefs on Compact Disc; Hyper-

linking [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

66-9. Disqualification of Appellate Jurists

CHAPTER 67

BRIEFS

Sec.

67-1. Brief and Appendix

67-2. Format of Paper Briefs and Appendices for Filers

Excluded or Exempt from Electronic Filing Pur-

suant to Section 60-8; Copies

67-2A. Format of Electronic Briefs and Party Appendi-

ces; Copies

67-3. Page Limitations; Time for Filing Paper Briefs

and Appendices

67-3A. Word Limitations; Time for Filing Electronic Briefs

and Party Appendices

67-4. The Appellant’s Brief; Contents and Organization

67-5. The Appellee’s Brief; Contents and Organization

67-5A. The Reply Brief

67-6. Statutory (§ 53a-46b) Review of Death Sentences

67-7. The Amicus Curiae Brief (Applicable to appeals

filed before October 1, 2021.)

67-7A. The Amicus Curiae Electronic Brief

67-8. The Party Appendix

67-8A. The Appendix in Administrative Appeals; Excep-

tions (Transferred from Section 68-10.) (Appli-

cable to appeals filed before October 1, 2021.)

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

100

67-13. Briefs in Family and Juvenile Matters and Other

Matters involving Minor Children

CHAPTER 68

CASE FILE AND CLERK APPENDIX

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.]

68-2A. Assembly of the Clerk Appendix

68-3. Record Contents [Repealed only as to appeals

filed on or after July 1, 2013.]

68-3A. Clerk Appendix Contents

68-4. Record Format [Repealed only as to appeals filed

on or after July 1, 2013.]

68-4A. Clerk Appendix Format

68-5. Record where More than One Appeal [Repealed

only as to appeals filed on or after July 1, 2013.]

68-5A. Clerk Appendix when More than One Appeal

68-6. Record where Several Cases Present Same

Question [Repealed only as to appeals filed on

or after July 1, 2013.]

68-6A. Clerk Appendix when Several Cases Present

Same Question

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.]

68-8A. Supplements

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.)

68-10A. Clerk Appendix in Administrative Appeals; Excep-

tions

68-11. Decision To Be Part of Record [Repealed only as

to appeals filed on or after July 1, 2013.]

68-11A. Decision To Be Part of Clerk Appendix

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

CHAPTER AND SECTION HEADINGS OF THE RULES

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

72-3A. Stays

72-4. Applicability of Rules

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

101

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. P ap ers To Be Filed [Re pe a le d]

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 77

PROCEDURES CONCERNING COURT

CLOSURE AND SEALING ORDERS OR

ORDERS LIMITING THE DISCLOSURE OF

FILES, AFFIDAVITS, DOCUMENTS OR

OTHER MATERIAL

Sec.

77-1. Petition for Review Seeking 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

77-3. Sealing Documents or Limiting Disclosure of Doc-

uments 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 AND SECTION HEADINGS OF THE RULES

CHAPTER 78a

REVIEW OF ORDERS CONCERNING

RELEASE ON BAIL

Sec.

78a-1. Petition for Review of Order concerning Release

on Bail

CHAPTER 78b

REVIEW OF ORDERS DENYING

APPLICATION FOR WAIVER OF FEES TO

COMMENCE A CIVIL ACTION OR A WRIT OF

HABEAS CORPUS

Sec.

78b-1. Petition for Review of Order Denying Application

for Wavier of Fees to Commence a Civil Action

or a Writ of Habeas Corpus

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

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

102

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

81-3A. Grant or Denial of Certification

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

84-6. Statement in Opposition to Petition

84-6A. Petitions, Responses and Statements in Opposi-

tion in Family and Child Protection Matters and

Other Matters Involving Minor Children

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.]

84-10A. Record

CHAPTER AND SECTION HEADINGS OF THE RULES

84-11. Papers To Be Filed by Appellant and Appellee in

an Appeal After Certification

84-12. Applicability 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 Interrogatori es— Prem ise s Liability Cases

204 Plaintiff’s Requests for Production

205 Defendant’s Requests for Production

206 Plaintiff’s Requests for Production—Premises Liabil-

ity

207 Interrogatories—Actions To Establish, Enforce or

Modify Child Support Orders

208 Defendant’sSupplementalInterrogatori es—W orkers’

Compensatio n Benefit s—No Intervening 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 Requests for Production—Workers’

Compensation Benefits—Intervening Plaintiff

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

103

216 Defendant’s Requests for Production—

Uninsured/Underinsured Motorist Cases

217 Interrogatories—Civil Actions Alleging Personal

Injury—Medicare Enrollment, Eligibility and Pay-

ments

218 Defendant’s Interrogatories—Medical Negligence

219 Defendant’s Requests for Production—Medical

Negligence

220 Plaintiff’s Interrogatories—Medical Negligence—

Health Care Provider

221 Plaintiff’s Interrogatories—Medical Negligence—

Hospital and/or Medical Group

222 Plaintiff’s Requests for Production—Medical Negli-

gence—Health Care Provider

223 Plaintiff’s Requests for Production—Medical Negli-

gence—Hospital and/or Medical Group

OFFICIAL JUDICIAL BRANCH FORMS

APPENDIX: SUPERIOR COURT STANDING

ORDERS

SUPERIOR COURT—GENERAL PROVISIONSSec. 1-1

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

1-11C. Media Coverage of Criminal 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.

the rules for the Superior Court, means the Supe-

rior Court, any judge thereof, each judge trial ref-

eree 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

104

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

the procedures and technical standards estab-

lished by the Office of the Chief Court Administra-

tor pursuant to Section 4-4.

(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:

SUPERIOR COURT—GENERAL PROVISIONS Sec. 1-9A

(1) J—Juvenile matters including neglect, depend-

ency, delinquency, families with service needs

and termination of parental rights.

(2) S—Support and paternity actions.

(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

consist 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 infrac-

tions.

(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.)

105

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

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.

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

SUPERIOR COURT—GENERAL PROVISIONSSec. 1-9A

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

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.

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 com-

ments from the Judiciary Committee with respect

to such proposed revisions, he or she shall for-

ward 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 Stat-

utes § 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.

106

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

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 com-

mencing 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 Admin-

istrator.

(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.

SUPERIOR COURT—GENERAL PROVISIONS Sec. 1-11A

(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) Except as provided in subsection (q) of Sec-

tion 1-11C, proceedings involving sexual assault;

(4) Proceedings involving trade secrets;

(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.

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; amended

June 26, 2020, to take effect Jan. 1, 2021.)

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.

COMMENTARY—2021: The changes to this section and

to Section 1-11C permit the judicial authority to allow media

coverage of a homicide case involving sexual assault, provided

that the victim’s family affirmatively consents to such coverage.

If any member of the victim’s family objects to such coverage

or if the victim’s family cannot be identified or located, the

judicial authority should not allow such coverage.

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.

107

(b) Any media representative desiring to broad-

cast, televise, record or photograph an arraign-

ment shall send an email request for electronic

coverage to a person designated by the chief court

administrator to receive such requests. Said des-

ignee shall promptly transmit any such request to

the administrative judge, presiding judge of crimi-

nal 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 coverage shall not be per-

mitted until the state’s attorney 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 judicial authority shall

articulate orally or in writing the reasons for its

decision on the request and such decision shall

be final.

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.

SUPERIOR COURT—GENERAL PROVISIONSSec. 1-11A

(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. The judicial authority shall

not mediate any disputes among the media

regarding pooling arrangements.

(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; amended

June 10, 2022, to take effect Jan. 1, 2023.)

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.

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

108

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

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.

SUPERIOR COURT—GENERAL PROVISIONS Sec. 1-11C

‘‘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

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) If there are multiple requests to broadcast,

televise, record or photograph the same civil pro-

ceeding or trial, the media representatives making

such requests must make pooling arrangements

among themselves, unless otherwise determined

by the judicial authority. The judicial authority shall

not mediate any disputes among the media

regarding pooling arrangements.

(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, send an

email request for media coverage to a person

designated by the chief court administrator to

receive such requests. The designee shall inform

the administrative judge, presiding judge of civil

matters, judicial authority who will hear the pro-

ceeding or who will preside over the trial, clerk,

and the supervising marshal of the request, and

the judicial authority shall allow such coverage

except as otherwise provided in this section.

(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

109

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;

amended June 10, 2022, to take effect Jan. 1, 2023.)

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) Except as provided in subsection (q) of this

section, no broadcasting, televising, recording or

photographing of trials or proceedings involving

sexual offense charges shall be permitted.

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, send an

email request for media coverage to a person

designated by the chief court administrator to

receive such requests. The designee shall inform

the administrative judge, presiding judge of crimi-

nal matters, judicial authority who will hear the

proceeding or who will preside over the trial, clerk,

and the supervising marshal of the request, 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

SUPERIOR COURT—GENERAL PROVISIONSSec. 1-11C

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 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

110

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

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) If there are multiple requests to broadcast,

televise, record or photograph the same criminal

proceeding or trial, the media representatives

making such requests must make pooling arrange-

ments among themselves, unless otherwise

determined by the judicial authority. The judicial

authority shall not mediate any disputes among

the media regarding pooling arrangements.

(p) To evaluate and resolve prospective prob-

lems where broadcasting, televising, recording or

SUPERIOR COURT—GENERAL PROVISIONS Sec. 1-18

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.

(q) In a homicide case involving sexual assault,

the broadcasting, televising, recording or photo-

graphing by the media of the trial may be permitted

by the judicial authority, provided that the victim’s

family affirmatively consents to such coverage,

that no member of the victim’s family objects to

such coverage, and that the victim’s family have

been notified. As used in this section, ‘‘victim’s

family’’ shall mean a person’s spouse, parent,

grandparent, stepparent, aunt, uncle, niece,

nephew, child, including a natural born child, step-

child and adopted child, grandchild, brother, sis-

ter, half brother or half sister or parent of a

person’s spouse.

(Adopted June 29, 2007, to take effect Jan. 1, 2008;

amended June 20, 2011, to take effect Jan. 1, 2012; amended

June 26, 2020, to take effect Jan. 1, 2021; amended June 10,

2022, to take effect Jan. 1, 2023.)

COMMENTARY—2021: The changes to this section and

to Section 1-10B permit the judicial authority to allow media

coverage of a homicide case involving sexual assault, provided

that the victim’s family affirmatively consents to such coverage,

that no member of the victim’s family objects to such coverage

and that the victim’s family has been notified. If any member

of the victim’s family objects to such coverage or if the victim’s

family cannot be identified or located, the judicial authority

should not allow such coverage. As used in this section, ‘‘vic-

tim’s family’’ has the same meaning as ‘‘relative’’ in General

Statutes § 54-201 (4).

Sec. 1-11D. Pilot Program To Increase Pub-

lic 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

111

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.)

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 proceed-

ings.

(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

SUPERIOR COURT—GENERAL PROVISIONSSec. 1-18

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

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

112

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.

(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 or an administrative

agency. When such an attorney or party appears

before the judicial authority, he or she shall so

advise the judicial authority and other attorneys

and parties to the proceeding on the record, and,

thereafter, the judicial authority shall either dis-

qualify himself or herself from sitting on the pro-

ceeding, conduct a hearing on the disqualification

issue before deciding whether to disqualify him-

self 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; amended June 15, 2018, to take

effect Jan. 1, 2019.)

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

SUPERIOR COURT—GENERAL PROVISIONS Sec. 1-25

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;

113

(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.

including, but not limited to, fines pursuant to

General 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 PROVISIONS

CHAPTER 2

ATTORNEYS

Sec. Sec.

2-1. County Court Designations concerning Bar Admis-

sion Process

2-2. Admission

2-3. Bar Examining Committee

2-4. —Regulations by Bar Examining Committee

2-4A. —Records of Bar Examining Committee

2-5. —Examination of Candidates for Admission

2-5A. —Good Moral Character and Fitness To Practice

Law

2-6. —Personnel of Bar 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; Admission in

Absentia

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; Attorney Registration

2-27A. Minimum Continuing Legal Education

2-27B. Enforcement of Attorney Registration andMinimum

Continuing Legal Education; Administrative Sus-

pension

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

114

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

2-36. Action by Statewide Grievance Committee on

Request for Review

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 Misappropriationof Funds

2-47B. Restrictions onthe Activities ofDeactivated Attorneys

2-48. Designee To Prosecute Presentments

2-49. Restitution

2-50. Records of Statewide Grievance Committee, Review-

ing 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

SUPERIOR COURT—GENERAL PROVISIONS Sec. 2-4A

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

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 Fair-

field at Bridgeport shall be the Superior Court for

Fairfield county; the Superior Court for the judicial

district of New Haven at New Haven shall be the

Superior Court for New Haven county; the Supe-

rior Court for the judicial district of Litchfield at

Litchfield 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

judicial 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 London at Norwich shall be the Superior

Court for New London county; and the Superior

Court for the judicial district of Windham at Put-

nam 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. Bar Examining Committee

(Amended June 26, 2020, to take effect Jan. 1, 2021.)

There shall be a bar 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

115

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

those of eight members shall expire annually. 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 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 bar examining committee the chief

justice may make a pro tempore appointment to

the bar examining committee to serve during such

absence, illness or disqualification. At any meet-

ing of the bar examining committee the members

present shall constitute a quorum.

(P.B. 1978-1997, Sec. 11.) (Amended June 26, 2020, to

take effect Jan. 1, 2021.)

Sec. 2-4. —Regulations by Bar Examining

Committee

(Amended June 26, 2020, to take effect Jan. 1, 2021.)

The bar examining 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 meeting 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 committee 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; amended June 26, 2020, to take

effect Jan. 1, 2021.)

Sec. 2-4A. —Records of Bar Examining Com-

mittee

(Amended June 26, 2020, to take effect Jan. 1, 2021.)

(a) All records of the bar examining committee,

including transcripts, if any, of hearings conducted

by the bar examining committee or the several

SUPERIOR COURT—GENERAL PROVISIONSSec. 2-4A

standing committees on recommendations for

admission to the bar shall not be public.

(b) Unless otherwise ordered by the court, all

records that are not public shall be available only

to the bar examining committee and its counsel,

the statewide grievance committee and its coun-

sel, disciplinary counsel, the client security fund

committee and its counsel, a judge of the Superior

Court or, with the consent of the applicant, to any

other person.

(Adopted June 26, 2006, to take effect Jan. 1, 2007;

amended June 26, 2020, to take effect Jan. 1, 2021; amended

June 10, 2022, to take effect Jan. 1, 2023.)

Sec. 2-5. —Examination of Candidates for

Admission

The bar examining committee shall further have

the duty, power and authority to provide for the

examination of candidates for admission to the

bar; to determine whether such candidates are

qualified as to prelaw education, legal education,

good moral character and fitness to practice law;

and to recommend for admission to the bar quali-

fied candidates.

(P.B. 1978-1997, Sec. 13.) (Amended June 21, 2010, to

take effect Jan. 1, 2011; amended June 26, 2020, to take

effect Jan. 1, 2021; amended June 10, 2022, to take effect

Jan. 1, 2023.)

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,

116

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 Bar Examining

Committee

(Amended June 26, 2020, to take effect Jan. 1, 2021.)

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 bar examining

committee in carrying out its duties.

(P.B. 1978-1997, Sec. 14.) (Amended June 26, 2020, to

take effect Jan. 1, 2021.)

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.)

Sec. 2-8. Qualifications for Admission

To entitle an applicant to admission to the bar,

except under Section 2-13 or 2-13A of these rules,

the applicant must satisfy the bar examining com-

mittee that:

(1) The applicant is a citizen of the United States

or an alien lawfully residing in the United States,

which shall include an individual authorized to

work lawfully 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, which has been approved or required by the

committee, or has completed a course in profes-

sional responsibility in accordance with the regula-

tions of the committee. Any inquir ies or procedur es

used by the bar examining committee that relate

to the health diagnosis, treatment, or drug or alco-

hol dependence of an applicant must be narrowly

tailored and necessary to a determination of the

applica nt’s current fitness to practice law, in accord-

ance with the Americans with Disabilities Act and

amendment twenty-one of the Connecticut consti-

tution, 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 director of

the bar examining committee an application to

take the examination and for admission to the

bar, all in accordance with these rules and the

SUPERIOR COURT—GENERAL PROVISIONS Sec. 2-10

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

bar examining committee.

(7) The applicant has complied with all of the

pertinent rules and regulations of the bar examin-

ing committee.

(8) As an alternative to satisfying the bar exam-

ining committee that the applicant has met the

committee’s educational requirements, the appli-

cant who meets all the remaining requirements

of this section may substitute 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 Dis-

trict of Columbia or the Commonwealth 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; and (B) the applicant has actually

practiced law in such a jurisdiction for not less

than five years during the seven year period

immediately preceding the filing date of the appli-

cation.

(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; amended June 15, 2018, to take effect

July 3, 2018; amended June 26, 2020, to take effect Jan. 1,

2021; amended June 11, 2021, to take effect Jan. 1, 2022;

amended June 10, 2022, to take effect Jan. 1, 2023; amended

June 9, 2023, to take effect Jan. 1, 2024.)

HISTORY—2024: In subdivision (5), ‘‘administrative’’

before ‘‘director’’ was deleted. Additionally, in subdivision (8),

‘‘, upon payment of such investigation fee as the committee

shall from time to time determine,’’ after ‘‘may’’ was deleted,

‘‘and’’ was added after ‘‘a bar;’’ and ‘‘; and (C) the applicant

intends, upon a continuing basis, actively to practice law in

Connecticut and to devote the major portion of the applicant’s

working time to the practice of law in Connecticut’’ after ‘‘filing

date of the application’’ was deleted.

COMMENTARY—2024: The changes to Sections 2-8, 2-

10, 2-13, 2-13A, 2-15A, and 2-18 are made to implement the

transition from a paper-based bar application process to an

online application process, with an applicant portal, and to

update and to clarify those sections.

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 bar examining committee shall certify

the names of applicants recommended by it for

admission to the bar and shall notify the applicants

of its decision.

(b) The bar examining committee may, in light of

the health diagnosis, treatment, or drug or alcohol

117

dependence of an applicant that has caused con-

duct or behavior that would otherwise have ren-

dered the applicant currently unfit to practice law,

determine that it will only recommend an applicant

for admission to the bar conditional upon the appli-

cant’s compliance with conditions prescribed by

the committee relevant to the health diagnosis,

treatment, or drug or alcohol dependence or fit-

ness of the applicant. Such determination shall

be made after a hearing on the record is con-

ducted by the committee or a panel thereof con-

sisting 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 committee or the

court determines, in accordance with the proce-

dures set forth in Section 2-11, that a further

period of conditional admission is necessary. The

committee shall notify the applicant by mail of

its decision and that the applicant must sign an

agreement with the committee under oath

affirming acceptance of such conditions and that

the applicant will comply with them. Upon receipt

of this agreement from the applicant, duly exe-

cuted, the committee shall recommend the appli-

cant for admission to the bar as provided herein.

The committee shall forward a copy of the

agreement to the statewide bar counsel, 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; amended June 26, 2020, to take effect

Jan. 1, 2021; amended June 10, 2022, to take effect Jan.

1, 2023.)

Sec. 2-10. Admission by Superior Court;

Admission in Absentia

(Amended June 10, 2022, to take effect Jan. 1, 2023.)

(a) Each applicant who shall be recommended

for admission to the bar, except under subsection

(c), shall present himself or herself to the Superior

Court, or to either the Supreme Court or the Appel-

late Court sitting as the Superior Court, at such

place and at such time as shall be prescribed by

the bar examining committee, or shall be pre-

scribed by the Supreme Court or the Appellate

Court, and such court may then, upon motion,

admit such person as an attorney. The director

shall give notice to each clerk of the names of

the newly admitted attorneys. At the time such

SUPERIOR COURT—GENERAL PROVISIONSSec. 2-10

applicant is admitted as an attorney, the applicant

shall be sworn as a Commissioner of the Supe-

rior 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 respect-

ing their duties and responsibilities as attorneys.

election by a candidate, recommend the candi-

date for admission in absentia. Upon the adminis-

tration of the oaths taken as Commissioner of the

Superior Court and for admission to the bar by

an official duly qualified to administer oaths, the

candidate who has taken the oaths shall be admit-

ted to the Connecticut bar in absentia. The candi-

date shall complete the oaths and submit the

original affidavits to the bar examining committee

within 180 days from the date of certification.

(P.B. 1978-1997, Sec. 18.) (Amended June 26, 2020, to

take effect Jan. 1, 2021; amended June 10, 2022, to take

effect Jan. 1, 2023; amended June 9, 2023, to take effect Jan.

1, 2024.)

HISTORY—2024: In the second sentence of subsection

(a), ‘‘administrative’’ before ‘‘director’’ was deleted.

COMMENTARY—2024: The changes to Sections 2-8, 2-

10, 2-13, 2-13A, 2-15A, and 2-18 are made to implement the

transition from a paper-based bar application process to an

online application process, with an applicant portal, and to

update and to clarify those sections.

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 bar examining com-

mittee 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 admit-

ted or the statewide bar counsel may make appli-

cation to the bar examining committee to remove

or modify the conditions previously agreed to by

such attorney as circumstances warrant. The bar

examining committee, or a panel thereof consist-

ing of at least three members appointed by its

chair, shall conduct a hearing on the application,

which shall be on the record, and shall also receive

and consider a report from the statewide bar coun-

sel on the matter. Such hearing may be waived

by the applicant and the statewide bar counsel.

If, upon such application, the bar examining com-

mittee modifies such conditions, the attorney shall

118

sign an agreement with the bar examining com-

mittee 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

statewide bar counsel shall be considered a party

for purposes of defending an appeal under Sec-

tion 2-11A. All information relating to conditional

admission of an applicant or attorney shall remain

confidential unless otherwise ordered by the court,

except that a copy of the signed agreement and

information related to compliance with the con-

ditions may be made available upon request to

disciplinary counsel or, with the consent of the

applicant or attorney, to any other agency or per-

son.

(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; amended June 26, 2006, to take effect

Jan. 1, 2021.)

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 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 committee. The statewide bar coun-

sel 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 committee, to the court or to both. Filing of

SUPERIOR COURT—GENERAL PROVISIONS Sec. 2-12

an application with the committee shall not pre-

clude action by the court. A stay, if granted, shall

be on appropriate terms.

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 commit-

tee and the decision of the committee. By stipula-

tion of all parties to such appeal proceedings, the

record may be shortened. The court may require

or permit subsequent 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 committee or take such other action

as may be necessary. For purposes 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

119

court may, in its discretion, award to the appel-

lant reasonable fees and expenses if the court

determines that the action of the committee was

undertaken without any substantial justification.

‘‘Reasonable fees and expenses’’ means any

expenses not in excess of $7500 that the court

finds were reasonably incurred in opposing the

committee’s action, including court costs, expenses

incurred in administrative proceedings, attorney’s

fees, witness fees of all necessary witnesses, and

such other expenses as were reasonably incurred.

(h) All information relating to the conditional

admission of an applicant or attorney who is sub-

ject to the decision, including information submit-

ted in connection with the appeal under this

section, shall be confidential unless otherwise

ordered by the court, except that information sub-

mitted in connection with an appeal and the court’s

decision on the appeal may be made available

upon request to disciplinary counsel or, with the

consent of the applicant or attorney who is subject

to the decision, to any other person.

(Adopted June 30, 2008, to take effect Jan. 1, 2009;

amended June 14, 2013, to take effect Jan. 1, 2014; amended

June 26, 2020, to take effect Jan. 1, 2021.)

Sec. 2-12. County Comm itte es on Recom-

mendations for Admission

There shall be in each county a standing com-

mittee on recommendations for admission, con-

sisting 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 suspen-

sion, 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

Superior 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.

(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; amended June 26, 2020, to take effect

Jan. 1, 2021.)

SUPERIOR COURT—GENERAL PROVISIONSSec. 2-13

Sec. 2-13. Attorneys of Other Jurisdictions;

Qualifications and Requirements for Admis-

sion

(a) Any member of the bar of another state

or territory of the United States or the District of

Columbia, who, after satisfying the bar examining

committee that his or her educational qualifica-

tions 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 mem-

ber of the bar is reciprocal to Connecticut 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 clini-

cal fellow at an accredited Connecticut law school

and admitted in a reciprocal or nonreciprocal juris-

diction, shall satisfy the committee that he or she:

(1) is of good moral character, is fit to practice

law, and has either passed an examination in pro-

fessional responsibility or has completed a course

in professional responsibility in accordance with

the regulations of the 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 nonreciprocal jurisdic-

tion and (A) has lawfully engaged in the practice

of law as the applicant’s principal means of liveli-

hood 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 principal means

of livelihood for at least five of the ten years imme-

diately 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 Connecticut examination;

and

(3) is a citizen of the United States or an alien

lawfully residing in the United States, which shall

include an individual authorized to work lawfully in

the United States, may be admitted as an attorney

without examination upon application and the pay-

ment of such fee as the committee shall from

time to time determine, upon compliance with the

following requirements. Such application shall be

filed with the director of the committee and shall

set forth the applicant’s qualifications as hereinbe-

fore provided, and shall certify whether such appli-

cant has a grievance pending against him or her,

has ever been reprimanded, suspended, placed

120

on inactive status, disbarred, or has ever resigned

from the practice of law and, if so, setting forth

the circumstances concerning such action. The

following recommendations shall be filed by the

person making the recommendation:

(A) recommendations from two attorneys 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 com-

mittee, his or her practice of law as defined under

subdivision (2) of this subsection; and

(B) recommendations from two members of the

bar of Connecticut of at least five years’ standing,

certifying that the applicant is of good moral char-

acter and is fit to practice law.

(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; amended

June 15, 2018, to take effect July 3, 2018; amended June 26,

2020, to take effect Jan. 1, 2021; amended June 10, 2022,

to take effect Jan. 1, 2023; amended June 9, 2023, to take

effect Jan. 1, 2024.)

HISTORY—2024: Prior to 2024, subdivision (a) (3) read:

‘‘(3) is a citizen of the United States or an alien lawfully residing

in the United States, which shall include an individual author-

ized to work lawfully in the United States, may be admitted

as an attorney without examination upon written application

and the payment of such fee as the committee shall from

time to time determine, upon compliance with the following

requirements. Such application, duly verified, shall be filed

with the administrative director of the committee and shall set

forth the applicant’s qualifications as hereinbefore provided.

The following affidavits shall be filed by the person completing

the affidavit:

SUPERIOR COURT—GENERAL PROVISIONS Sec. 2-13A

‘‘(A) affidavits from two attorneys 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 committee, his or her practice of law as defined under

subdivision (2) of this subsection;

‘‘(B) affidavits from two members of the bar of Connecticut

of at least five years’ standing, certifying that the applicant is

of good moral character and is fit to practice law; and

‘‘(C) 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.

Such an affidavit is not required if it has been furnished as

part of the application form prescribed by the committee.’’

COMMENTARY—2024: The changes to Sections 2-8, 2-

10, 2-13, 2-13A, 2-15A, and 2-18 are made to implement the

transition from a paper-based bar application process to an

online application process, with an applicant portal, and to

update and to clarify those sections.

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;

(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 or has completed a course in profes-

sional responsibility in accordance with the regu-

lation of the bar examining committee;

(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;

121

(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 an appli-

cation and payment of such fee as the bar examin-

ing committee shall from time to time determine.

Such application shall be filed with the director of

the committee and shall set forth the applicant’s

qualifications as hereinbefore provided, and shall

certify whether the applicant has a grievance

pending against him or her, has ever been repri-

manded, 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. In addition, the applicant

shall file with the 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

resigned, or become inactive or had a license

administratively suspended or revoked while in

good standing; and

(4) recommendations from two attorneys who

personally know the applicant certifying to his or

her good moral character and fitness to practice

law.

(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

SUPERIOR COURT—GENERAL PROVISIONSSec. 2-13A

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 original

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

change of station where the presence of depen-

dents is authorized;

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 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

122

basis for discipline pursuant to the Rules of Pro-

fessional 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 the statewide

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

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;

amended June 26, 2020, to take effect Jan. 1, 2021; amended

June 11, 2021, to take effect Jan. 1, 2022; amended June 9,

2023, to take effect Jan. 1, 2024.)

HISTORY—2024: Prior to 2024, the first two sentences of

subsection (b) read: ‘‘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 committee and shall set forth the applicant’s

qualifications as hereinbefore provided.’’

Additionally, ‘‘and’’ was added to the end of subdivision

(b) (3) and subdivision (b) (4) was deleted. What had been

subdivision (b) (5) was redesignated as subdivision (b) (4),

and, in that subdivision, ‘‘affidavits’’ before ‘‘from’’ was deleted

and replaced with ‘‘recommendations.’’

COMMENTARY—2024: The changes to Sections 2-8, 2-

10, 2-13, 2-13A, 2-15A, and 2-18 are made to implement the

transition from a paper-based bar application process to an

online application process, with an applicant portal, and to

update and to clarify those sections.

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

SUPERIOR COURT—GENERAL PROVISIONS Sec. 2-15A

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;

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 prior to starting work in the

state of Connecticut or three months after the

applicant begins work in the state of Connecticut

of such application under this section and receives

or shall receive compensation for activities per-

formed for that business organization.

(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

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.

(1) Authorized Activities. An authorized house

counsel, as an employee of an organization, may

provide legal services in the state of Connecticut

to the organization for which a registration pursu-

ant to subsection (d) is effective, provided, how-

ever, 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;

123

(B) negotiating and documenting all matters for

the organization; and

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

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

SUPERIOR COURT—GENERAL PROVISIONSSec. 2-15A

(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 an application and payment

of such fee as the committee shall from time to

time determine.

(A) The application shall:

(i) certify 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) certify that the applicant submits to the juris-

diction 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) list any jurisdiction in which the applicant is

now or ever has been licensed to practice law; and

(iv) disclose any disciplinary sanction or pend-

ing proceeding pertaining or relating to the appli-

cant’s license to practice law, including but not

limited to reprimand, censure, suspension or dis-

barment, or whether the applicant has been placed

on inactive status.

(B) The applicant shall file with the bar examin-

ing committee:

(i) 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;

(ii) a certificate from an organization certifying

that it is qualified as set forth in subsection (b) (2);

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-

necticu t by the organi zatio n as set forth in subsection

(b) (1) (D); and

(iii) a recommendation from each of two mem-

bers 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 character 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 applicant shall be

certified as authorized house counsel in absentia.

Upon the administration of the oath taken as

124

authorized house counsel by an official duly quali-

fied to administer oaths, the applicant who has

taken the oath shall be certified as authorized

house counsel in absentia. The applicant shall

complete the oath and submit the original affidavit

to the bar examining committee within 180 days

from the date of certification. The committee shall

cause notice of such certification to be published

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 accord-

ance 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 author-

ized house counsel shall commence employment

with another organization within thirty days of the

termination or resignation, authorization to per-

form 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;

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

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 author-

ized house counsel shall be a basis for discipline

pursuant to the Rules of Professional Conduct

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

SUPERIOR COURT—GENERAL PROVISIONS Sec. 2-16

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; amended June 26, 2020,

to take effect Jan. 1, 2021; amended June 10, 2022, to take

effect Jan. 1, 2023; amended June 9, 2023, to take effect Jan.

1, 2024.)

HISTORY—2024: Prior to 2024, subdivision (d) (1) read:

‘‘(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 committee, and the committee shall consider,

the following:

‘‘(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

member 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;

125

‘‘(ii) that the applicant submits to the jurisdiction of the State-

wide Grievance Committee and the Superior Court for disci-

plinary purposes, and authorizes notification to or from the

entity governing 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 pending pro-

ceeding pertaining or relating to his or her license to practice

law including, but not limited to, reprimand, censure, suspen-

sion or disbarment, or whether the applicant has been placed

on inactive status;

‘‘(C) a certificate from an organization certifying that it is

qualified as set forth in subsection (b) (2); that it is aware that

the applicant is not licensed to practice law in Connecticut;

and that the applicant is employed or about to be employed

in Connecticut 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 committee; and

‘‘(F) an affidavit from each of two members of the Connecti-

cut bar, who have each been licensed to practice law in Con-

necticut for at least five years, certifying that the applicant is

of good moral character and that the applicant is employed

or will be employed by an organization as defined above in

subsection (b) (2).’’

COMMENTARY—2024: The changes to Sections 2-8, 2-

10, 2-13, 2-13A, 2-15A, and 2-18 are made to implement the

transition from a paper-based bar application process to an

online application process, with an applicant portal and to

update and to clarify those sections.

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

Commonwealth of Puerto Rico, may, upon special

and infrequent occasion and for good cause

shown upon written application on one of the fol-

lowing forms prescribed by the chief court admin-

istrator, form JD-CL-141, Application for Permission

for Attorney to Appear Pro Hac Vice in a Court

Case, or, form JD-CL-142, Application for Permis-

sion for Attorney to Appear Pro Hac Vice before

a Municipal or State Agency, Commission, Board

or Tribunal, 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 presentation 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 ‘‘proceed-

ing’’) in this state; provided, however, that (1) such

application shall be accompanied by the affidavit

of the applicant, on form JD-CL-143, Affidavit of

Attorney Seeking Permission to Appear Pro Hac

Vice, (A) providing the full legal name of the appli-

cant with contact information, including firm name,

SUPERIOR COURT—GENERAL PROVISIONSSec. 2-16

business mailing address, telephone number and

email address, as applicable, (B) certifying whether

such applicant has a grievance pending against

him or her in any other jurisdiction, has ever been

reprimanded, suspended, placed on inactive sta-

tus, disbarred, or otherwise disciplined, or has

ever resigned from the practice of law and, if so,

setting forth the circumstances concerning such

action, (C) certifying that the applicant has paid

the client security fund fee due for the calendar

year in which the application has been made, (D)

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, (E) agreeing

to register with the Statewide Grievance Commit-

tee in accordance with the provisions of this chap-

ter 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, (F) 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 appli-

cable, and (G) providing any previously assigned

juris number, (2) the filing fee shall be paid with

the court for the application submitted pursuant

to General Statutes § 52-259 (i) unless Section

62-8A (a) applies and (3) unless excused by the

judicial authority, a member of the bar of this state

must be present at all proceedings, including

depositions in a proceeding, and must sign all

pleadings, briefs and other papers filed with the

court, local or state administrative agency, com-

mission, 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. 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 such privilege shall be

limited to facts or circumstances affecting the per-

sonal or financial welfare of the client and not the

attorney. Such facts may include a showing that

by reason of a longstanding attorney-client rela-

tionship predating the cause of action or subject

matter of the litigation at bar, or proceeding, the

attorney has acquired a specialized skill or knowl-

edge with respect to the client’s affairs important

to the trial of the cause or presentation of the

126

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 Superior

Court Operations designee of such action. Any

person granted permission to appear in a cause,

appeal or proceeding pursuant to this section shall

comply with the requirements of Sections 2-68

and 2-70 and General Statutes § 51-81b and shall

pay such fee and tax 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 Sections 2-68 and 2-70, the court

shall determine after a hearing the appropriate

sanction, which may include termination of the

privilege of appearing in the cause, appeal or pro-

ceeding.

(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; amended June 10,

2022, to take effect Jan. 1, 2023.)

Sec. 2-17. Foreign Legal Consultants;

Licensing Requirements

Upon recommendation of the bar examining

committee, an applicant may be licensed to prac-

tice as a foreign legal consultant, without exami-

nation, 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; amended June 10, 2022, to take

effect Jan. 1, 2023.)

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 director

of the bar examining committee:

(1) an application and payment of such fee as

the bar examining committee shall from time to

time determine;

SUPERIOR COURT—GENERAL PROVISIONS Sec. 2-20

(2) 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 authenti-

cated English translation of such certificate if it is

not in English; and

(3) two recommendations, one from a member

in good standing of the Connecticut bar and another

from either a member in good standing 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 translation 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

(2) or (3) 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 excepti onal

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 show-

ing as may be satisfactory to the court.

gate the qualifications, moral character, and fit-

ness of any applicant for a license to practice as

a foreign legal consultant and may in any case

require the applicant to submit any additional

proof or information as the committee may deem

appropriate. The committee may also require the

applicant to submit a report from the National Con-

ference of Bar Examiners, and to pay the pre-

scribed 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; amended June 26, 2020, to take

effect Jan. 1, 2021; amended June 9, 2023, to take effect Jan.

1, 2024.)

HISTORY—2024: Prior to 2024, subsection (a) read: ‘‘(a)

An applicant for a license to practice as a foreign legal consul-

tant shall file with the administrative director of the bar examin-

ing committee:

‘‘(1) a typewritten application in the form prescribed 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 equiv-

alent of either), together with a duly authenticated English

translation of such certificate 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 standing of the bar of the country in which

127

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 translation of each letter if

it is not in English.’’

Additionally, in subsection (b), ‘‘(2) or’’ was added before

‘‘(3)’’ and ‘‘or (4)’’ after ‘‘(3)’’ was deleted.

COMMENTARY—2024: The changes to Sections 2-8, 2-

10, 2-13, 2-13A, 2-15A, and 2-18 are made to implement the

transition from a paper-based bar application process to an

online application process, with an applicant portal and to

update and to clarify those sections.

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

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 prac-

tice 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,

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

SUPERIOR COURT—GENERAL PROVISIONSSec. 2-20

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

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 confi rma ti on, addre ss ed

to the foreign legal consultant at the address given

to the court by the foreign legal consultant as

aforesaid.

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

128

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

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 Connecticut.

(b) The bar examining committee, when neces-

sary, shall contract with individuals to serve as

proctors and with attorneys to serve as bar exam-

ination 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

SUPERIOR COURT—GENERAL PROVISIONS Sec. 2-27

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.

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 sus-

pensions, disbarments, resignations, placements

in inactive 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; Attorney Regis-

tration

(Amended June 29, 2007, to take effect Jan. 1, 2008;

amended June 11, 2021, to take effect Jan. 1, 2022.)

(a) Consistent with the requirement of Rule 1.15

of the Rules of Professional Conduct, each attor-

ney or law firm shall maintain, separate from the

attorney’s or the firm’s personal funds, one or

more accounts accurately reflecting the status of

funds handled by the attorney or firm as fiduciary

or attorney, and shall not use such funds for any

unauthorized purpose.

129

(b) Each attorney 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 attorney or firm in a fiduciary capacity

from the time of receipt to the time of final distribu-

tion. Each attorney 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.

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

overdraft notice as provided by Section 2-28 (f).

Upon the filing of a grievance complaint or a find-

ing of probable cause, such records shall be made

available upon request of the Statewide Griev-

ance Committee, its counsel or the disciplinary

counsel for review or audit.

(d) Each attorney shall register with the State-

wide Grievance Committee, on a form devised by

the committee, the address of the attorney’s office

or offices maintained for the practice of law, the

attorney’s office email address and business tele-

phone number, the name and address of every

financial institution with which the attorney 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

attorney 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 obtainedbythe Statewide Grievance Committee

from these forms shall be public, except the follow-

ing: trust account identification numbers; the attor-

ney’s home address, unless no office address is

registered and then only if the home address is

part of the public record of a grievance complaint

as defined in Section 2-50 or the attorney uses

the attorney’s personal juris number to appear in

a matter in this state; the attorney’s office email

address; and the attorney’s birth date. Unless

otherwise ordered by the court, all nonpublic infor-

mation obtained from these forms shall be avail-

able only to the Statewide Grievance Committee

and its counsel, the reviewing committees, the

SUPERIOR COURT—GENERAL PROVISIONSSec. 2-27

grievance panels and their counsel, the bar exam-

ining committee, the standing committee on rec-

ommendations 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 attorney, to any other person.

Excluding trust account identification numbers,

nonpublic information obtained from these forms

shall be available to the Department of Revenue

Services in connection with the collection of the

occupational tax on attorneys pursuant to General

Statutes § 51-81b. In addition, the trust account

identification numbers on the registration forms

filed pursuant to Section 2-26 and this section

shall be available to the organization designated

by the judges of the Superior Court to administer

the IOLTA program pursuant to Rule 1.15 of the

Rules of Professional Conduct. The registration

requirements of this subsection shall not apply

to judges of the Supreme, Appellate or Superior

Courts, judge trial referees, family support magis-

trates, federal judges, federal magistrate judges,

federal administrative law judges or federal bank-

ruptcy judges.

(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 attorney

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

130

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 person having

thirty days from the issuance of the notice to seek

a court order restricting publication of any such

records disclosing confidential information. Dur-

ing the thirty day period, or the pendency 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 subsection (a), (b) or (c) of this

section shall constitute misconduct. An attorney

who fails to register in accordance with subsection

(d) shall be administratively suspended from the

practice of law in this state pursuant to Section

2-27B.

(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; amended June 15, 2018, to take

effect Jan. 1, 2019; amended June 11, 2021, to take effect

Jan. 1, 2022; amended June 10, 2022, to take effect Oct.

1, 2022.)

Sec. 2-27A. Minimum Continuing Legal Edu-

cation

(a) On an annual basis, each attorney admitted

in Connecticut shall certify, on the registration

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, administrative law judges, elected

constitutional officers, federal judges, federal

magistrate judges, federal administrative law

judges or federal 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

Section 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;

SUPERIOR COURT—GENERAL PROVISIONS Sec. 2-27A

(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

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

131

Association or approved by the state bar examin-

ing committee, 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 or approved by the state bar

examining committee, in which case, such attor-

ney will be credited with meeting the minimum

continuing legal education requirements set forth

herein at the rate of one hour for each hour of

classroom instruction and one hour for each two

hours of preparation.

(7) By serving as a judge or coach for a moot

court or mock trial course or competition that is

part of the curriculum at or sanctioned by a law

school accredited by the American Bar Associa-

tion or approved by the state bar examining com-

mittee.

(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. Credit for the activity

listed in subsection (b) (7) shall be based upon

the actual judging or coaching time, up to four

hours for each activity per year. 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

calendar year.

(3) Credit for the writing and publication of arti-

cles shall be based on the actual time required for

both researching and drafting. 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.

(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 an attorney; (B) consti-

tute an organized program of learning dealing with

SUPERIOR COURT—GENERAL PROVISIONSSec. 2-27A

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.

Such records shall be made available to the State-

wide Grievance Committee or its counsel, the min-

imum continuing legal education commission, or

the disciplinary counsel upon request.

(e) Nothing in this section shall be construed

to allow the Statewide Grievance Committee or its

counsel, the minimum continuing legal education

commission, or the disciplinary counsel to conduct

random audits solely to determine whether an

attorney is in compliance with this section.

(f) An attorney who fails to comply with the mini-

mum continuing legal education requirement shall

be administratively suspended from the practice

of law in this state pursuant to Section 2-27B.

(g) A Minimum Continuing Legal Education

Commission (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 commis-

sion will be to provide advice regarding the appli-

cation and interpretation of this rule and to assist

with its implementation including, but not limited

to, the development of a list of frequently asked

questions 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;

amended June 15, 2018, to take effect Jan. 1, 2019; amended

June 13, 2019, to take effect Oct. 1, 2019; amended June 26,

2020, to take effect Jan. 1, 2021; amended June 11, 2021,

to take effect Jan. 1, 2022.)

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

132

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 any other 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. 2-27B. Enforcement of Attorney Regis-

tration and Minimum Continuing Legal Edu-

cation; Administrative Suspension

(a) The Statewide Grievance Committee shall

send a notice to each attorney who has not regis-

tered pursuant to Section 2-27 (d), or who has not

completed minimum continuing legal education

pursuant to Section 2-27A, that the attorney’s

license to practice law in this state will be referred

to the Superior Court for an administrative sus-

pension of the attorney’s license to practice law

in this state unless by December 31 of the year

in which the notice is sent such attorney provides

proof to the Statewide Grievance Committee that

for the noncomplying year the attorney has regis-

tered or completed minimum continuing legal edu-

cation, or is exempt from minimum continuing

legal education. The Statewide Grievance Com-

mittee shall submit to the clerk of the Superior

Court for the Hartford Judicial District a list of

attorneys who did not provide proof of compliance

with attorney registration or minimum continuing

legal education, or exemption from minimum con-

tinuing legal education. 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 compliance has occurred and proof of same

provided to the Statewide Grievance Committee,

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 comply with attorney registration or mini-

mum continuing legal education shall not be con-

sidered discipline, but an attorney who is placed

on administrative suspension for such failure shall

SUPERIOR COURT—GENERAL PROVISIONS Sec. 2-28

be ineligible to practice law as an attorney admit-

ted to practice in this state, and shall not be con-

sidered in good standing pursuant to Section 2-

65 of these rules until such time as proof of compli-

ance is provided to the Statewide Grievance Com-

mittee.

(b) An attorney aggrieved by an order placing

the attorney on administrative suspension for fail-

ing to comply with Section 2-27 (d) or 2-27A 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

Statewide Grievance Committee. The application

shall set forth the reasons why the application

should be granted. The court shall schedule a

hearing on the application, which shall be limited

to whether good cause exists to vacate the sus-

pension order.

sent by regular mail to the last address registered

by the attorney pursuant to Section 2-26 and Sec-

tion 2-27 (d) and to any email address on record

with the Judicial Branch.

(Adopted June 11, 2021, to take effect Jan. 1, 2022.)

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 attor-

neys.

(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

133

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

Connecticut which does not file the agreement

required by this section. Violation of this subsec-

tion shall constitute misconduct.

fiduciary capacity shall register any account in

which the funds of more than one client are kept

with the Statewide Grievance Committee in

accordance 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 commit-

tee, to report to the committee the fact that an

instrument has been presented against an attor-

ney 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 instru-

ment 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

business 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 presentation 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

SUPERIOR COURT—GENERAL PROVISIONSSec. 2-28

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 attor-

ney produce such books of account and state-

ments 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 State-

wide Grievance Committee, its counsel, or disci-

plinary 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 sus-

pension in accordance with the provisions of Sec-

tion 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

section. Where an attorney qualifies as execu-

tor 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.)

TECHNICAL CHANGE: A technical change was made to

correct a spelling error in subsection (a) (2).

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 adver-

tisement 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 Commit-

tee, which may require them to be filed electroni-

cally. Any such submission in a foreign language

must include an accurate English language trans-

lation.

The filing shall consist of the following:

(1) A copy of the advertisement or communi-

cation in the form or forms in which it is to be

134

disseminated (e.g., videotapes, DVDs, audio-

tapes, compact discs, print media, photographs

of outdoor 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;

(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, in whole or in part, the following

information, provided the information is not false

or misleading:

(A) The name of the lawyer or law firm, a list-

ing of lawyers associated with the firm, office

addresses and telephone numbers, office and

telephone service hours, fax numbers, website

and email addresses and domain names, and a

designation such as ‘‘attorney’’ or ‘‘law firm’’;

(B) 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;

by the state or other recognized licensing author-

ities;

(D) Foreign language ability;

(E) Fields of law in which the lawyer practices

or is designated, subject to the requirements of

Rule 7.1, or is certified pursuant to Rule 7.4A;

(F) Prepaid or group legal service plans in which

the lawyer participates;

(G) Acceptance of credit cards;

(H) Fee for initial consultation and fee sched-

ule; and

(I) 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.

(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;

SUPERIOR COURT—GENERAL PROVISIONS Sec. 2-28B

(5) A communication sent only to:

(A) Existing or former clients;

(B) Other attorneys or professionals; business

organizations including trade groups; not-for-

profit organizations; governmental bodies; and/or

meets the following conditions: the primary pur-

poses of the organization do not include the ren-

dition of legal services; the recommending, fur-

nishing, paying for or educating persons regarding

legal services is incidental and reasonably related

to the primary purposes of the organization; the

organization does not derive a financial benefit

from the rendition of legal services by an attorney;

and the person for whom the legal services are

rendered, and not the organization, is recognized

as the client of the attorney who is recommended,

furnished, or paid for by the organization.

(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).

Committee, an attor ney sha ll prom ptly su bmit

information to substantiate statements or repre-

sentations made or implied in any advertisement

in the public media and/or written or recorded

communications.

(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

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 mat-

ter is not resolved to the satisfaction of the state-

wide bar counsel, he or she shall forward the

advertisement or communication and a statement

describing the attempt to resolve the matter to

the Statewide Grievance Committee for review.

If, after reviewing the advertisement or communi-

cation, the Statewide Grievance Committee deter-

mines 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 Superior 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

135

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

committee, 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 State-

wide Grievance Committee.

(g) Except for records filed in court in connec-

tion with a presentment brought pursuant to sub-

section (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.

(h) Violation of subsection (a) or (c) shall consti-

tute misconduct.

(Adopted June 26, 2006, to take effect July 1, 2007;

amended June 21, 2010, to take effect Jan. 1, 2011; amended

June 13, 2019, to take effect Jan. 1, 2020.)

TECHNICAL CHANGE: A technical change was made to

add a semicolon in subsection (b) (5) (B).

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 dis-

semination, 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 pro-

duction script submitted reflects in detail and

accurately the actions, events, scenes, and back-

ground sounds that will be depicted or contained

on such videotapes or DVDs, when prepared, as

SUPERIOR COURT—GENERAL PROVISIONSSec. 2-28B

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.

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 committe e shall

issue its advisory opinion within 45 days of the

filing of the request. Thereafter, the Statewide

Grievance Committee or reviewing com mittee

shall issue its advisory opinion within 30 days of

the filing of the request. For purposes of this sec-

tion, 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 sub-

mit information to substantiate statements or rep-

resentations made or implied in such attorney’s

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 review-

ing committee within the time prescribed in this

section, 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

136

counsel to file a presentment against the attorney

in the Superior Court.

(g) Except for advisory opinions, all records

maintained by the Statewide Grievance Commit-

tee pursuant to this section shall not be public.

Advisory 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 sub-

section (a), to the Statewide Grievance Commit-

tee 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 attorney who requested the opinion, to any

other person. Nothing in this rule shall prohibit

the use or consideration of such records in any

subsequent disciplinary or client security fund pro-

ceeding 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 disciplinary counsel,

to the statewide bar counsel or assistant bar coun-

sel, 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 judi-

cial district, each consisting of two members of

the bar who do not maintain an office for the prac-

tice of law in such judicial district and one nonat-

torney 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. 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 member for more

than two consecutive three year terms, but may

be reappointed after a lapse of one year. The

appoint ment of any member or alternate member

may be revoked or suspende d by the judges or by

the executive committee of the Superior Court. In

connect ion with such revo catio n or suspensio n, the

judges or the exe cutiv e committ ee shall appoint a

qualifi ed individual to fill the vaca ncy for the bal ance

of the term or for any other appropriate peri od. In

the event that a vacancy arises on a panel before

the end of a term by re asons other than revocati on or

suspens ion, the executive committee of the Su perio r

Court shall appoint an attorney or nonattorney,

dependi ng on the position vacated, who meets the

appropriate condition set forth above to fill the

vacancy for the balance of the term.

SUPERIOR COURT—GENERAL PROVISIONS Sec. 2-32

(b) Considera tion for appointm ent to these posi-

tions s hall be give n to those ca ndidates re com-

mended to the appointing authorit y by the admin-

istrative judges.

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 an official 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

to Oct. 1, 2003; Sept. 30, 2003, effective date changed to Jan.

1, 2004; amended June 26, 2020, to take effect Jan. 1, 2021.)

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

137

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.

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 review-

ing committees of the Statewide Grievance Com-

mittee in conducting hearings before said review-

ing committees.

(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 stat ement, alleging attorney miscondu ct

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

SUPERIOR COURT—GENERAL PROVISIONSSec. 2-32

with subdivision (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 unle ss th e res pond ent e stab lishes

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 sh all, 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 con-

duct;

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

138

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

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,

SUPERIOR COURT—GENERAL PROVISIONS Sec. 2-32

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.

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

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.

139

(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

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

SUPERIOR COURT—GENERAL PROVISIONSSec. 2-32

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 Com-

mittee of its determination. The det ermina tion

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

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 bal-

ance of the term or for any other appropriate

period. Unless otherwise provided in this chapter,

140

the committee must have at least a quorum pre-

sent 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 committee to act. Members present but not

voting due to disqualification, abstention, silence

or a refusal to vote, shall be counted for purposes

of establishing a quorum, but not counted in calcu-

lating a majority of those present and voting.

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

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

Administrator 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.

SUPERIOR COURT—GENERAL PROVISIONS Sec. 2-35

(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 appointe d by the

judges of the Superior Court for a term of one

year commencing July 1, except that initial

appointments shall be from such date as the

judges determine 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 individual to fill the vacancy for the bal-

ance of the term. The chief disciplinary counsel

and disciplinary counsel shall be assigned to the

Office of the Chief Court Administrator for admin-

istrative purposes and shall not engage in the

private practic e of law . The te rm ‘‘di scipli nary

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

committee. When, aft er a det ermina tion of no

probable cause by a grievance panel, a complaint

141

is forwarded to the Statewide Grievance Commit-

tee because it contains an allegation that the

respondent committed a crime, and the Statewide

Grievance 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

complaint 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.

(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 G rievan ce Comm ittee, at least o ne

SUPERIOR COURT—GENERAL PROVISIONSSec. 2-35

third of whom are not attorneys. The Statewide

Grievance Committee may, in its discretion, reas-

sign the case to a different reviewing committee.

The committee shall regularly rotate membership

on reviewing committees and assignments of

complaints 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 t he

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.

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 Commit-

tee because the complaint alleges that a crime

has been committ ed, t he St atew ide G riev ance

Committee or the reviewing committee shall

review the determination of no probable cause,

take evidence if it deems it appropriate and, if it

determines that probable cause does exist, shall

take the following action: (1) if the Statewide

Grievance Committee reviewed the gri evance

panel’s determination, it shall hold a hearing con-

cerning the complaint or assign the matter to a

reviewing committee to hold the hearing; or (2) if

a reviewing committee reviewed the grievance

panel’s determination, it shall hold a hearing con-

cerning 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 commit-

tee, disciplinary counsel may add additional alle-

gations of misconduct arising from the record of

the grievance complai nt or it s inves tigati on of

the complaint.

(2) Following commencement of the hearing

before the Statewide Grievance Committee or the

reviewing committee, disciplina ry co unse l may

142

only add additional allegations of misconduct for

good cause shown and with the consent of the

respondent and the Statewide Grievance Com-

mittee or the reviewing committee. Additional alle-

gations 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 present at all hear-

ings held by the reviewing committee. If a member

of the reviewing committee is absent for the hear-

ing, the member’s participation in the determina-

tion of the matter shall be waived unless the

disciplinary counsel or the respondent object at

the commencement of the hearing. If an objection

is raised, then the absent member of the reviewing

committee shall obtain and review the transcript

of each such hearing and shall participate in the

committee’s determination. All hearings 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

shall pursue the matter before the Statewide

Grievance Committee o r rev iewi ng co mmit tee.

The disciplinary counsel and the respondent shall

be entitled to examine or cross-examine wit-

nesses. At the conclusion of the evidentiary phase

of a hearing, the complainant, the disciplinary

counsel and the respondent shall have the oppor-

tunity to make a statement, either individually or

through counsel. The Statewide Grievance Com-

mittee 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

SUPERIOR COURT—GENERAL PROVISIONS Sec. 2-35

(i), the reviewing committee shall render a final

written decision dismissing the complaint, impos-

ing sanctions and conditions as authorized by

Section 2-37 or directing the disciplinary counsel

to file a presentment against the respondent in

the Superior Court and file it with the Statewide

Grievance Committee. In a decision of the

reviewing committee directin g the di scipli nary

counsel to file a presentment against the respon-

dent, the reviewing committee may direct that the

presentment include additional findings of mis-

conduct beyond those set forth in the probable

cause finding and the additional allegations of

misconduct if the findings are supported by the

record. Where there is a final decision dismissing

the complaint, the reviewing committee may give

notice in a written summary order to be followed

by a full written decision. The reviewing commit-

tee’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 deci-

sion to the complainant, the disciplinary counsel,

the respondent, and the grievance panel to which

the complaint was forwarded. The decision shall

be a matter of public record if there was a determi-

nation by a grievance panel, a reviewing commit-

tee 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).

(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.

143

(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. No request for review may be

submitted following a decision approving a pro-

posed disposition filed pursuant to Section 2-82

(b) or (g). 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 provisions, 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,

imposing sanctions and conditions as authorized

SUPERIOR COURT—GENERAL PROVISIONSSec. 2-35

by Section 2-37 or directing the disciplinary coun-

sel to file a presentment against the respondent.

In a decision of the Statewide Grievance Commit-

tee directing the disciplinary counsel to file a pre-

sentment against the respondent, the Statewide

Grievance Committee may direct that the present-

ment include additi onal findings of miscon duct

beyond those set forth in the probable cause find-

ing and the additional allegations of misconduct

if the findings are supported by the record. 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; subsection (g) amended

June 11, 2021, to take effect July 13, 2021; amended June

11, 2021, to take effect Jan. 1, 2022.)

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 co m-

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 Commit-

tee shall forward a copy of its decision to the

complainant, the disciplinary counsel, the respon-

dent, the reviewing committee and the grievance

panel which investigated the complaint. The deci-

sion 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). A

144

respondent may not appeal to the Superior Court

a decision of the Statewide Grievance Committee

affirming the reviewing committee’s decision

directing the disciplinary counsel to file a present-

ment against the respondent.

(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;

amended June 11, 2021, to take effect Jan. 1, 2022.)

Sec. 2-37. Sanctions and Conditions Which

May Be Imposed by Committees

(a) A re viewin g commi ttee or the State wide

Grievance Committee may impose one or more

of the following sanctions and conditions in

accordance 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.

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.)

SUPERIOR COURT—GENERAL PROVISIONS Sec. 2-38

Sec. 2-38. Appeal from Decision of State-

wide Griev ance Co mmitte e or Rev iewing

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

Committee or a reviewing committee imposing

sanctions or conditions against the respondent,

in accordance with Section 2-37 (a). A respondent

may not appeal a decision by a reviewing com-

mittee 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 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 re main in

effect for thirty days from the issuance by the

Statewide Grievance Committee of its final deci-

sion pursuant to Section 2-36. If the respondent

timely commences an appeal pursuant to subsec-

tion (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 proceed-

ings, the decision imposing sanctions or condi-

tions against the respondent is rescinded, the

complaint shall be deemed dismissed as of the

date of the decision imposing sanctions or condi-

tions against the respondent. An application to

terminate 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.

appeal, or within such further time as may be

allowed by the court, the statewide bar counsel

145

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 State-

wide Grievance Committee’s decision on the

request for review. 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 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

committee are not shown in the record, proof lim-

ited 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

SUPERIOR COURT—GENERAL PROVISIONSSec. 2-38

extent, that costs are allowed in judgments ren-

dered by the Superior Court. No costs shall be

taxed against the Statewide Grievance Commit-

tee, except that the court may, in its discretion,

award to the respondent reaso nable f ees and

expenses if the court determines that the action

of the committe e was un dertak en with out any

substantial justification. ‘‘Reasona ble f ees a nd

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 admin-

istrative proceedings, attorney’s fees, witness

fees of all necessary 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

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 di scip line d, 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 coun sel, 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

jurisdict ion ent ered an d that t he find ings co n-

tained therein are true.

the court shall assign the matter for a hearing.

After hearing, the court shall take commensurate

action unless it is found that the respondent has

146

established by clea r and co nvinci ng evid ence

that:

(1) The procedure in the predicate matter was

so lacking in notice or opportunity to be heard as

to constitute a deprivation of due process; or

(2) There was such infirmity of proof establish-

ing the misconduct in the predicate matter as to

give rise to the clear conviction that the court could

not, consistent with its duty, accept as final the

conclusion on that subject; or

(3) The discipline imposed would result in grave

injustice; or

(4) The misconduct established in the predicate

matter warrants substantially different discipline

in this state; or

(5) The reason for the original transfer to inac-

tive disability status no longer exists.

(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;

amended June 11, 2021, to take effect Jan. 1, 2022.)

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

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 ‘‘fin ding 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.

attorney is found guilty of any crime shall transmit

a certified copy of the finding of guilt, docket sheet,

SUPERIOR COURT—GENERAL PROVISIONS Sec. 2-41

or other proof of the finding of guilt to the disciplin-

ary counsel and to the Statewide Grievance Com-

mittee.

(d) Notwith standi ng any o bligat ion imp osed

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 Com-

mittee, 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

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,

147

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 d emonst rates t o 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

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.’’

SUPERIOR COURT—GENERAL PROVISIONSSec. 2-41

(b) The terms ‘‘found guilty’’ and ‘‘fin ding 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.

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 find-

ing of guilt in another jurisdiction, the disciplinary

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

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

148

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 d emonst rates t o 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

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. Con duct Constitu ting Threat of

Harm to Clients

(a) If a grievance panel, a reviewing committee,

the Statewide Grievance Committee or the disci-

plinary counsel believes that a lawyer poses a

substantial threat of irreparable harm to his or her

SUPERIOR COURT—GENERAL PROVISIONS Sec. 2-44A

clients or to prospective clients, the disciplinary

counsel shall apply to the court for an order of

interim suspension. 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.

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

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 11, 2021, to take effect Jan. 1, 2022.)

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, sus-

pend or disbar attorneys and may, for just cause,

punish or restrain any person engaged in the

unauthorized practice of law.

(P.B. 1978-1997, Sec. 29.)

149

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.

(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 agr eeme nts,

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

SUPERIOR COURT—GENERAL PROVISIONSSec. 2-44A

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 docum ent for ms prev iously

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.

(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 pro viding informat ion to t he

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) Perf orming such othe r activ ities a s 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.

is physically present in this jurisdiction and

remotely engages in the practice of law as author-

ized under the laws of another United States juris-

diction in which the lawyer is admitted, such

150

conduct does not constitute the practice of law in

this jurisdiction.

(d) 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.

(e) 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.

(f) Governmental Agencies: Nothing in this rule

shall affect the ability of a governmental agency

to carry out its responsibilities as provided by law.

(g) Professional Standards: Nothing in this rule

shall be taken to define or affect standards for

civil liability or professional responsibility.

(h) 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;

amended June 10, 2022, to take effect Jan. 1, 2023.)

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 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.

the conditions of the suspension order within thirty

days of its issuance, the Department of Social

Services, a support enforcement officer, the attor-

ney 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

SUPERIOR COURT—GENERAL PROVISIONS Sec. 2-47

order an affidavit stating that the conditions of the

suspension 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

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

151

shall be the extent of the final discipline to be

imposed.

ing in the unauthorized practice of law not occurr-

ing 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 com-

mittee that a respondent is guilty of misconduct

and such misconduct does not otherwise warrant

a presentment to the Superior Court, but the

respondent has been disciplined pursuant to

these rules by the Statewide Grievance Commit-

tee, 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 of misconduct in the instant case, the

Statewide Grievance Committee or the reviewing

committee shall direct the disciplinary counsel to

file a presentment against the respondent in the

Superior Court. Service of the m atter s hall 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 respon-

dent within such five year period. The sole issue to

be determined 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

SUPERIOR COURT—GENERAL PROVISIONSSec. 2-47

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 commit-

tee, 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

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;

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:

152

(A) engaging in the practice of law as defined

by Section 2-44A;

(B) representing a client in any legal matter,

including discovery matters;

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:

(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.

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 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.

SUPERIOR COURT—GENERAL PROVISIONS Sec. 2-50

(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,

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

153

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 deci-

sion shall be reviewed by the Statewide Grievance

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 rec-

ord;

(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 deci-

sion;

(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

decision on the request for review.

(b) The following records of the Statewide

Grievance Committee shall not be public:

(1) All records pertaining to griev ance co m-

plaints that have been decided by a local griev-

ance committee prior to July 1, 1986.

SUPERIOR COURT—GENERAL PROVISIONSSec. 2-50

(2) All records of pending grievance complaints

in which probable cause has not yet been deter-

mined.

(3) All records pertaining to griev ance co m-

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 Commit-

tee 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).

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 o ther di scipli nary

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

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

154

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 proce-

dure 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 pro-

ceeding by a grievance panel, a reviewing com-

mittee, 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 alle-

gations of misconduct are true, or (B) if the attor-

ney 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.

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

SUPERIOR COURT—GENERAL PROVISIONS Sec. 2-53

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, one

copy to the standing committee on recommenda-

tions for admission to the bar, and one copy to

all complainants whose grievance complaints filed

against the attorney in Connecticut resulted in the

submission. Such resignation shall not become

effective until accepted by the court after a hear-

ing, at which the court has accepted a report by

the Statewide Grievance Committee, made a find-

ing of misconduct based upon the respondent’s

affidavit, and made a finding that the re signa-

tion is knowingly and voluntarily made. With the

exception of the statewide bar counsel and disci-

plinary counsel, no person or entity who, pursuant

to this subsection, receives a copy of a resignation

shall have the right to participate in the hearing

required by this subsection.

(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; amended June 15,

2018, to take effect Jan. 1, 2019.)

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 or has remained under suspension

pursuant to an order of interim suspension 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 disci-

pline expressly provided in its order th at such

application 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

155

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.

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;

(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

SUPERIOR COURT—GENERAL PROVISIONSSec. 2-53

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 C ommitt ee, 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 Statewide

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 Com-

mittee and the Office of the Chief Discip linary

Counsel may file an appearance and participate

in any investigation into the application and at any

hearing before the standing committee, and at

any court proceeding thereon. All filings by the

Statewide Grievance Committee and the Office

of the Chief Disciplinary Counsel and any other

party shall be served and certified to all other

parties pursuant to Section 10-12.

(i) The standing committee shall investigate the

application, hold hearings pertaining thereto and

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

156

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

accordance with this section. Record materials

containing 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.

(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

SUPERIOR COURT—GENERAL PROVISIONS Sec. 2-55A

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; amended June 11, 2021, to take effect Jan. 1, 2022.)

Sec. 2-54. Publication of Notice of Repri-

mand, Suspension, Disbarment, Resign a-

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

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 Hart-

ford. 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.

157

(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).

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, shal l grant the reque st and n otify t he

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

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).

section and thereafter wishes to be elig ible to

practice law again in the state of Connecticut must

apply for admission to the bar pursuant to Section

2-8, 2-13 or 2-13A.

SUPERIOR COURT—GENERAL PROVISIONSSec. 2-55A

(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;

amended June 10, 2022, to take effect Jan. 1, 2023.)

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

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

158

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

himself 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

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.)

TECHNICAL CHANGE: A technical change was made to

correct a spelling error.

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

SUPERIOR COURT—GENERAL PROVISIONS Sec. 2-64

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 dur-

ing the period of disability. The attorney shall be

required to disclose the name of every psychia-

trist, psychologist, physician and hospital by

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

159

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 inven-

tory.

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

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

SUPERIOR COURT—GENERAL PROVISIONSSec. 2-64

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 repre-

sent 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 rein-

statement, 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 Griev-

ance Committee in compliance with Section 2-27

(d), has complied with Sections 2-27A and 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; amended June 11, 2021, to take

effect Jan. 1, 2022.)

Sec. 2-66. Practice by Court Officials

(a) No lawyer who is a judge of the Supreme

Court, Appellate Court or Superior Court shall

practice law in any state or federal court.

(b) The chief public defender, the deputy chief

public defender, public defenders, assistant pub-

lic defenders, deputy assistant public defenders,

the chief state’s attorney, the deputy chief state’s

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.

ney, no partner or associate of a law firm of which

160

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,

deputy 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 oth erwise

engage in the practice of law as permitted by

established Judicial Branch policy.

(e) No chief public defender, deputy chief pub-

lic defender, publ ic defe nder, a ssista nt publ ic

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 inter vent ion a nd re ferr al as sis-

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.

(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 alcohol or other substance

abuse problems or gambling problems, or who

have behavioral health problems, and to fund the

delivery of legal services to the poor.

SUPERIOR COURT—GENERAL PROVISIONS Sec. 2-71

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.)

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

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 a ppoint ed by th e 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 Con-

duct

(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

161

crisis intervention and referral assistance, and for

making 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 magis-

trate, family support referee and administrative

law judge in 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 payment 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

Section 2-53 or 2-55 until such time as the attor-

ney has paid the fee due for the year in which the

attorney retired, resigned or was disbarred.

(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.

family support magistrate or administrative law

judge who fails to pay the client security 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 take

effect 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.)

Sec. 2-71. —Eligible Claims

(a) A claim for reimbursement of a loss must

be based upon the dishonest conduct of an attor-

ney 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.

SUPERIOR COURT—GENERAL PROVISIONSSec. 2-71

(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;

(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.

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 agree-

ment, 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

162

shall not be attorneys and three shall be individ-

uals who serve in one of the following capacities:

Superior Court judge, judge trial referee, Appel-

late Court judge, Supreme Court justice, family

support magistrate, family support referee or

administrative law judge. 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.

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 o f the Su perior

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 thr ough 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.

SUPERIOR COURT—GENERAL PROVISIONS Sec. 2-75

bursement should be made and the amount of

such reimbursement.

(d) Prosecute claims for restitution against

attorneys whose conduct has resulted in dis-

bursements.

(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.)

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.)

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 attor-

ney’s representative to be notified by certified

mail within ten days of the filing of such claim.

163

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 Griev-

ance Committee shall allow the client security

fund committee access to its records during an

investigation of a claim. The client security fund

committee shall evaluate whether the investiga-

tion is complete and determine whether it should

conduct additional investigation or await the pen-

dency of any disciplinary investigation or proceed-

ing involving the same act or conduct as is alleged

in the claim.

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

determination 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.

(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 install-

ments.

SUPERIOR COURT—GENERAL PROVISIONSSec. 2-75

(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 inter-

ests of the client security fund or the committee

in any state or federal action in which the interests

of the committee or the fund may be at issue,

and may disclose 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 Section 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 disburse-

ment 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

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

164

increase or decrease th e amoun t 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 calen-

dar year to the chief court administrator for the

provision of crisis intervention and referral assis-

tance 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 calen-

dar 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, th e rem aini ng am ount

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

recommendation of the client security fund com-

mittee 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.)

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

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 com mittee

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

SUPERIOR COURT—GENERAL PROVISIONS Sec. 2-81

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,

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 administrative law

judge 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.

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).

165

(d) The notices required by this section shall

be mailed to the last address registered by the

attorney and sent by email to the last email

address registered by the attorney pursuant to

Section 2-26 and Section 2-27 (d), and mailed to

the home address of the judge, judge trial referee,

state referee, family support magistrate, family

support referee or administrative law judge.

(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; amended June 9,

2023, to take effect Jan. 1, 2024.)

HISTORY—2024: Prior to 2024, subsection (d) read: ‘‘(d)

The notices required by this section shall be sent by certified

mail, return receipt requested or with electronic delivery confir-

mation 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 administrative law judge.’’

COMMENTARY—2024: The changes to this section

remove the requirement that the notices required shall be sent

by certified mail, return receipt requested or with electronic

delivery confirmation and in place thereof, allow those notices

to be mailed and sent by email to the registered attorney, and

mailed to the home address of the judge or other judicial

authority or administrative law judge.

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.

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.

SUPERIOR COURT—GENERAL PROVISIONSSec. 2-81

(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 Commit-

tee, in all other matters. If, after a hearing, the

admission of misconduct is accepted and the pro-

posed 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,

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.

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.

166

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 commit-

tee, 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 with-

drawn, shall not be made public, 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 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, t he pr opos ed di spos itio n are fr eely

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 (A) that the respondent admits that

the material facts alleged in the complaint, or in

that portion thereof to whic h the re sponde nt’s

admission relates, are true, or (B) if the respon-

dent 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 i n the

complaint that are not admitted by the respondent.

SUPERIOR COURT—GENERAL PROVISIONS Sec. 2-83

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 Section 2-35,

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

167

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 PROVISIONSSec. 3-1

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, Detention Hearing or Alterna-

tive Arraignment Proceedings 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, telephone number, and

email address, all of which shall be typed or

printed on the writ, and the attorney’s appearance

shall be entered for the plaintiff, unless such attor-

ney by endorsement on the writ shall otherwise

direct, or unless such attorney shall type or print

on the writ the name, address, juris number, tele-

phone number, and email address of the profes-

sional 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, who shall be required to type or print

on the writ the party’s name, mailing address,

telephone number, and email address.

(P.B. 1978-1997, Sec. 64 (a).) (Amended June 11, 2021,

to take effect Jan. 1, 2022.)

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

168

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 [Repealed]

3-20. —Unauthorized Practice

3-21. —Out-of-State Interns

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.

(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, telephone number and

email address.

(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,

SUPERIOR COURT—GENERAL PROVISIONS Sec. 3-7

if any, the mailing address, telephone number and

email address; (5) define the proceeding or event

for which the lawyer is appearing; and (6) state

that the attorney named on the limited appearance

is available for service of process only for those

matters 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.

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; amended June 11, 2021, to take effect Jan. 1, 2022.)

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.

quency or family with service needs proceed-

ings, 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,

169

2012; amended June 15, 2012, to take effect Jan. 1, 2013;

amended June 13, 2014, to take effect Jan. 1, 2015.)

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, Detention

Hearing, or Alternative Arraignment Pro-

ceedings Only

(Amended June 11, 2021, to take effect Jan. 1, 2022.)

(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 hear-

ing; such appearance shall be in writing and styled

‘‘for the purpose of detention hearing only.’’

the defendant in a criminal case who is subject

to a motion to arraign such defendant remotely

or without his or her presence pursuant to subsec-

tion (c) of Section 37-1 for the limited purpose of

representing the defendant at the hearing on such

motion, any arraignment conducted pursuant to

that subsection, and until the defendant’s first

appearance in court. Such appearance shall be

in writing and shall be styled, ‘‘for the purpose of

alternative arraignment proceedings only.’’ Upon

entering such an appearance, that attorney shall

be entitled to confer with the prosecuting authority

in connection with the hearing on such motion,

the arraignment of the defendant in accordance

with subsection (c) of Section 37-1, if any, and

until the defendant’s first appearance in court.

(See Sec. 633, P.B. 1978-1997.) (P.B. 1998.) (Amended

June 11, 2021, to take effect Jan. 1, 2022.)

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

SUPERIOR COURT—GENERAL PROVISIONSSec. 3-7

appearance has been entered. No attorney shall

be entitled to confer with the prosecuting author-

ity 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.

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

in place of or in addition to the appearance or

appearances already on file. Section 25-6A shall

apply to any appearance filed in a family case by

a self-represented party when filed in addition to

an 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, except that

170

a limited appearance may be filed pursuant to

Section 79a-3 (c) (1).

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; subsection (b) amended June 26, 2020, on an

interim basis pursuant to Section 1-9 (c), to take effect July

14, 2020, and amendment adopted June 11, 2021, to take

effect July 13, 2021; amended June 11, 2021, to take effect

Jan. 1, 2022.)

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

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.

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

SUPERIOR COURT—GENERAL PROVISIONS Sec. 3-11

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),

appearance in any civil, criminal, family, juvenile

or other matter 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 supervision or probation super-

vision with residential placement, family with

service needs supervision, any commitment to the

Commissioner of the Department of Children and

Families pursuant to General Statutes § 46b-129

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

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 or 35a-20A, and with

motions for review of permanency plans, revoca-

tions or postjudgment motions and shall have

access to any documents filed in court. The attor-

ney for the child shall continue to represent the

child in all proceedings relating to the child, includ-

ing 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; amended

June 13, 2019, to take effect Jan. 1, 2020; amended June 10,

2022, to take effect Jan. 1, 2023.)

171

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.

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

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 with-

draw 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

SUPERIOR COURT—GENERAL PROVISIONSSec. 3-11

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

professional 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

former 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

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 affida-

vit 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 thereafter recover.

If the plaintiff recovers the whole claim, costs shall

be taxed against the defendant to the time of the

172

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 judgment is rendered in

favor of the defendant, costs shall be taxed in his

or her favor against the plaintiff, but the judicial

authority may order that the judgment and execu-

tion therefor shall belong to such creditor. No cred-

itor 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:

(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 bar examin-

ing committee;

(2) have completed legal studies amounting to

at least two semesters of credit in a three or four

SUPERIOR COURT—GENERAL PROVISIONS Sec. 3-21

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 Con-

necticut.

(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) In each case where a legal intern appears

in court or before an administrative tribunal, 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 presiding officer of the administra-

tive tribunal.

(b) In addition to appearing in court or before

an administrative tribunal, an intern may, under

the supervision 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.

the name of the intern who participated in drafting

it and must be signed by the supervising attorney.

(P.B. 1978-1997, Sec. 71.) (Amended June 15, 2018, to

take effect Jan. 1, 2019.)

Sec. 3-18. —Certification of Intern

The certification of an intern by the law school

dean:

173

(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.

(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

[Repealed as of Jan. 1, 2019.]

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 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.) (Amended June 15, 2018, to

take effect Jan. 1, 2019.)

SUPERIOR COURT—GENERAL PROVISIONSSec. 4-1

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

4-6. Page Limitations for Briefs, Memoranda of Law and

Reply Memoranda

For previous Histories and Commentaries see the editions of the Practice Book

corresponding to the years of the previous amendments.

Sec. 4-1. Form of Pleading

(a) All documents filed in paper format shall be

typed or printed on size 8

by 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.

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

174

4-7. Personal Identifying Information To Be Omitted or

Redacted from Court Records in Civil and Family

Matters

4-8. Notice of Complaint or Action Filed Against Judicial

Authority

by an attorney shall sign his or her pleadings and

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.

ing 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 ‘‘pre-

pared with assistance of counsel’’ on any plead-

ing, motion or document prepared by the attorney.

The attorney is not required to sign the pleading,

motion or document and the filing of such a plead-

ing, 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

SUPERIOR COURT—GENERAL PROVISIONS Sec. 4-8

set forth the manner in which such papers shall

be kept by the clerk. A paper filed by electronic

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.

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

thirty-five pages without permission of the judicial

175

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 identify-

ing 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.

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.)

Sec. 4-8. Notice of Complaint or Action Filed

Against Judicial Authority

An attorney or party who has filed a complaint

with the Judicial Review Council or an administra-

tive agency or has filed an action against any

SUPERIOR COURT—GENERAL PROVISIONSSec. 4-8

judicial authority other than a small claims magis-

trate, shall give notice of the filing of such com-

plaint or action to the judicial authority and to all

other attorneys and parties of record in any matter

pending before the judicial authority or, if the attor-

ney or party has no matter pending before the

176

judicial authority, shall mail such notice by certified

mail, return receipt requested or with electronic

delivery confirmation, to the judicial authority at

the location at which such judicial authority is

assigned.

(Adopted June 15, 2018, to take effect Jan. 1, 2019.)

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

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 official court reporter

or court recording monitor shall note by whom it

was administered.

(P.B. 1978-1997, Sec. 286.) (Amended June 26, 2020, to

take effect Jan. 1, 2021.)

Sec. 5-4. Examination of Witnesses

The counsel who commences the examina-

tion of a witness, either in chief or on cross-exami-

nation, must alone conduct it; and no associate

counsel will be permitted to interrogate the wit-

ness, except by permission of the judicial author-

ity.

(P.B. 1978-1997, Secs. 287, 875.)

177

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, Stand-

ing Criminal Protective Order or Standing Criminal

Restraining Order Issued on Behalf of Party or

Child

5-12. Objection to the Use of a Peremptory Challenge

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 objec-

tion 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

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.

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.)

178

Sec. 5-12. Objection to the Use of a Peremp-

tory Challenge

(a) Policy and Purpose. The purpose of this

rule is to eliminate the unfair exclusion of potential

jurors based upon race or ethnicity.

(b) Objection. A party may object to the use

of a peremptory challenge to raise a claim of

improper bias. The court may also raise this objec-

tion on its own. The objection shall be made by

simple citation to this rule, and any further discus-

sion shall be conducted outside the presence of

the prospective juror.

of a peremptory challenge pursuant to this rule,

the party exercising the peremptory challenge

shall articulate the reason that the peremptory

challenge has been exercised.

(d) Determination. The court shall then evalu-

ate from the perspective of an objective observer,

as defined in subsection (e) herein, the reason

given to justify the peremptory challenge in light

of the totality of the circumstances. If the court

determines that the use of the challenge against

the prospective juror, as reasonably viewed by an

objective observer, legitimately raises the appear-

ance that the prospective juror’s race or ethnicity

was a factor in the challenge, then the challenge

shall be disallowed and the prospective juror shall

be seated. If the court determines that the use of

the challenge does not raise such an appearance,

then the challenge shall be permitted and the pro-

spective juror shall be excused. The court need

not find purposeful discrimination to disallow the

peremptory challenge. The court must explain its

ruling on the record. A party whose peremptory

challenge has been disallowed pursuant to this

rule shall not be prohibited from attempting to

challenge peremptorily the prospective juror for

any other reason or from conducting further voir

dire of the prospective juror.

(e) Nature of Observer. For the purpose of

this rule, an objective observer: (1) is aware that

purposeful discrimination, and implicit, institu-

tional, and unconscious biases, have historically

resulted in the unfair exclusion of potential jurors

on the basis of their race, or ethnicity; and (2) is

deemed to be aware of and to have given due

consideration to the circumstances set forth in

subsection (f) herein.

(f) Circumstances considered. In making its

determination, the circumstances the court should

consider include, but are not limited to, the fol-

lowing:

(1) the number and types of questions posed

to the prospective juror including consideration

of whether the party exercising the peremptory

challenge failed to question the prospective juror

SUPERIOR COURT—GENERAL PROVISIONS Sec. 5-12

about the alleged concern or the questions asked

about it;

(2) whether the party exercising the peremptory

challenge asked significantly more questions or

different questions of the prospective juror, unre-

lated to his testimony, than were asked of other

prospective jurors;

(3) whether other prospective jurors provided

similar answers but were not the subject of a

peremptory challenge by that party;

(4) whether a reason might be disproportion-

ately associated with a race or ethnicity;

(5) if the party has used peremptory challenges

disproportionately against a given race or ethnicity

in the present case, or has been found by a court

to have done so in a previous case;

(6) whether issues concerning race or ethnicity

play a part in the facts of the case to be tried;

(7) whether the reason given by the party exer-

cising the peremptory challenge was contrary to

or unsupported by the record.

(g) Reasons Presumptively Invalid. Because

historically the following reasons for peremptory

challenges have been associated with improper

discrimination in jury selection in Connecticut or

may be influenced by implicit or explicit bias, the

following are presumptively invalid reasons for a

peremptory challenge:

(1) having prior contact with law enforcement

officers;

(2) expressing a distrust of law enforcement or

a belief that law enforcement officers engage in

racial profiling;

(3) having a close relationship with people who

have been stopped, arrested, or convicted of a

crime;

(4) living in a high crime neighborhood;

(5) having a child outside of marriage;

179

(6) receiving state benefits;

(7) not being a native English speaker; and

(8) having been a victim of a crime.

The presumptive invalidity of any such reason

may be overcome as to the use of a peremptory

challenge on a prospective juror if the party exer-

cising the challenge demonstrates to the court’s

satisfaction that the reason, viewed reasonably

and objectively, is unrelated to the prospective

juror’s race or ethnicity and, while not seen by the

court as sufficient to warrant excusal for cause,

legitimately bears on the prospective juror’s ability

to be fair and impartial in light of particular facts

and circumstances at issue in the case.

(h) Reliance on Conduct. The following rea-

sons for peremptory challenges also have histori-

cally been associated with improper discrimination

in jury selection: allegations that the prospective

juror was inattentive, failing to make eye contact

or exhibited a problematic attitude, body lan-

guage, or demeanor. If any party intends to offer

one of these reasons or a similar reason as a

justification for a peremptory challenge, that party

must provide reasonable notice to the court and

the other parties so the behavior can be verified

and addressed in a timely manner. A party who

intends to exercise a peremptory challenge for

reasons relating to those listed above in this sub-

section shall, as soon as practicable, notify the

court and the other party in order to determine

whether such conduct was observed by the court

or that party. If the alleged conduct is not corrobo-

rated by observations of the court or the objecting

party, then a presumption of invalidity shall apply

but may be overcome as set forth in subsection

(g).

(i) Review Process. The chief justice shall

appoint an individual or individuals to monitor

issues relating to this rule.

(Adopted June 10, 2022, to take effect Jan. 1, 2023.)

SUPERIOR COURT—GENERAL PROVISIONSSec. 6-1

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 an official

court reporter or court recording monitor 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 proceed-

ings in which it stated its oral decision. The tran-

script 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

relatio ns matter whether contest ed or uncont ested ,

or in any dismissal under Section 14-3, the oral

or written decision as provided in subsection (a)

is not required, except as provided in subsection

(c). The clerk of the trial court shall, however,

promptly notify the trial judge of the filing of the

appeal.

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

180

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; amended June 26, 2020, to take

effect Jan. 1, 2021.)

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 cap-

tions 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

SUPERIOR COURT—GENERAL PROVISIONS Sec. 6-5

juvenile matter involving allegations that a child

has been neglected, abused, or uncared for, or

involving termination of parental rights or com-

mitment of a child from a family with service

needs; (5) in criminal 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.

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; amended June 13, 2019, to take effect Jan.

1, 2020.)

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

181

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.

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 PROVISIONSSec. 7-1

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; With-

drawals, Dismissals, Satisfactions of Judgment

For previous Histories and Commentaries see the editions of the Practice Book

corresponding to the years of the previous amendments.

Sec. 7-1. Dockets; Clerk’s Records

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 ren-

dition. 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.)

Sec. 7-4. Daybook

The clerk shall keep daybooks in which to enter

each case on the date upon which the matter is

182

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

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 pseu-

donym.

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

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.

SUPERIOR COURT—GENERAL PROVISIONS Sec. 7-8

The motion must be accompanied by an appro-

priate memorandum of law to justify the sealing

or limited disclosure.

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.

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.

(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

183

container in bold letters the words ‘‘Sealed by

Order of the Court on (Date)’’ or ‘‘Disclosure

Limited by Order of the Court on (Date),’’ as

appropriate, and shall affix to the envelope or con-

tainer a copy of the court’s order and the pub-

lic 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.)

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

SUPERIOR COURT—GENERAL PROVISIONSSec. 7-8

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;

(7) The judgment file or notation of the entry of

judgment, and all modifications of judgment;

(8) All executions issued and returned.

at any time if facilities are not available for local

184

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)

(7) Miscellaneous

-Bar discipline 50 years

-Civil Protection Order (Gen- 5 years

eral Statutes § 46b-16a)

-Money damages (except 1 year 26 years

where a satisfaction of judg-

ment has been filed)

SUPERIOR COURT—GENERAL PROVISIONS Sec. 7-13

-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; amended

June 9, 2023, to take effect Jan. 1, 2024.)

HISTORY—2024: In row (7) of the schedule in subsection

(d), in the ‘‘Type of Case’’ column, ‘‘-Civil Protection Order

(General Statutes § 46b-16a)’’ was added after ‘‘-Bar disci-

pline,’’ and, in the ‘‘Retention Date’’ column, ‘‘5 years’’ was

added after ‘‘50 years.’’

COMMENTARY—2024: The change to this section provides

that the retention period for civil protection orders under Gen-

eral Statutes § 46b-16a shall be five years.

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

state library pursuant to Section 7-15 (b) or to the

Judicial Branch record center.

(P.B. 1978-1997, Sec. 403D.)

185

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 rehabilita-

tion, pretrial drug education, pretrial alcohol edu-

cation and treatment, determination of compe-

tency 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.

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

pendency of proceedings to dispose of the prop-

erty and for such further periods as determined

by the chief court administrator.

SUPERIOR COURT—GENERAL PROVISIONSSec. 7-13

(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 dis-

position.

(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 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.)

186

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 rec-

ords 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

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

SUPERIOR COURT—GENERAL PROVISIONS Sec. 7-19

consecutive minutes from 9 o’clock in the forenoon

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 docu-

ment, 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.)

Sec. 7-19. Issuing Subpoenas for Witnesses

on Behalf of Self-Represented Litigants

(a) Self-represented litigants seeking to compel

the attendance of necessary witnesses in connec-

tion with the hearing of any matter shall file an

application to have the clerk of the court issue

subpoenas for that purpose. The application shall

include a summary of the expected testimony of

each proposed witness so that the court may

determine the relevance of the testimony. The

clerk, after verifying the scheduling of the matter,

shall present the application to the judge before

whom the matter is scheduled for hearing, or the

administrative judge or any judge designated by

the administrative judge if the matter has not been

scheduled before a specific judge, which judge

shall review the application.

(b) The reviewing judge may act on the applica-

tion ex parte 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 hearing and future oppor-

tunities for examination of witnesses, as may be

appropriate. If an application is granted ex parte,

in whole or in part, any party may file a motion

for protective order or motion to quash, as appro-

priate. If an application is denied ex parte, in whole

or in part, the applicant may request a hearing

which shall be scheduled by the court. The reviewing

judge may order that an application acted upon

187

ex parte be placed in the official court file, whether

or not a hearing is requested.

application ex parte, such judge shall direct that

the application be placed in the official court file

to allow any party to file an objection, which objec-

tion will be filed by a date to be set by the reviewing

judge. Having provided an opportunity for any

party to object, the reviewing judge may direct or

deny the issuance of subpoenas as such judge

deems warranted under the circumstances, keep-

ing in mind the nature of the scheduled hearing

and future opportunities for examination of wit-

nesses, as may be appropriate.

(d) Any party or nonparty to whom a subpoena

is directed pursuant to this rule may file a motion

to quash or a motion for protective order as appro-

priate.

(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; amended June 9, 2023, to take effect Jan.

1, 2024.)

HISTORY—2024: Prior to 2024, this section read: ‘‘Self-

represented litigants seeking to compel the attendance of nec-

essary witnesses in connection with the hearing of any matter

shall file an application to have the clerk of the court issue

subpoenas for that purpose. The application shall include a

summary of the expected testimony of each proposed witness

so that the court may determine the relevance of the testimony.

The clerk, after verifying the scheduling of the matter, shall

present the application to the judge before whom the matter

is scheduled for hearing, or the administrative judge or any

judge designated by the administrative 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 hearing 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.’’

COMMENTARY—2024: The changes to this section make

clear that the judge may conduct an ex parte review of the

application for issuance of subpoenas and may direct or deny

the issuance of subpoenas as such judge deems warranted

under the circumstances. If an application is granted ex parte,

any party may file a motion for protective order or a motion

to quash. If an application is denied ex parte, the applicant

may request a hearing which shall be scheduled by the court.

The reviewing judge may order that an application acted on

ex parte be placed in the official court file whether or not a

hearing is requested.

If the application is not acted on by the reviewing judge ex

parte, the judge shall direct that the application be placed in

the official court file to allow any party to file an objection by

a date set by the judge. Thereafter, the reviewing judge may

direct or deny the issuance of subpoenas as such judge deems

warranted under the circumstances.

Any party or nonparty to whom a subpoena is directed

may file a motion to quash or a motion for protective order

as appropriate.

SUPERIOR COURT—GENERAL PROVISIONSSec. 7-20

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.)

188

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 exhib-

its 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

process 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).

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.

(7) Any actions or proceedings in which an

attachment, garnishment or replevy is sought.

189

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

(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

payment by the state of the costs of service of

process. 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

court shall waive such fee or fees and the cost of

service of process shall be paid by the state.

a person is indigent and unable to pay a fee or

SUPERIOR COURT—PROCEDURE IN CIVIL MATTERSSec. 8-2

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 persons who are elderly,

persons who are blind or visually impaired or per-

sons with disabilities, food stamps and supple-

mental 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; amended June 13, 2019, to take effect

Jan. 1, 2020.)

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 author-

ity 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

may be responsible under General Statutes § 52-

257, except that in no event shall the judicial

190

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 per-

formance 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

facie that no special reason for further delay

191

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

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; Continuance

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

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.)

SUPERIOR COURT—PROCEDURE IN CIVIL MATTERSSec. 9-3

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

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.

pursuant to this section shall be maintained as

192

separate files and all documents submitted by coun-

sel or the parties shall bear only the docket num-

ber 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 Defend-

ants

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

(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

SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 9-9

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.

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

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

193

9-8 shall then be construed and applied accord-

ingly.

(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:

(A) any step in the action;

(B) the proposed extent of the judgment; or

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.

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.

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

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).

SUPERIOR COURT—PROCEDURE IN CIVIL MATTERSSec. 9-9

(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:

(A) the work counsel has done in identifying or

investigating potential claims in the action;

(B) counsel’s experience in handling class

actions, other complex litigation, and claims of the

type asserted in the action;

law; and

(D) the resources counsel will commit to repre-

senting the class.

(2) The court may:

(A) consider any other matter pertinent to coun-

sel’s ability to represent the interests of the class

fairly and adequately;

(B) 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

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

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

194

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

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.)

SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 9-24

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 Instru-

ment

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

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

195

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

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

child through his or her next friend, the parents

of such child, not named as next friends, shall be

SUPERIOR COURT—PROCEDURE IN CIVIL MATTERSSec. 9-24

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

196

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,

197

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.

(3) The defendant’s request to revise the com-

plaint.

(4) The defendant’s motion to strike the com-

plaint.

198

(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

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

SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 10-13

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.

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.

(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,

199

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.

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

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

SUPERIOR COURT—PROCEDURE IN CIVIL MATTERSSec. 10-13

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.)

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

service is made of an original writ and complaint,

unless the judicial authority ordered service in

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 author-

ity, upon motion or of its own initiative, may order

200

that service of the pleadings of the defendants

and replies thereto need not be made as between

the defendants and that any cross complaint,

counterclaim, or matter constituting an avoidance

or affirmative 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

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

SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 10-29

and causes of action, and demand both legal

and equitable 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

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.)

201

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

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

SUPERIOR COURT—PROCEDURE IN CIVIL MATTERSSec. 10-29

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.

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.

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.)

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 author-

ity 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.)

202

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

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.)

SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 10-42

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

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

203

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.

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.)

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.]

SUPERIOR COURT—PROCEDURE IN CIVIL MATTERSSec. 10-43

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.

Any new pleading filed pursuant to this section

shall be accompanied by a separate document

which shows the differences between the previ-

ous pleading and the new pleading by using

underlining to indicate new language and by using

either brackets or strikethrough to indicate deleted

language.

Nothing in this section shall dispense with the

requirements of Section 61-3 or 61-4 of the appel-

late rules.

(P.B. 1978-1997, Sec. 157.) (Amended June 30, 2003, to

take effect Jan. 1, 2004; amended June 11, 2021, to take

effect Jan. 1, 2022.)

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

204

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

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

SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 10-59

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.)

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

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.)

205

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.)

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

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

SUPERIOR COURT—PROCEDURE IN CIVIL MATTERSSec. 10-59

day. (See General Statutes § 52-128 and anno-

tations.)

Any writ, complaint or petition amended pursu-

ant to this section shall be accompanied by a

separate document showing the portion or por-

tions of the original writ, complaint or petition so

amended by using underlining to indicate new

language and by using either brackets or

strikethrough to indicate deleted language.

(P.B. 1978-1997, Sec. 175.) (Amended June 11, 2021, to

take effect Jan. 1, 2022.)

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 the amended pleading or other

parts of the record or proceedings. The party shall

file the request and accompanying documents

after service upon each party as provided by Sec-

tions 10-12 through 10-17, and with proof of ser-

vice 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 objec-

tion and the reasons therefor, shall, after service

upon each party as provided by Sections 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) Any amended pleading or other part of the

record or proceedings filed pursuant to this sec-

tion or accompanying a request for leave to file

an amendment pursuant to this section shall be

accompanied by a separate document showing

the amendments to the original pleading or other

parts of the record or proceedings being amended

by using underlining to indicate new language and

by using either brackets or strikethrough to indi-

cate deleted language.

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

206

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; amended June 11, 2021, to take

effect Jan. 1, 2022.)

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 plead-

ings 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

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

SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 10-71

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.)

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.)

207

Sec. 10-69. —Foreclosure Complaint; 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

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 Probate

Court, 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

SUPERIOR COURT—PROCEDURE IN CIVIL MATTERSSec. 10-71

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

actions for work done, materials furnished, or use

and occupation of land.

(P.B. 1978-1997, Sec. 193.)

208

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.

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. 11-4

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.

(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

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

209

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

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

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.)

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

SUPERIOR COURT—PROCEDURE IN CIVIL MATTERSSec. 11-4

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 judi-

cial authority at the earliest convenient time. The

judicial 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

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.)

210

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 disso-

lution 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.)

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

SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 11-14

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.

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

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).

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.

211

(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.

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

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

SUPERIOR COURT—PROCEDURE IN CIVIL MATTERSSec. 11-14

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

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,

(2) a nonmoving party files and serves on all

other parties pursuant to Sections 10-12 through

212

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.

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

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

SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 11-20

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.

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

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 pursu-

ant 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

213

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 proceed-

ings, whether at a pretrial or trial stage, no order

excluding the public from any portion of a court-

room 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

‘‘(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

SUPERIOR COURT—PROCEDURE IN CIVIL MATTERSSec. 11-20

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.

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’’

214

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.

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 pursu-

ant 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

SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 11-20A

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

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

215

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 agree-

ment 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 Section 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

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 calen-

dar 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

SUPERIOR COURT—PROCEDURE IN CIVIL MATTERSSec. 11-20A

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

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...toprotect 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. The court 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) (parties who were

medical patients of named plaintiff were allowed to use pseud-

onyms due to intimate and distressing details alleged in com-

plaint regarding prevention of contraception), appeal dis-

missed sub nom. Poe v. Ullman, 367 U.S. 497, 81 S. Ct. 1752,

6 L. Ed. 2d 989 (1961). Connecticut trial courts applying the

Buxton holding have concluded that permission to proceed

anonymously may be appropriate in situations involving social

stigmatization, real danger of physical harm, or risk of an unfair

trial. Doe v. Diocese Corp., 43 Conn. Supp. 152, 158, 647 A.2d

1067 (1994) (plaintiff was allowed to proceed anonymously in

216

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-00-050407S (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 anony-

mously 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

normally insufficient to permit him to appear without disclosing

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) through (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 such motions. 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).

SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 11-21

COMMENTARY—2018: The change to this section clari-

fies that a party requesting the approval of the judicial authority

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 doc-

uments 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 identify-

ing 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,

217

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

218

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

13-12A. Disclosure of Medicare Enrollment, Eligibility and

Payments Received

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

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 capabili-

ties; (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

219

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; 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).

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 produc-

tion 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 perso ns). Wh en

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 communica-

tion, to ‘‘identify’’ means: (A) to state the date and

place of the oral communication; (B) to identify all

persons 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, prese nt or in volved 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.

(2) And/Or. The connectives ‘‘and’’ and ‘‘or’’

shall be construed either disjunctively or conjunc-

tively as necessary to bring within the scope of

220

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

discovery 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

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

SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 13-4

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.

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 Section

13-5, 13-8 or 13-10 in response to a discovery

request for documents or electronically stored

information, the party asserting the privilege or

protection shall provide, within forty-five days from

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;

221

(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.)

Sec. 13-4. —Experts

(a) A party shall disclose each person who may

be called by that party to testify as an expert

witness at trial, and all documents that may be

offered in evidence in lieu of such expert tes-

timony, 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:

(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.

SUPERIOR COURT—PROCEDURE IN CIVIL MATTERSSec. 13-4

(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

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.

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

222

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 dep-

osition; and (B) the reasonable expenses actually

incurred for travel to and from the place of depo-

sition and lodging, if necessary. If the parties 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

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 dep-

osition; and (B) the reasonable expenses actually

SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 13-5

incurred for travel to and from the place of deposi-

tion and lodging, if necessary. If the parties 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

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.

223

(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 agree-

ment of the parties may file a motion for modifica-

tion with the court stating the reasons therefor.

Said motion shall be granted if: (A) the requested

modification will not cause undue prejudice to any

other party; (B) the requested modification 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 modification.

(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 sanc-

tions.

(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

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 judi-

cial 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

SUPERIOR COURT—PROCEDURE IN CIVIL MATTERSSec. 13-5

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

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 evi-

dence. In all personal injury actions alleging liabil-

ity based on the operation or ownership of a motor

224

vehicle or alleging liability based on the owner-

ship, maintenance or control of real property, or

in actions claiming a loss of consortium or unin-

sured/underinsured motorist coverage benefits,

the interrogatories 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

interrogatories are inappropriate or inadequate in

the particular 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, 214,

218, 220 and/or 221 of the rules of practice is

not limited.

the interrogatories shall be limited to: (1) those

set forth in Forms 218, 220, and 221 of the rules

of practice and contained in the Appendix of

Forms in this volume to which no objections shall

be allowed and (2) twenty additional interrogato-

ries as of right, which may not contain subparts.

The party to whom the additional twenty as of

right interrogatories are directed may file specific,

individual objections to each additional as of

right interrogatory.

(d) The standard interrogatories in civil actions,

including standard and as of right additional inter-

rogatories in medical negligence actions, 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 as contemplated by

Section 13-2.

(e) In lieu of serving the interrogatories set forth

in Forms 201, 202, 203, 208, 210, 212, 213, 214,

218, 220, and/or 221 of the rules of practice on

a party who is represented by counsel, the moving

party may serve on such party a notice of interrog-

atories, which shall not include the actual interrog-

atories 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.

(f) The party serving interrogatories or the

notice of interrogatories shall not file them with

the court.

(g) 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

SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 13-9

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; amended

June 11, 2021, to take effect Jan. 1, 2022.)

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.

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

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,

225

203, 208, 210, 212, 213, 214, 218, 220 and/or

221 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.

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;

amended June 10, 2022, to take effect Jan. 1, 2023.)

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

SUPERIOR COURT—PROCEDURE IN CIVIL MATTERSSec. 13-9

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.

(b) In all actions alleging medical negligence,

production requests shall be limited to: (1) those

set forth in Forms 219, 222, and 223 of the rules

of practice and contained in the Appendix of

Forms in this volume and (2) twenty additional

production requests as of right, which may not

contain subparts. The party to whom the addi-

tional twenty as of right requests are directed may

file specific, individual objections to each addi-

tional as of right production request. A party may

move for permission to file additional discovery,

which the judicial authority shall permit if it deter-

mines that such requests for production filed to

date are inappropriate or inadequate in the partic-

ular action.

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.

(d) 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, 216, 219, 222 and/or 223 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.

(e) 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

226

production have been set forth in Forms 204, 205,

206, 209, 211, 215, 216, 219, 222, and/or 223 of

the rules of practice is not limited.

(f) 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.

(g) The party serving such request or notice of

requests for production shall not file it with the

court.

(h) 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.

(i) 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, 216, 219, 222, and 223 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

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; amended June 11,

2021, to take effect Jan. 1, 2022.)

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.

SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 13-11

(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.

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

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, 216, 219, 222 and/or

223 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

227

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; amended June 10, 2022,

to take effect Jan. 1, 2023.)

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 examina-

tion at the expense of the requesting party. That

request shall specify the time, place, manner,

conditions and scope of the examination and the

person or persons by whom it is to be made. Any

such request shall be complied with by the plain-

tiff unless, within ten days from the filing of the

request, the plaintiff files in writing an objec-

tion 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.

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.

SUPERIOR COURT—PROCEDURE IN CIVIL MATTERSSec. 13-11

(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 examin-

ing 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

228

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. 13-12A. Disclosure of Medicare Enroll-

ment, Eligibility and Payments Received

In any civil action involving allegations of

personal injury, information on the claimant’s

Medicare enrollment status, eligibility or payments

received, which is sufficient to allow providers of

liability insurance, including self-insurance, no

fault insurance, and/or workers’ compensation

insurance to comply with Medicare Secondary

Payer obligations, including those imposed under

42 U.S.C. § 1395y (b) (2) and (8), shall be subject

to discovery by any party by interrogatory as pro-

vided in Sections 13-6 through 13-8. The interrog-

atories shall be limited to those set forth in Form

217. The information disclosed pursuant to this

section shall not be admissible at trial solely by

reason of such disclosure. Such information shall

be used only for purposes of the litigation and for

complying with 42 U.S.C. § 1395y (b) (8) and shall

not be used or disclosed for any other purpose.

(Adopted June 13, 2019, to take effect Jan. 1, 2020.)

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.

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 rem-

edy.

(d) Any party, in lieu of disclosing assets pur-

suant to subsection (a), may move the judicial

SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 13-19

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

with any other discovery order made pursuant to

Sections 13-6 through 13-11, the judicial authority

may, on motion, make such order proportional to

the noncompliance as the ends of justice require.

(b) Such orders may include the following:

(1) An order of compliance;

(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) An order of dismissal, nonsuit or default.

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. 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;

229

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, amended June 11, 2021,

to take effect Jan. 1, 2022.)

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.)

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

SUPERIOR COURT—PROCEDURE IN CIVIL MATTERSSec. 13-19

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

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 per-

son 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

230

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

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.

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;

SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 13-23

(4) whether the foreign nation’s procedure

will allow the parties to directly apply to the for-

eign 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 obtain-

ing 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

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 transmit-

ted document, shall leave sufficient space follow-

ing 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

231

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

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

SUPERIOR COURT—PROCEDURE IN CIVIL MATTERSSec. 13-23

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

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) Anymatteradmitted under thissectionis con-

clusively established unless the judicial authority

on motion permits withdrawal or amendment of

the admission. The judicial authority may permit

withdrawal or amendment when the presentation

of the merits of the action will be subserved

thereby and the party who obtained the admission

fails to satisfy the judicial authority that withdrawal

or amendment will prejudice such party in main-

taining 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

232

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 chap-

ter, 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 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 Organi-

zation

(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.

SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 13-28

(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.

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.

(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 (A) 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 (B) 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

233

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.)

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 com-

missioned shall have the power by virtue of his

or her commission to administer any necessary

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

SUPERIOR COURT—PROCEDURE IN CIVIL MATTERSSec. 13-28

has complied with the provisions of Sections 13-

26 and 13-27.

sition 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.

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

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.

234

(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 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

SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 13-30

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 com-

pliance with such subpoena and, except in the

case of a subpoena commanding the production,

copying or inspection of medical records, may

include, but not be limited to, the reimbursement

of such person’s reasonable costs of compliance,

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.)

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.

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

235

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 residence

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.

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.

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

SUPERIOR COURT—PROCEDURE IN CIVIL MATTERSSec. 13-30

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

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 pre-

sent, 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 cause a watermark or other indicia of

origin to be added to the deposition and 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 deposi-

tion was taken shall file the 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

236

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 practice, pro-

cedures and use of depositions shall apply to

remote electronic means depositions. The follow-

ing additional rules, unless otherwise 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 evidence

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 stenographic,

video or other electronic record. The cost of partic-

ipation 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

(1) 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

SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 13-31

of deposition and (2) 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

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;

amended June 9, 2023, to take effect Jan. 1, 2024.)

HISTORY—2024: In the second sentence of subsection

(e), ‘‘securely seal the deposition in an envelope 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),’ ’’ before ‘‘and shall then promptly’’ was

deleted and replaced with ‘‘cause a watermark or other indicia

of origin to be added to the deposition.’’ Additionally, in the

third sentence of subsection (e), ‘‘sealed’’ after ‘‘file the’’

was deleted.

COMMENTARY—2024: The change to this section removes

the requirement in subsection (e) that the person recording

the testimony securely seal the deposition in an envelope and,

in lieu thereof, requires that the person cause a watermark or

other indicia of origin to be added to the deposition.

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.

237

(2) The deposition of any physician, psycholo-

gist, chiropractor, natureopathic physician, osteo-

pathic physician or dentist licensed under the pro-

visions of the General Statutes may be received

in evidence in lieu of the appearance of such wit-

ness 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 corpora-

tion, 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

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

SUPERIOR COURT—PROCEDURE IN CIVIL MATTERSSec. 13-31

or part thereof for any reason which would require

the exclusion of the evidence if the witness were

then present and testifying.

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 depo-

sition, in the form of the questions or answers, in

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

238

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.

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.

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.)

239

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

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

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

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

SUPERIOR COURT—PROCEDURE IN CIVIL MATTERSSec. 14-4

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.

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

pursuant to General Statutes § 38a-139, are

excluded from the procedures prescribed in Sec-

tion 14-7A and 14-7B, and shall, subsequent to

240

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.

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 purposes of this section,

the term ‘‘papers’’ shall include any and all docu-

ments, transcripts, exhibits, 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 addi-

tions to the record pursuant to General Statutes

§ 4-183 (h).

(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

SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 14-7B

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 rec-

ord established in accordance with subsection (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.)

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 Section 14-7 or 14-

7A, for appeals from municipal land use, historic,

241

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 mater-

ials, 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.

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 rec-

ord established in accordance with subsection (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

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

SUPERIOR COURT—PROCEDURE IN CIVIL MATTERSSec. 14-7B

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

consider 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

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.

242

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 Regulatory Authority;

(8) equitable actions tried to the court wherein

the essential claim asserted is for a permanent

injunction and any claim for damages or other

relief, legal or equitable, is merely in lieu of, or sup-

plemental to, the claim for injunction; (9) habeas

corpus proceedings; (10) motions to dissolve tem-

porary 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

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.)

SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 14-15

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 stipula-

tion, 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

alternative dispute resolution, (2) enter appro-

priate 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 possible, 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

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

243

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

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 differ-

ent 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.)

SUPERIOR COURT—PROCEDURE IN CIVIL MATTERSSec. 14-16

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.

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

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

244

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

Witness; 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 wit-

ness, 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 reason why the party making the request did

not make proper preparation to have the witness

present 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.

(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.)

SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 14-25

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

245

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

246

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

SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 15-8

nature of the case being presented for trial. The

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.)

247

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. Jurors Who Are Deaf or Hard of Hearing

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. Jurors Who Are Deaf or Hard of

Hearing

(Amended June 15, 2018, to take effect Jan. 1, 2019.)

At the request of a juror who is deaf or hard of

hearing or the judicial authority, an interpreter or

interpreters provided by the Judicial Branch and

qualified under General Statutes § 17a-838 shall

assist such juror during the juror orientation pro-

gram and all subsequent proceedings, and when

the jury assembles for deliberation.

(P.B. 1978-1997, Sec. 303A.) (Amended June 15, 2018,

to take effect Jan. 1, 2019.)

TECHNICAL CHANGE: A change in statutory citation was

made to this section to reflect that in 2023, General Statutes

§ 46a-33a was transferred to General Statutes § 17a-838.

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.)

248

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] (Trans-

ferred to Section 17-2A.)

16-37. Reservation of Decision on Motion for Directed

Verdict

16-38. Memorandum on Setting Verdict Aside

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

authority shall require counsel to make a prelim-

inary 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 being hard of hearing.

(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.

SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 16-10

for the trial of each cause, shall, when more jurors

are in attendance than are required of the panel,

designate by lot those who shall compose the

panel.

(P.B. 1978-1997, Sec. 303, 304.) (Amended June 13, 2019,

to take effect Jan. 1, 2020.)

Sec. 16-5. Peremptory Challenges

(a) 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.

(b) Pursuant to the provisions of Section 5-12,

a party or the court on its own may object to the

use of a peremptory challenge to raise a claim of

improper bias.

(P.B. 1998.) (Amended June 21, 2004, to take effect Jan.

1, 2005; amended June 10, 2022, to take effect Jan. 1, 2023.)

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 quali-

fications to sit as a juror in the action, or as to the

person’s interest, if any, in the subject matter 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 determines. The

right of such examination shall not be abridged

by requiring questions to be put to any juror in

249

writing and submitted in advance of the com-

mencement 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

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 juror

who is deaf or hard of hearing to refrain from

participating in any manner in the deliberations of

the jury and to refrain from having any communi-

cations, oral or visual, with any member of the jury

except for the literal translation of jurors’ remarks

made during deliberations.

(P.B. 1998.) (Amended June 13, 2019, to take effect Jan.

1, 2020.)

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

SUPERIOR COURT—PROCEDURE IN CIVIL MATTERSSec. 16-10

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

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 an official court reporter or court

recording monitor 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 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 wit-

nesses as allowed by the judicial authority. Any

proceedings at the location, including examination

of witnesses, shall be at the discretion of the judi-

cial authority. Neither the parties nor counsel nor

the jurors while viewing the place or thing may

engage in discussion of the significance or the

implications of anything under observation or of

any issue in the case.

(See Sec. 844, P.B. 1978-1997.) (P.B.1998.) (Amended

June 26, 2020, to take effect Jan. 1, 2021.)

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

250

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.

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 juror

who is deaf or hard of hearing. The jurors shall

be kept together for deliberations as the judicial

SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 16-23

authority reasonably directs. If the judicial author-

ity 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, 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.) (Amended

June 13, 2019, to take effect Jan. 1, 2020.)

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 writ-

ten 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 verdic t retu rned and the que stion s as answ ered,

and proceed according to the usual practice. The

judicial authority will not accept a verdict until the

interrogatories 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

251

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 er ro r as to the giving of, or t he f ai lure 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 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.)

SUPERIOR COURT—PROCEDURE IN CIVIL MATTERSSec. 16-24

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 instruc-

tions.

(P.B. 1978-1997, Sec. 318A.)

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 instruc-

tion;

(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

252

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.)

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 con-

cerns 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 rec-

ord, motions to set aside a verdict, motions for

SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 16-38

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

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

253

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

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 ver-

dict 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; 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

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.)

254

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

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 Other-

wise

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 Section 16-35 or

17-2A 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

SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 17-6

be the date the verdict was accepted. If motions

are filed pursuant to Section 16-35 or 17-2A, judg-

ment 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 anno-

tations.)

(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.

255

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 author-

ity, 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 par-

ties 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

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

SUPERIOR COURT—PROCEDURE IN CIVIL MATTERSSec. 17-6

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 mater-

ial to the issues tried. When any fact upon which

final judgment is founded is simply a bare con-

clusion of law from more detailed and subordin-

ate 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

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

256

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 evi-

dence 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.)

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

SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 17-18

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,

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

257

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

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 Gen-

eral 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 author-

ity may award reasonable attorney’s fees in an

amount not to exceed $350 and shall render judg-

ment accordingly. Nothing in this section shall be

interpreted to abrogate the contractual rights of

any party concerning the recovery of attorney’s

SUPERIOR COURT—PROCEDURE IN CIVIL MATTERSSec. 17-18

fees in accordance with the provisions of any writ-

ten 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.

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 com-

plied with before a judgment may be entered after

258

default. If the defaulted party files an appearance

in the action prior to the entry of judgment after

default, the default shall automatically be set aside

by operation of law. A claim for a hearing in dam-

ages shall not be filed before the expiration of

fifteen days from the entry of a default under this

subsection, except as provided in Sections 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

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.

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

SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 17-25

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.

(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.)

259

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.)

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

SUPERIOR COURT—PROCEDURE IN CIVIL MATTERSSec. 17-25

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.

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.

vent the judicial authority from requiring the sub-

mission of additional written documentation or

the presence of the plaintiff, the authorized repre-

sentative of the plaintiff or other affiants, as well

as counsel, before the court prior to rendering

judgment 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

260

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

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.

SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 17-34

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

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 fail-

ure 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.)

261

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 defen-

dant.

(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).

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

complaint, 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.)

SUPERIOR COURT—PROCEDURE IN CIVIL MATTERSSec. 17-35

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,

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

262

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 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 judi-

cial 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

SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 17-52

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

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.)

Sec. 17-45. —Proceedings upon Motion for

Summary Judgment

(Amended June 30, 2003, to take effect Jan. 1, 2004;

amended June 11, 2021, to take effect Jan. 1, 2022.)

(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.

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; amended June 11, 2021, to take effect Jan. 1, 2022.)

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

263

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.)

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 affi-

davit caused that party to incur, including attor-

ney’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 credi-

tor may file a written application with the court for

an execution to collect an unsatisfied money judg-

ment.

(P.B. 1978-1997, Sec. 387.)

SUPERIOR COURT—PROCEDURE IN CIVIL MATTERSSec. 17-53

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

judgment despite the existence of such alternate

procedure.

(P.B. 1978-1997, Sec. 390.) (Amended June 28, 1999, to

take effect Jan. 1, 2000.)

264

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

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.

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.)

SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 17-59

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 Appeal-

able

The decision of the judicial authority shall be

final between the parties to the action as to the

265

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 credi-

tor 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

other. No costs shall be allowed against the estate.

(P.B. 1978-1997, Sec. 410.)

266

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

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 four-

teen 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.

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

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.)

SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 18-17

Sec. 18-7. Costs on Interlocutory Proceed-

ings

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, plain-

tiff shall not recover costs incurred in attempting

to support the claims which plaintiff shall fail to

establish.

(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.)

267

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

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.)

SUPERIOR COURT—PROCEDURE IN CIVIL MATTERSSec. 18-18

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.)

268

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

the issuance of the notice. In addition to matters

269

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

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

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

proceeding resulting from a demand for a trial

de novo pursuant to subsection (e) of General

Statutes § 52-549z, may be referred without the

consent of the parties to a judge trial referee who

has been specifically designated to hear such

proceedings 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 (l) (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

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.)

SUPERIOR COURT—PROCEDURE IN CIVIL MATTERSSec. 19-4

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

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

270

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 pro-

ven; and any committee, attorney trial referee or

special assignment probate judge having reason

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 commit-

tee, attorney trial referee or special assignment

probate judge should state such claims as were

made by the parties and which either party request s

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.

(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.)

SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 19-19

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.)

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

271

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,

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

this chapter shall not be applicable to reports by

accountants under this section.

(P.B. 1978-1997, Sec. 445.)

SUPERIOR COURT—PROCEDURE IN CIVIL MATTERSSec. 20-1

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 stat-

ute 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 agree-

ment of the parties, repair to the courthouse, open

a special session of the court, certify such pro-

ceedings 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

272

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 MATTERS Sec. 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 adjourn-

ment 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,

273

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

21-25. Applicability of Rules

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.

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

SUPERIOR COURT—PROCEDURE IN CIVIL MATTERSSec. 21-3

of his or her confirmation as permanent receiver

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 forsuchpurpose.Every tem-

porary 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 advis-

able.

(P.B. 1978-1997, Sec. 492.)

Sec. 21-8. —Allowance; Hearing

(a) The receiver shall, within two weeks after

the order of notice, make a return of compliance

274

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.)

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

SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 21-23

the six months preceding, and the doings there-

under. 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.)

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.)

275

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

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.)

SUPERIOR COURT—PROCEDURE IN CIVIL MATTERSSec. 21-24

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.)

Sec. 21-25. Applicability of Rules

Sections 21-1 through 21-24 shall apply to

receivers except as otherwise provided by law,

including the Uniform Commercial Real Estate

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Receivership Act pursuant to Chapter 930 of the

General Statutes, and Section 21-19.

(Adopted June 9, 2023, to take effect June 20, 2023.)

COMMENTARY—2024: This new section is intended to

clarify the application of the rules for receivers as set forth in

Chapter 21 of the Practice Book due to the adoption of the

Uniform Commercial Real Estate Receivership Act (Chapter

930 of the General Statutes), with an effective date of July 1,

2023. If adopted, the recommended effective date of this sec-

tion will be from promulgation, which is upon publication in

the Connecticut Law Journal, until one year following such

date, unless further extended,after which additional rules relat-

ing to the UCRERA are expected to be in place.

SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 22-4

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 appel-

lant 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 original 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.

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 MATTERSSec. 22-4

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

with the court within two weeks from the date the

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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 MATTERS Sec. 23-5

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 Assign-

ment

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

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 chapters

862 and 909 of the General Statutes, 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 there be,

why the application should not be granted.

(P.B. 1978-1997, Sec. 525.) (Amended June 10, 2022, to

take effect Jan. 1, 2023.)

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23-33. —Request for a More Specific Statement

23-34. —Summary Procedures for Habeas Corpus Peti-

tions

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

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.]

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.]

SUPERIOR COURT—PROCEDURE IN CIVIL MATTERSSec. 23-6

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, judge or self-represented party

may request the chief court administrator to make

an assignment pursuant to Section 23-13. The

request shall be submitted in writing on a form

prescribed by the chief court administrator. When

an attorney or self-represented party makes such

a request, a copy of the request shall be served

on other parties pursuant to Sections 10-12

280

through 10-17. Should the chief court administra-

tor 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 Con-

necticut Law Journal.

(P.B. 1998.) (Amended June 15, 2018, to take effect Jan.

1, 2019.)

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

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

SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 23-23

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 hear-

ing shall be held not less than fifteen days follow-

ing 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.

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

of the property, such party shall file an objection

five days before the hearing on the motion and

281

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

petition 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 MATTERSSec. 23-24

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 author-

ity shall refer the matter to the public defender for

an investigation of indigence. If, after such inves-

tigation, the judicial authority determines that the

petitioner is eligible for public defender services,

the judicial authority shall appoint counsel in accor-

dance 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

282

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.

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 MATTERS Sec. 23-40

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.

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.)

Sec. 23-37. —Summary Judgment in Habeas

Corpus

At any time after the pleadings are closed, any

party may move for summary judgment, which

283

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.

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

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

SUPERIOR COURT—PROCEDURE IN CIVIL MATTERSSec. 23-40

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.

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

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

284

filed under seal 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; amended June 13, 2019, to take

effect Jan. 1, 2020.)

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

claimed to be charged with the duty of performing

the act in question may be summoned before the

SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 23-54

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

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

285

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.

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.

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 cover-

age, in which money damages only are claimed,

which is based upon an express or implied prom-

ise 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

prescribed 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.

(b) A fact finder may disqualify himself or herself

upon his or her own application or upon appli-

cation 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.

SUPERIOR COURT—PROCEDURE IN CIVIL MATTERSSec. 23-54

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 Con-

necticut Code of Evidence shall apply.

(P.B. 1978-1997, Sec. 546F.) (Amended June 26, 2020, to

take effect Jan. 1, 2021.)

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 applic-

able.

(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.

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)

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

286

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.

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.

ily 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.)

SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 23-66

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

herself upon his or her own application or upon

application 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.

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 Connecticut Code of Evidence

shall not be required.

(P.B. 1978-1997, Sec. 546P.) (Amended June 29, 1998,

to take effect Jan. 1, 1999; amended June 26, 2020, to take

effect Jan. 1, 2021.)

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.)

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

287

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).

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

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.)

SUPERIOR COURT—PROCEDURE IN CIVIL MATTERSSec. 23-67

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, counsel,

witness, or other participant in any proceeding

may appear by means of an interactive audiovi-

sual device at any proceeding scheduled to be

heard in person in any civil matter, including all

proceedings within the jurisdiction of the small

claims section, or any family matter, including all

proceedings within the jurisdiction of the family

support magistrate division.

(b) At the discretion of the judicial authority, any

party, counsel, witness or other participant in a

proceeding may be required to appear by means

of an interactive audiovisual device in any civil

matter, including all proceedings within the juris-

diction of the small claims section, or any family

matter, including all proceedings within the juris-

diction of the family support magistrate.

audiovisual device must operate so that the judi-

cial authority; any party and his or her counsel, if

288

any; and any person appearing by means of an

interactive audiovisual device pursuant to a court

order under this section can see and communi-

cate 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) An officer, as identified in General Statutes

§ 1-24, may administer an oath by means of an

interactive audiovisual device to any party, wit-

ness or other participant in a proceeding who

appears pursuant to this section, provided such

officer can see, hear and clearly identify the partic-

ipant to whom the oath is to be administered via

the audiovisual device.

(f) 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, counsel, witness, or other participant in the

proceeding appear in person.

(g) Nothing contained in this section shall be

construed to preclude the Judicial Branch, at the

discretion of the chief court administrator, from

handling any matter remotely.

(h) For purposes of this section, judicial author-

ity 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; amended

June 13, 2019, to take effect Jan. 1, 2020; amended June 26,

2020, on an interim basis pursuant to Section 1-9 (c), to take

effect July 14, 2020, and amendment adopted June 11, 2021,

to take effect Jan. 1, 2022.)

SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 24-4

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.)

289

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 veri-

fied 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) and (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 MATTERSSec. 24-5

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 capac-

ity; the chief court administrator or his or her

authorized representative while acting in an offi-

cial 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.

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.)

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

290

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 Department of Motor Vehicles; (3) receipt of

correspondence 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

in a civil action. The plaintiff, or representative,

shall include any information required by the

Office of the Chief Court Administrator. A state-

ment of how service has been made, together

SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 24-16

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.

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.)

Sec. 24-15. —Scheduling of Hearings; Con-

tinuances

(a) A hearing shall be scheduled not les s 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

291

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 continuance shall be

permitted by the clerk only in extraordinary circum-

stances.

(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.

(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

SUPERIOR COURT—PROCEDURE IN CIVIL MATTERSSec. 24-16

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 plain-

tiff 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.)

Sec. 24-20A. —Request for Documents;

Depositions

A party may request from the opposing party

documents, or copies thereof, that are neces-

sary 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,

292

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

housing docket, respectively, if the following con-

ditions 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.

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

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 Supe-

rior Court or to the regular housing docket, the

appearance entered in the small claims case of

an attorney at law and of a self-represented party

as an individual shall be entered on the appro-

priate docket of the Superior Court. Unless other-

wise 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,

SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 24-24

the appearance 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

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,

293

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.

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.

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

SUPERIOR COURT—PROCEDURE IN CIVIL MATTERSSec. 24-24

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

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.)

294

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

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.)

SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 24-33

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.)

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.

295

(b) Service of an initial set of interrogatories,

on forms prescribed by the Office of the Chief

Court Administrator relevant to obtaining satisfac-

tion of a small claims money judgment shall be

made by sending the interrogatories by certified

mail, with return receipt requested or with elec-

tronic 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 MATTERSSec. 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

25-6A. Appearance by Self-Represented Party in Addi-

tion to Appearance of Attorney

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

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-

296

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

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 MATTERS Sec. 25-4

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

marriage 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.

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

effect Jan. 1, 2007; amended June 29, 2007, to take effect

297

Jan. 1, 2008; amended June 30, 2008, to take effect Jan.

1, 2009.)

Sec. 25-2A. Premari tal and Postnuptial Agree-

ments

(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 dissolut ion of mar-

riage or civil union, legal separation 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 jurisdic-

tion. The application shall comply with Section 25-

5. Such application shall be commenced by an

order to show cause. Upon presentation of the

application and an affidavit concerning 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 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 under

this Section shall be commenced by an order to

show cause. Upon presentation of the application

SUPERIOR COURT—PROCEDURE IN FAMILY MATTERSSec. 25-4

or verified petition 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 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

separation, or annulment, or of an application for

custody 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 appli-

cation 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

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

298

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.

(A) Nothing in subsection (b) (1) shall be con-

strued to preclude a party from purchasing or sell-

ing securities, in the usual course of the parties’

investment decisions, whether held in an individ-

ual or jointly held investment account, provided

that the purchase or sale is: (i) intended to pre-

serve the estate of the parties, (ii) transacted

either on an open and public market or at an arm’s

length on a private market, and (iii) completed in

such manner that the purchased securities or

sales proceeds resulting from a sale remain, sub-

ject to the provisions and exceptions recited in

subsection (b) (1), in the account in which the

securities or cash were maintained immediately

prior to the transaction. Nothing contained in this

subsection shall be construed to apply to a party’s

purchase or sale on a private market of an interest

in an entity that conducts a business in which the

party is or intends to become an active participant.

(B) Notwithstanding the requirement of subpar-

agraph (A) of subsection (b) (1) that the transac-

tion be made in the usual course of the parties’

investment decisions, if historically the parties’

usual course of investment decisions involves

their discussion of proposed transactions with

each other before they are made, but a sale pro-

posed by one party is a matter of such urgency

as to timing that the party proposing the sale has

a good faith belief that the delay occasioned by

such discussion would result in loss to the estate

of the parties, then the party proposing the sale

may proceed with the transaction without such

prior discussion, but shall notify the other party of

the transaction immediately upon its execution;

provided, that a sale permitted by this subpara-

graph (B) shall be subject to all other conditions

and provisions of subparagraph (A) of subsection

(b) (1), so long as the transaction is intended to

preserve the estate of the parties.

SUPERIOR COURT—PROCEDURE IN FAMILY MATTERS Sec. 25-5A

(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

property, without order of a judicial authority. This

provision shall not apply if there is a prior, contra-

dictory order of a judicial authority.

(1) The parties shall each complete and

exchange sworn financial stat emen ts su bsta n-

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:

299

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; amended June 13, 2019,

to take effect Jan. 1, 2020.)

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, modi-

fied, 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.)

SUPERIOR COURT—PROCEDURE IN FAMILY MATTERSSec. 25-5B

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 prop-

erty.

(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.

(5) Neither petitioner shall incur unreasonable

debts hereafter, including, but not limited to, fur-

ther encumbrancing any as sets, o r unrea son-

ably 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 a nd

exchange sworn financial stat emen ts su bsta n-

tially in accordance with a form prescribed by the

chief court administrator and file the financial

300

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. 25-6A. Appearance by Self-Repre-

sented Party in Addition to Appearance of

Attorney

(a) A party may file an appearance as a self-

represented party without prior approval of the

court even though there is an existing appearance

of one or more attorneys on file for that party.

For purposes of this section, a ‘‘party with dual

representation’’ is a party for whom one or more

attorneys have current appearances on file and

who also has a current appearance on file as a

self-represented party.

(b) Pursuant to Section 4-2, any pleading or

other paper filed by or on behalf of a party with

dual representation must be signed by an attorney

of record for the party.

motion that is not signed by an attorney of record,

the court may, upon its own motion or upon the

motion of any party, order that proceedings on

the motion be stayed until an attorney of record

adopts said motion as if it were signed by that

attorney. The attorney may adopt the motion

either by filing a notice of such adoption with the

court or by making an oral statement to that effect

in court on the record. Alternatively, if the party

with dual representation affirms to the court that

no attorney is actively representing the party with

respect to any matters in the case in which the

motion was filed, the court may in its discretion

order that proceedings on the motion be stayed

SUPERIOR COURT—PROCEDURE IN FAMILY MATTERS Sec. 25-9

until the party with dual representation files a new

appearance as a self-represented party in lieu of

the appearances of any and all attorneys of record

for the party.

(d) Unless and until a motion filed by a party

with dual representation without the signature of

the party’s attorney is adopted by the attorney,

disposed of, or withdrawn:

(1) The party with dual representation shall be

solely responsible for the prosecution or litigation

of the motion; and

(2) An attorney of record for any other party in

the case may communicate directly with the party

with dual representation, but only with respect to

the subject matter of the motion.

(e) If two motions of a party with dual represen-

tation are scheduled for hearing at the same time,

with one or more having been signed or adopted

by the party’s attorney and one or more not having

been so signed or adopted, the court in its discre-

tion may determine the most appropriate method

of proceeding with the hearing of the multiple

motions.

(f) If a party with dual representation files a

pleading or paper, other than a motion, which is

not signed by the party’s attorney, the court may

treat such filing in the same manner as it may

treat a motion under this section or in such other

manner as in its discretion it deems appropriate

under the circumstances.

(Adopted June 11, 2021, to take effect Jan. 1, 2022.)

COMMENTARY—2022: The above rule is intended to clar-

ify the procedures to be followed when parties in family matters

file appearances on their own behalf even though they may

also have, or intend to have, an attorney who has filed an

appearance. The rule recognizes that filing a self-representa-

tion appearance may be desirable in order to receive notices

from the court. However, the rule is not intended to supersede

the requirement of Section 4-2 that a pleading or other paper

filed on behalf of a party who is represented by an attorney

be signed by the attorney. The rule also acknowledges the

possibility that a party will nevertheless file a motion without

the attorney’s signature. In that event, it is intended to provide

guidance to the parties, attorneys, and the court about how

to proceed. In exercising its discretion to stay proceedings on

a motion filed by a party without the attorney’s signature, the

court may consider any relevant circumstances, including, but

not limited to, the emergency nature, if any, of the motion;

any time limits imposed by statute or rule on the court’s hearing

on the motion; the pendency of another motion filed on behalf

of the party which has been signed or adopted by the party’s

attorney, or by another party, which concerns the same facts

or legal issues; and the likelihood that action by the court on

the motion that has not been signed or adopted by the attorney

will substantially impact the adjudication of other issues in

the case.

Sec. 25-7. Pleadings in General; Amend-

ments to Complaint or Application

(Amended June 28, 1999, to take effect Jan. 1, 2000.)

If Section 25-2, 25-3 or 25-4 is not complied

with, the judicial authority, whenever its attention

301

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 G roun d 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 leav-

ing 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.)

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.)

302

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

complaint 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

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

SUPERIOR COURT—PROCEDURE IN FAMILY MATTERS Sec. 25-26

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 aft er the g rantin g 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

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,

303

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.)

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

sufficient excuse so as to constitute a contempt

of court, and, in its dis cretio n, may d etermi ne

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.

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.

SUPERIOR COURT—PROCEDURE IN FAMILY MATTERSSec. 25-26

(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 mod-

ification 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

judicial authority with or without hearin g. 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.)

304

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

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

SUPERIOR COURT—PROCEDURE IN FAMILY MATTERS Sec. 25-32A

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.

prehensive and shall set forth the party’s

requested relief including, where applicable, the

following:

(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

305

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 sixty days of such request:

(1) all federal and state income tax returns filed

within the last three y ears, i ncludi ng pers onal

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;

(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 compensat ion pla n, pens ion pla n, 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;

amended June 15, 2018, to take effect Jan. 1, 2019.)

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

SUPERIOR COURT—PROCEDURE IN FAMILY MATTERSSec. 25-32A

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.)

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

306

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.

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.)

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

SUPERIOR COURT—PROCEDURE IN FAMILY MATTERS Sec. 25-43

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

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.)

307

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;

(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 petit ion, 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.)

SUPERIOR COURT—PROCEDURE IN FAMILY MATTERSSec. 25-44

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.)

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

308

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

subsection (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.

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

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. I f not re solved , the ma tter wi ll 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

SUPERIOR COURT—PROCEDURE IN FAMILY MATTERS Sec. 25-57

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 bet-

ween counsel or self-represented parties for the

purpose of premar king exhibits and compl ying

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

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.)

309

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 t hrough 13-11. Se rvice m ay be

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.

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

SUPERIOR COURT—PROCEDURE IN FAMILY MATTERSSec. 25-57

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.)

Sec. 25-59. Cl osur e of C ourt room 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.

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

310

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.

(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.