CT Practice Book

OFFICIAL
2016
CONNECTICUT PRACTICE BOOK
(Revision of 1998)
CONTAINING
RULES OF PROFESSIONAL CONDUCT
CODE OF JUDICIAL CONDUCT
RULES FOR THE SUPERIOR COURT
RULES OF APPELLATE PROCEDURE
APPENDIX OF FORMS
INDEX OF OFFICIAL JUDICIAL BRANCH FORMS
Published by
The Commission on Official Legal Publications
 Copyrighted by the Secretary of the State of the State of Connecticut

 2016 by the Secretary of the State, State of Connecticut

EXPLANATORY NOTES
The Superior Court Rules as organized herein were first published in the Connecticut Law
Journal dated July 29, 1997. This 2016 edition of the Practice Book contains amendments
to the Rules of Professional Conduct, Superior Court Rules, and Rules of Appellate Procedure.
The amendments were published in the Connecticut Law Journals dated June 30 and October
6, 2015. A correction to the effective date of the amendment to Section 17-32 was published
in the Connecticut Law Journal dated July 7, 2015.
A parenthetical notation about the origin of each rule is found at the end of every section
in this volume. The notation (P.B. 1978-1997, Sec. ) indicates the number of the section
in the 1978-1997 Practice Book corresponding to the current section. Current numbers of
any sections corresponding to the sections in the 1978-1997 Practice Book appear in the
Reference Tables following the text of the rules. The notation (1998) indicates that the section
was new in the 1998 Practice Book, taking effect October 1, 1997. The notation (See P.B.
1978-1997, Sec. ) (1998) indicates that the section was modeled on a rule in the 1978-
1997 Practice Book but was actually adopted for the first time to take effect October 1, 1997.
There may be significant differences between the rules in this volume and those in the
1978- 1997 Practice Book on which they were modeled. The temporary numbers assigned
to those rules in the July 29, 1997 Connecticut Law Journal, where they were originally
published, appear in the Reference Tables following the text of the rules.
Where a section was adopted or amended after 1997, a parenthetical notation to that effect
appears either immediately following the text of the section or following the parenthetical
notation concerning the derivation of the section. Where the title to a section has been
amended, a parenthetical notation appears immediately following the title. The Table of
Practice Book Changes, following the text of the rules, documents the dates on which rules
were adopted, repealed, amended, or transferred to another section.
Histories describing the nature of amendments and Commentaries indicating the intended
purpose of new rules or amendments to existing rules are printed following the text of new
or amended rules. Histories and Commentaries are included for only those rules that were
adopted or amended to take effect in the year corresponding to the current edition of the
Practice Book, with the following exceptions: (1) the Histories and Commentaries to the rules
on sealing of files and closure of the courtroom will be retained on a cumulative basis, and
(2) the Commentaries to Sections 1-10B, 61-8, 61-10, 62-8A, 67-8 and 68-1 will be retained
on a cumulative basis. 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, 2016, will appear only in the 2016 edition of the Practice
Book and not in subsequent editions, unless the rule falls into one of the two exceptions,
listed above.
The Commentaries to the rules of practice are included in this volume for informational
purposes only. Commentaries to those rules are not adopted by the Judges and Justices
when they vote to adopt proposed rule changes. Commentaries to the Rules of Professional
Conduct and Code of Judicial Conduct are adopted by the Judges and Justices and are
printed in every edition of the Practice Book.
Beginning in 2000, Amendment Notes were incorporated into the Rules of Professional
Conduct and the Code of Judicial Conduct. Those notes, approved by the Rules Committee
iii
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.
The system used to number each section is based on the chapter in which the section is
located. Each section has a two part number. The first part of the number designates the
chapter, and the second part designates the number of the section within that chapter. (Chapter
1 begins with 1-1, chapter 2 with 2-1, etc.) The internal breakdown of individual rules follows
the style of the General Statutes. Subsections are designated by lower case letters in parenthe-
ses, (a), (b), subdivisions are designated by numbers in parentheses, (1), (2), and subpara-
graphs are designated by upper case letters in parentheses, (A), (B).
The Rules of Appellate Procedure, as well as the Superior Court Rules, were reorganized
in 1998. The reorganization of the Rules of Appellate Procedure was completed subsequent
to the publication of the July 29, 1997 Connecticut Law Journal and was published in this
volume for the first time in 1998. The goal in reorganizing the Rules of Appellate Procedure
was to present them in the order in which an appellant might approach the appeal process,
i.e., rules on whether to appeal, how to file, what to do next, when argument will take place,
opinions and reargument. Rules on various special proceedings were organized into separate
chapters. No substantive changes were made in the course of reorganization, but there were
editorial changes.
In the Connecticut Law Journal of June 25, 2013, certain rules pertaining to the preparation
of the appellate record were amended, adopted and/or repealed. This edition of the Practice
Book contains two versions of each of those rules, indicating whether the rule is applicable
to appeals filed before July 1, 2013, or applicable to appeals filed on or after July 1, 2013.
There is, however, only one version of Section 68-1 in this edition. That rule was amended
twice in 2013 and three versions were published in the 2014 edition of the Practice Book.
In 2002, an Appendix was added following the Index. The Appendix contains certain forms
that previously had been in Volume 2 of the 1978-1997 Practice Book. In 2010, an Index of
Official Judicial Branch Forms used in Civil, Family and Juvenile Matters was added to the
Practice Book, following the Appendix of Forms. In 2012, the Appendix of Superior Court
Standing Orders, which was added in 2010, was removed. A notice referring the reader to
the Judicial Branch website for access to the Superior Court Standing Orders was substituted
in its place.
Effective January 1, 2003, the rules pertaining to procedure in juvenile matters were
amended and reorganized. The amendments initially were published in the Connecticut Law
Journal of July 23, 2002. The July 23, 2002 Connecticut Law Journal gave notice that the
rules on juvenile matters, which, since 1998, had been found in chapters 26 through 35, had
been moved to chapters 26a through 35a. In the Practice Book itself, however, the original
numbers of the juvenile rules were retained wherever possible.
Every year certain nonsubstantive, technical editorial changes are made to a number of
the rules. Some, but not all, of these changes are explained in Technical Change notes.
iv
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 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 160
Chapter 4 Pleadings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 166
Chapter 5 Trials . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 169
Chapter 6 Judgments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 171
Chapter 7 Clerks; Files and Records . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 173
Superior Court—Procedure in Civil Matters
Chapter 8 Commencement of Action . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 179
Chapter 9 Parties . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 182
Chapter 10 Pleadings. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 188
Chapter 11 Motions, Requests, Orders of Notice, and Short Calendar . . . . . . . . . . . . . . 200
Chapter 12 Transfer of Actions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 209
Chapter 13 Discovery and Depositions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 210
Chapter 14 Dockets, Trial Lists, Pretrials and Assignment Lists . . . . . . . . . . . . . . . . . . 229
Chapter 15 Trials in General; Argument by Counsel . . . . . . . . . . . . . . . . . . . . . . . . 236
Chapter 16 Jury Trials . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 238
Chapter 17 Judgments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 244
Chapter 18 Fees and Costs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 256
Chapter 19 References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 259
Chapter 20 Hearings in Chambers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 263
Chapter 21 Receivers. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 264
Chapter 22 Unemployment Compensation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 268
Chapter 23 Miscellaneous Remedies and Procedures . . . . . . . . . . . . . . . . . . . . . . . 270
Chapter 24 Small Claims . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 280
Superior Court—Procedure in Family Matters
Chapter 25 General Provisions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 287
Superior Court—Procedure in Family Support Magistrate Matters
Chapter 25a Family Support Magistrate Matters . . . . . . . . . . . . . . . . . . . . . . . . . . . 306
Superior Court—Procedure in Juvenile Matters
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Chapter 27 Reception and Processing of Delinquency and Family with Service Needs Com-
plaints or Petitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 318
Chapter 28 Delinquency and Family with Service Needs Nonjudicial Supervision [Repealed] . 321
Chapter 29 Reception and Processing of Delinquency and Child from Family with Service Needs
Petitions and Delinquency Informations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 322
Chapter 30 Detention . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 323
Chapter 30a Delinquency and Family with Service Needs Hearings. . . . . . . . . . . . . . . . 326
Chapter 31 Delinquency and Family with Service Needs Hearing [Repealed] . . . . . . . . . . 329
Chapter 31a Delinquency and Family with Service Needs Motions and Applications . . . . . . 330
Chapter 32 Neglected, Uncared for and Dependent Children and Termination of Parental Rights
[Repealed] . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 336
Chapter 32a Rights of Parties, Neglected, Abused and Uncared for Children and Termination
of Parental Rights . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 337
Chapter 33 Hearings concerning Neglected, Uncared for and Dependent Children and Termina-
tion of Parental Rights [Repealed] . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 340
Chapter 33a Petitions for Neglect, Uncared for, Dependency and Termination of Parental Rights:
Initiation of Proceedings, Orders of Temporary Custody and Preliminary Hearings . . . . . 341
Chapter 34 Rights of Parties [Repealed] . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 345
Chapter 34a Pleadings, Motions and Discovery Neglected, Abused and Uncared for Children
and Termination of Parental Rights . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 346
Chapter 35 General Provisions [Repealed] . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 351
Chapter 35a Hearings concerning Neglected, Abused and Uncared for Children and Termination
of Parental Rights . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 352
Superior Court—Procedure in Criminal Matters
Chapter 36 Procedure Prior to Appearance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 361
Chapter 37 Arraignment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 365
Chapter 38 Pretrial Release . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 368
Chapter 39 Disposition without Trial. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 375
Chapter 40 Discovery and Depositions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 379
Chapter 41 Pretrial Motions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 390
Chapter 42 Trial Procedure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 394
Chapter 43 Sentencing, Judgment, and Appeal . . . . . . . . . . . . . . . . . . . . . . . . . . . 406
Rules of Appellate Procedure
Chapter 60 General Provisions Relating to Appellate Rules and Appellate Review . . . . . . . 423
Chapter 61 Remedy by Appeal . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 427
Chapter 62 Chief Judge, Appellate Clerk and Docket: General Administrative Matters . . . . . 438
Chapter 63 Filing the Appeal; Withdrawals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 443
Chapter 64 Procedure concerning Memorandum of Decision . . . . . . . . . . . . . . . . . . . 453
Chapter 65 Transfer of Cases . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 454
Chapter 66 Motions and Other Procedures. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 456
Chapter 67 Briefs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 462
Chapter 68 Case File . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 475
Chapter 69 Assignment of Cases for Argument . . . . . . . . . . . . . . . . . . . . . . . . . . . 479
Chapter 70 Arguments and Media Coverage of Court Proceedings . . . . . . . . . . . . . . . . 481
Chapter 71 Appellate Judgments and Opinions . . . . . . . . . . . . . . . . . . . . . . . . . . . 485
Chapter 72 Writs of Error. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 487
Chapter 73 Reservations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 489
Chapter 74 Appeals from Judicial Review Council. . . . . . . . . . . . . . . . . . . . . . . . . . 491
Chapter 75 Appeals from Council on Probate Judicial Conduct . . . . . . . . . . . . . . . . . . 494
Chapter 76 Appeals in Workers’ Compensation Cases . . . . . . . . . . . . . . . . . . . . . . . 495
vi
Chapter 77 Procedures concerning Court Closure and Sealing Orders or Orders Limiting the
Disclosure of Files, Affidavits, Documents or Other Material . . . . . . . . . . . . . . . . . 497
Chapter 78 Review of Grand Jury Record or Finding Order . . . . . . . . . . . . . . . . . . . . 499
Chapter 78a Review of Orders concerning Release on Bail . . . . . . . . . . . . . . . . . . . . 500
Chapter 79 Appeals in Juvenile Matters [Repealed] . . . . . . . . . . . . . . . . . . . . . . . . . 501
Chapter 79a Appeals in Child Protection Matters . . . . . . . . . . . . . . . . . . . . . . . . . . 502
Chapter 80 Appeals in Habeas Corpus Proceedings Following Conviction . . . . . . . . . . . . 507
Chapter 81 Appeals to Appellate Court by Certification for Review in Accordance with General
Statutes Chapters 124 and 440 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 508
Chapter 82 Certified Questions to or from Courts of Other Jurisdictions . . . . . . . . . . . . . 511
Chapter 83 Certification Pursuant to General Statutes § 52-265a in Cases of Substantial Public
Interest . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 513
Chapter 84 Appeals to Supreme Court by Certification for Review . . . . . . . . . . . . . . . . 514
Chapter 84a Matters within Supreme Court’s Original Jurisdiction in which Facts May Be Found 519
Chapter 85 Sanctions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 520
Chapter 86 Rule Changes; Effective Date; Applicability . . . . . . . . . . . . . . . . . . . . . . . 521
Tables and Index
Reference Table 1978-1997 to 1998 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 523
Reference Table 1998 to 1978-1997 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 536
Table of Practice Book Changes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 547
Table of Statutes Noted . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 560
Index . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 563
Appendix: Forms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 599
Index of Official Judicial Branch Forms Used in Civil, Family and Juvenile Matters . . . . . . . 635
Superior Court Standing Orders . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 639
vii
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.)

Preamble
Scope
Rules
Commentaries
Preamble: A Lawyer’s Responsibilities In all professional functions a lawyer should be

A lawyer, as a member of the legal profession, competent, prompt and diligent. A lawyer should
is a representative of clients, an officer of the maintain communication with a client concerning
legal system and a public citizen having special the representation. A lawyer should keep in confi-
responsibility for the quality of justice. dence information relating to representation of a
As a representative of clients, a lawyer per- client except so far as disclosure is required or
forms various functions. As advisor, a lawyer pro- permitted by the Rules of Professional Conduct
vides a client with an informed understanding of or other law.
the client’s legal rights and obligations and A lawyer’s conduct should conform to the
explains their practical implications. As advocate, requirements of the law, both in professional ser-
a lawyer zealously asserts the client’s position vice to clients and in the lawyer’s business and
under the rules of the adversary system. As nego- personal affairs. A lawyer should use the law’s
tiator, a lawyer seeks a result advantageous to the procedures only for legitimate purposes and not
client but consistent with requirements of honest to harass or intimidate others. A lawyer should
dealing with others. As evaluator, a lawyer exam- demonstrate respect for the legal system and for
ines a client’s legal affairs and reports about them those who serve it, including judges, other lawyers
to the client or to others on the client’s behalf. and public officials. While it is a lawyer’s duty,
In addition to these representational functions, when necessary, to challenge the rectitude of offi-
a lawyer may serve as a third-party neutral, a cial action, it is also a lawyer’s duty to uphold
nonrepresentational role helping the parties to legal process.
resolve a dispute or other matter. Some of these As a public citizen, a lawyer should seek
Rules apply directly to lawyers who are or have improvement of the law, access to the legal sys-
served as third-party neutrals. See, e.g., Rules tem, the administration of justice and the quality
1.12 and 2.4. In addition, there are Rules that of service rendered by the legal profession. As a
apply to lawyers who are not active in the practice member of a learned profession, a lawyer should
of law or to practicing lawyers even when they cultivate knowledge of the law beyond its use for
are acting in a nonprofessional capacity. For clients, employ that knowledge in reform of the
example, a lawyer who commits fraud in the con- law and work to strengthen legal education. All
duct of a business is subject to discipline for lawyers should work to ensure equal access to
engaging in conduct involving dishonesty, fraud, our system of justice for all those who, because
deceit or misrepresentation. See Rule 8.4. of economic or social barriers, cannot afford or
1
secure adequate legal counsel. A lawyer should also helps maintain the legal profession’s inde-
aid the legal profession in pursuing these objec- pendence from government domination. An inde-
tives and should help the bar regulate itself in the pendent legal profession is an important force in
public interest. preserving government under law, for abuse of
Many of a lawyer’s professional responsibilities legal authority is more readily challenged by a
are prescribed in the Rules of Professional Con- profession whose members are not dependent on
duct, as well as substantive and procedural law. government for the right to practice.
However, a lawyer is also guided by personal The legal profession’s relative autonomy car-
conscience and the approbation of professional ries with it special responsibilities of self-govern-
peers. A lawyer should strive to attain the highest ment. The profession has a responsibility to
level of skill, to improve the law and the legal assure that its regulations are conceived in the
profession and to exemplify the legal profession’s public interest and not in furtherance of parochial
ideals of public service. or self-interested concerns of the bar. Every law-
A lawyer’s responsibilities as a representative yer is responsible for observance of the Rules of
of clients, an officer of the legal system and a Professional Conduct. A lawyer should also aid
public citizen are usually harmonious. Thus, when in securing their observance by other lawyers.
an opposing party is well represented, a lawyer Neglect of these responsibilities compromises the
can be a zealous advocate on behalf of a client independence of the profession and the public
and at the same time assume that justice is being interest which it serves.
done. So also, a lawyer can be sure that preserv- Lawyers play a vital role in the preservation of
ing client confidences ordinarily serves the public society. The fulfillment of this role requires an
interest because people are more likely to seek understanding by lawyers of their relationship to
legal advice, and thereby heed their legal obliga- our legal system. The Rules of Professional Con-
tions, when they know their communications will duct, when properly applied, serve to define
be private. that relationship.
In the nature of law practice, however, conflict- (Amended June 26, 2006, to take effect Jan. 1, 2007.)
ing responsibilities are encountered. Virtually all
difficult ethical problems arise from conflict Scope
between a lawyer’s responsibilities to clients, to The Rules of Professional Conduct are rules of
the legal system and to the lawyer’s own interest reason. They should be interpreted with reference
in remaining an ethical person while earning a to the purposes of legal representation and of the
satisfactory living. The Rules of Professional Con- law itself. Some of the Rules are imperatives, cast
duct often prescribe terms for resolving such con- in the terms ‘‘shall’’ or ‘‘shall not.’’ These define
flicts. Within the framework of these Rules, proper conduct for purposes of professional disci-
however, many difficult issues of professional dis- pline. Others, generally cast in the term ‘‘may,’’
cretion can arise. Such issues must be resolved are permissive and define areas under the Rules
through the exercise of sensitive professional and in which the lawyer has discretion to exercise pro-
moral judgment guided by the basic principles fessional judgment. No disciplinary action should
underlying the Rules. These principles include the be taken when the lawyer chooses not to act or
lawyer’s obligation zealously to protect and pur- acts within the bounds of such discretion. Other
sue a client’s legitimate interests, within the Rules define the nature of relationships between
bounds of the law, while maintaining a profes- the lawyer and others. The Rules are thus partly
sional, courteous and civil attitude toward all per- obligatory and disciplinary and partly constitutive
sons involved in the legal system. and descriptive in that they define a lawyer’s pro-
The legal profession is largely self-governing. fessional role.
Although other professions also have been The Rules presuppose a larger legal context
granted powers of self-government, the legal pro- shaping the lawyer’s role. That context includes
fession is unique in this respect because of the court rules and statutes relating to matters of licen-
close relationship between the profession and the sure, laws defining specific obligations of lawyers
processes of government and law enforcement. and substantive and procedural law in general.
This connection is manifested in the fact that ulti- Compliance with the Rules, as with all law in an
mate authority over the legal profession is vested open society, depends primarily upon under-
largely in the courts. standing and voluntary compliance, secondarily
To the extent that lawyers meet the obligations upon reinforcement by peer and public opinion
of their professional calling, the occasion for gov- and finally, when necessary, upon enforcement
ernment regulation is obviated. Self-regulation through disciplinary proceedings. The Rules do
2
not, however, exhaust the moral and ethical con- Violation of a Rule should not itself give rise to
siderations that should inform a lawyer, for no a cause of action against a lawyer nor should it
worthwhile human activity can be completely create any presumption that a legal duty has been
defined by legal rules. The Rules simply provide breached. In addition, violation of a Rule does
a framework for the ethical practice of law. not necessarily warrant any other nondisciplinary
Furthermore, for purposes of determining the remedy, such as disqualification of a lawyer in
lawyer’s authority and responsibility, principles of pending litigation. The Rules are designed to pro-
substantive law external to these Rules determine vide guidance to lawyers and to provide a struc-
whether a client-lawyer relationship exists. Most ture for regulating conduct through disciplinary
of the duties flowing from the client-lawyer rela- agencies. They are not designed to be a basis
tionship attach only after the client has requested for civil liability. Furthermore, the purpose of the
the lawyer to render legal services and the lawyer Rules can be subverted when they are invoked
has agreed to do so. But there are some duties, by opposing parties as procedural weapons. The
such as that of confidentiality under Rule 1.6, that fact that a Rule is a just basis for a lawyer’s self-
attach when the lawyer agrees to consider
assessment, or for sanctioning a lawyer under the
whether a client-lawyer relationship shall be
established. See Rule 1.18. Whether a client-law- administration of a disciplinary authority, does not
yer relationship exists for any specific purpose imply that an antagonist in a collateral proceeding
can depend on the circumstances and may be a or transaction has standing to seek enforcement
question of fact. of the Rule. Nevertheless, since the Rules do
Under various legal provisions, including con- establish standards of conduct by lawyers, a law-
stitutional, statutory and common law, the respon- yer’s violation of a Rule may be evidence of
sibilities of government lawyers may include breach of the applicable standard of conduct.
authority concerning legal matters that ordinarily Moreover, these Rules are not intended to gov-
reposes in the client in private client-lawyer rela- ern or affect judicial application of either the attor-
tionships. For example, a lawyer for a government ney-client or work product privilege. Those
agency may have authority on behalf of the gov- privileges were developed to promote compliance
ernment to decide upon settlement or whether to with law and fairness in litigation. In reliance on
appeal from an adverse judgment. Such authority the attorney-client privilege, clients are entitled to
in various respects is generally vested in the attor- expect that communications within the scope of
ney general and the state’s attorney in state gov- the privilege will be protected against compelled
ernment, and their federal counterparts, and the disclosure. The attorney-client privilege is that of
same may be true of other government law offi- the client and not of the lawyer. The fact that in
cers. Also, lawyers under the supervision of these exceptional situations the lawyer under the Rules
officers may be authorized to represent several has a limited discretion to disclose a client confi-
government agencies in intragovernmental legal dence does not vitiate the proposition that, as a
controversies in circumstances where a private general matter, the client has a reasonable expec-
lawyer could not represent multiple private clients. tation that information relating to the client will
They also may have authority to represent the not be voluntarily disclosed and that disclosure of
‘‘public interest’’ in circumstances where a private such information may be judicially compelled only
lawyer would not be authorized to do so. These in accordance with recognized exceptions to the
Rules do not abrogate any such authority. attorney-client and work product privileges.
Failure to comply with an obligation or prohibi- The lawyer’s exercise of discretion not to dis-
tion imposed by a Rule is a basis for invoking the
close information under Rule 1.6 should not be
disciplinary process. The Rules presuppose that
subject to reexamination. Permitting such reex-
disciplinary assessment of a lawyer’s conduct will
be made on the basis of the facts and circum- amination would be incompatible with the general
stances as they existed at the time of the conduct policy of promoting compliance with law through
in question and in recognition of the fact that a assurances that communications will be protected
lawyer often has to act upon uncertain or incom- against disclosure.
plete evidence of the situation. Moreover, the The Commentary accompanying each Rule
Rules presuppose that whether or not discipline explains and illustrates the meaning and purpose
should be imposed for a violation, and the severity of the Rule. The Preamble and this note on Scope
of a sanction, depend on all the circumstances, provide general orientation. The Commentaries
such as the wilfulness and seriousness of the are intended as guides to interpretation, but the
violation, extenuating factors and whether there text of each Rule is authoritative. Commentaries
have been previous violations. do not add obligations to the Rules but provide
3
guidance for practicing in compliance with the matters of licensure, laws defining specific obliga-
Rules. The Commentaries are sometimes used tions of lawyers and substantive and procedural
to alert lawyers to their responsibilities under other law in general.
law, such as court rules and statutes relating to (Amended June 26, 2006, to take effect Jan. 1, 2007.)
Rule Rule
1.0. Terminology 3.9. Advocate in Nonadjudicative Proceedings
Client-Lawyer Relationships Transactions with Persons Other than Clients

1.1. Competence 4.1. Truthfulness in Statements to Others
4.2. Communication with Person Represented by Counsel
1.2. Scope of Representation and Allocation of Authority
4.3. Dealing with Unrepresented Person
between Client and Lawyer
4.4. Respect for Rights of Third Persons
1.3. Diligence
1.4. Communication Law Firms and Associations
1.5. Fees 5.1. Responsibilities of Partners, Managers, and Supervi-
1.6. Confidentiality of Information sory Lawyers
1.7. Conflict of Interest: Current Clients 5.2. Responsibilities of a Subordinate Lawyer
1.8. Conflict of Interest: Prohibited Transactions 5.3. Responsibilities regarding Nonlawyer Assistance
1.9. Duties to Former Clients 5.4. Professional Independence of a Lawyer
1.10. Imputation of Conflicts of Interest: General Rule 5.5. Unauthorized Practice of Law
1.11. Special Conflicts of Interest for Former and Current 5.6. Restrictions on Right to Practice
Government Officers and Employees
1.12. Former Judge, Arbitrator, Mediator or Other Third- Public Service
Party Neutral 6.1. Pro Bono Publico Service
1.13. Organization as Client 6.2. Accepting Appointments
1.14. Client with Impaired Capacity 6.3. Membership in Legal Services Organization
1.15. Safekeeping Property 6.4. Law Reform Activities Affecting Client Interests
1.16. Declining or Terminating Representation 6.5. Nonprofit and Court-Annexed Limited Legal Ser-
1.17. Sale of Law Practice vices Programs
1.18. Duties to Prospective Client Information about Legal Services
Counselor 7.1. Communications concerning a Lawyer’s Services
7.2. Advertising
2.1. Advisor
7.3. Solicilation of Clients
2.2. Intermediary [Repealed]
7.4. Communication of Fields of Practice
2.3. Evaluation for Use by Third Persons 7.4A. Certification as Specialist
2.4. Lawyer Serving as Third-Party Neutral 7.4B. Legal Specialization Screening Committee
Advocate 7.4C. Application by Board or Entity to Certify Lawyers as
Specialists
3.1. Meritorious Claims and Contentions
7.5. Firm Names and Letterheads
3.2. Expediting Litigation
3.3. Candor toward the Tribunal Maintaining the Integrity of the Profession
3.4. Fairness to Opposing Party and Counsel 8.1. Bar Admission and Disciplinary Matters
3.5. Impartiality and Decorum 8.2. Judicial and Legal Officials
3.6. Trial Publicity 8.3. Reporting Professional Misconduct
3.7. Lawyer as Witness 8.4. Misconduct
3.8. Special Responsibilities of a Prosecutor 8.5. Disciplinary Authority; Choice of Law
Rule 1.0. Terminology (b) ‘‘Client’’ or ‘‘person’’ as used in these Rules

(a) ‘‘Belief’’ or ‘‘believes’’ denotes that the per- includes an authorized representative unless
son involved actually supposed the fact in ques- otherwise stated.
tion to be true. A person’s belief may be inferred (c) ‘‘Confirmed in writing,’’ when used in refer-
from circumstances. ence to the informed consent of a person, denotes
4
RULES OF PROFESSIONAL CONDUCT Rule 1.0
informed consent that is given in writing by the body, administrative agency or other body acting
person or a writing that a lawyer promptly trans- in an adjudicative capacity. A legislative body,
mits to the person confirming an oral informed administrative agency or other body acts in an
consent. See subsection (f) for the definition of adjudicative capacity when a neutral official, after
‘‘informed consent.’’ If it is not feasible to obtain the presentation of evidence or legal argument
or transmit the writing at the time the person gives by a party or parties, will render a binding legal
informed consent, then the lawyer must obtain or judgment directly affecting a party’s interests in a
transmit it within a reasonable time thereafter. particular matter.
(d) ‘‘Firm’’ or ‘‘law firm’’ denotes a lawyer or (o) ‘‘Writing’’ or ‘‘written’’ denotes a tangible or
lawyers in a law partnership, professional corpo- electronic record of a communication or represen-
ration, sole proprietorship or other association tation, including handwriting, typewriting, printing,
authorized to practice law; or lawyers employed photostatting, photography, audio or videore-
in a legal services organization or the legal depart- cording and electronic communications. A
ment of a corporation or other organization. ‘‘signed’’ writing includes an electronic sound,
(e) ‘‘Fraud’’ or ‘‘fraudulent’’ denotes conduct symbol or process attached to or logically associ-
that is fraudulent under the substantive or proce- ated with a writing and executed or adopted by a
dural law of the applicable jurisdiction and has a person with the intent to sign the writing.
purpose to deceive. (Amended June 26, 2006, to take effect Jan. 1, 2007;
(f) ‘‘Informed consent’’ denotes the agreement amended June 14, 2013, to take effect Jan. 1, 2014.)
COMMENTARY: Confirmed in Writing. If it is not feasible
by a person to a proposed course of conduct after to obtain or transmit a written confirmation at the time the
the lawyer has communicated adequate informa- client gives informed consent, then the lawyer must obtain or
tion and explanation about the material risks of transmit it within a reasonable time thereafter. If a lawyer has
and reasonably available alternatives to the pro- obtained a client’s informed consent, the lawyer may act in
posed course of conduct. reliance on that consent so long as it is confirmed in writing
(g) ‘‘Knowingly,’’ ‘‘known,’’ or ‘‘knows’’ denotes within a reasonable time thereafter.
Firm. Whether two or more lawyers constitute a firm within
actual knowledge of the fact in question. A per- subsection (d) can depend on the specific facts. For example,
son’s knowledge may be inferred from circum- two practitioners who share office space and occasionally
stances. consult or assist each other ordinarily would not be regarded
(h) ‘‘Partner’’ denotes a member of a partner- as constituting a firm. However, if they present themselves to
ship, a shareholder in a law firm organized as the public in a way that suggests that they are a firm or conduct
a professional corporation, or a member of an themselves as a firm, they should be regarded as a firm for
purposes of the Rules. The terms of any formal agreement
association authorized to practice law. between associated lawyers are relevant in determining
(i) ‘‘Reasonable’’ or ‘‘reasonably,’’ when used whether they are a firm, as is the fact that they have mutual
in relation to conduct by a lawyer, denotes the access to information concerning the clients they serve. Fur-
conduct of a reasonably prudent and competent thermore, it is relevant in doubtful cases to consider the under-
lawyer. lying purpose of the Rule that is involved. A group of lawyers
(j) ‘‘Reasonable belief’’ or ‘‘reasonably be- could be regarded as a firm for purposes of the Rule that the
same lawyer should not represent opposing parties in litigation,
lieves,’’ when used in reference to a lawyer, while it might not be so regarded for purposes of the Rule that
denotes that the lawyer believes the matter in information acquired by one lawyer is attributed to another.
question and that the circumstances are such that With respect to the law department of an organization,
the belief is reasonable. including the government, there is ordinarily no question that
(k) ‘‘Reasonably should know,’’ when used in the members of the department constitute a firm within the
meaning of the Rules of Professional Conduct. There can
reference to a lawyer, denotes that a lawyer of be uncertainty, however, as to the identity of the client. For
reasonable prudence and competence would example, it may not be clear whether the law department of
ascertain the matter in question. a corporation represents a subsidiary or an affiliated corpora-
(l) ‘‘Screened’’ denotes the isolation of a lawyer tion, as well as the corporation by which the members of the
from any participation in a matter through the department are directly employed. A similar question can arise
timely imposition of procedures within a firm that concerning an unincorporated association and its local
affiliates.
are reasonably adequate under the circum- Similar questions can also arise with respect to lawyers in
stances to protect information that the isolated legal aid and legal services organizations. Depending upon
lawyer is obligated to protect under these Rules the structure of the organization, the entire organization or
or other law. different components of it may constitute a firm or firms for
(m) ‘‘Substantial,’’ when used in reference to purposes of these Rules.
Fraud. When used in these Rules, the terms ‘‘fraud’’ or
degree or extent denotes a material matter of clear ‘‘fraudulent’’ refer to conduct that is characterized as such
and weighty importance. under the substantive or procedural law of the applicable juris-
(n) ‘‘Tribunal’’ denotes a court, an arbitrator in diction and has a purpose to deceive. This does not include
a binding arbitration proceeding or a legislative merely negligent misrepresentation or negligent failure to
5
Rule 1.0 RULES OF PROFESSIONAL CONDUCT
apprise another of relevant information. For purposes of these lawyer to avoid any communication with other firm personnel
Rules, it is not necessary that anyone has suffered damages and any contact with any firm files or other information, includ-
or relied on the misrepresentation or failure to inform. ing information in electronic form, relating to the matter, written
Informed Consent. Many of the Rules of Professional Con- notice and instructions to all other firm personnel forbidding
duct require the lawyer to obtain the informed consent of a any communication with the screened lawyer relating to the
client or other person (e.g., a former client or, under certain matter, denial of access by the screened lawyer to firm files
circumstances, a prospective client) before accepting or con- or other information, including information in electronic form,
tinuing representation or pursuing a course of conduct. See, relating to the matter and periodic reminders of the screen to
e.g., Rules 1.2 (c), 1.6 (a) and 1.7 (b). The communication the screened lawyer and all other firm personnel.
necessary to obtain such consent will vary according to the In order to be effective, screening measures must be imple-
Rule involved and the circumstances giving rise to the need mented as soon as practical after a lawyer or law firm knows
to obtain informed consent. The lawyer must make reasonable or reasonably should know that there is a need for screening.
efforts to ensure that the client or other person possesses
information reasonably adequate to make an informed deci- CLIENT-LAWYER RELATIONSHIPS
sion. Ordinarily, this will require communication that includes
a disclosure of the facts and circumstances giving rise to the Rule 1.1. Competence
situation, any explanation reasonably necessary to inform the A lawyer shall provide competent representa-
client or other person of the material advantages and disadvan- tion to a client. Competent representation requires
tages of the proposed course of conduct and a discussion of
the client’s or other person’s options and alternatives. In some the legal knowledge, skill, thoroughness and prep-
circumstances it may be appropriate for a lawyer to advise a aration reasonably necessary for the represen-
client or other person to seek the advice of other counsel. A tation.
lawyer need not inform a client or other person of facts or (P.B. 1978-1997, Rule 1.1.)
implications already known to the client or other person; never- COMMENTARY: Legal Knowledge and Skill. In determin-
theless, a lawyer who does not personally inform the client or ing whether a lawyer employs the requisite knowledge and
other person assumes the risk that the client or other person skill in a particular matter, relevant factors include the relative
is inadequately informed and the consent is invalid. In complexity and specialized nature of the matter, the lawyer’s
determining whether the information and explanation provided general experience, the lawyer’s training and experience in
are reasonably adequate, relevant factors include whether the the field in question, the preparation and study the lawyer is
client or other person is experienced in legal matters generally able to give the matter and whether it is feasible to refer the
and in making decisions of the type involved, and whether the matter to, or associate or consult with, a lawyer of established
client or other person is independently represented by other competence in the field in question. In many instances, the
counsel in giving the consent. Normally, such persons need required proficiency is that of a general practitioner. Expertise
less information and explanation than others, and generally in a particular field of law may be required in some circum-
a client or other person who is independently represented by stances.
other counsel in giving the consent should be assumed to A lawyer need not necessarily have special training or prior
have given informed consent. experience to handle legal problems of a type with which
Obtaining informed consent will usually require an affirma- the lawyer is unfamiliar. A newly admitted lawyer can be as
tive response by the client or other person. In general, a lawyer competent as a practitioner with long experience. Some
may not assume consent from a client’s or other person’s important legal skills, such as the analysis of precedent, the
silence. Consent may be inferred, however, from the conduct evaluation of evidence and legal drafting, are required in all
of a client or other person who has reasonably adequate infor- legal problems. Perhaps the most fundamental legal skill con-
mation about the matter. A number of Rules require that a sists of determining what kind of legal problems a situation
person’s consent be confirmed in writing. See Rules 1.7 (b) may involve, a skill that necessarily transcends any particular
and 1.9 (a). For a definition of ‘‘writing’’ and ‘‘confirmed in specialized knowledge. A lawyer can provide adequate repre-
writing,’’ see subsections (o) and (c). Other Rules require that sentation in a wholly novel field through necessary study.
a client’s consent be obtained in a writing signed by the client. Competent representation can also be provided through the
See, e.g., Rules 1.8 (a) and (g). For a definition of ‘‘signed,’’ association of a lawyer of established competence in the field
see subsection (o). in question.
Screened. The definition of "screened" applies to situations In an emergency, a lawyer may give advice or assistance
where screening of a personally disqualified lawyer is permit- in a matter in which the lawyer does not have the skill ordinarily
ted to remove imputation of a conflict of interest under Rules required where referral to or consultation or association with
1.10, 1.11, 1.12 or 1.18. another lawyer would be impractical. Even in an emergency,
The purpose of screening is to assure the affected parties however, assistance should be limited to that reasonably nec-
that confidential information known by the personally disquali- essary in the circumstances, for ill-considered action under
fied lawyer remains protected. The personally disqualified law- emergency conditions can jeopardize the client’s interest. A
yer shall acknowledge in writing to the client the obligation lawyer may accept representation where the requisite level of
not to communicate with any of the other lawyers in the firm competence can be achieved by reasonable preparation. This
with respect to the matter. Similarly, other lawyers in the firm applies as well to a lawyer who is appointed as counsel for
who are working on the matter should be informed that the an unrepresented person. See also Rule 6.2.
screening is in place and that they may not communicate with Thoroughness and Preparation. Competent handling of
the personally disqualified lawyer with respect to the matter. a particular matter includes inquiry into and analysis of the
Additional screening measures that are appropriate for the factual and legal elements of the problem, and use of methods
particular matter will depend on the circumstances. To imple- and procedures meeting the standards of competent prac-
ment, reinforce and remind all affected lawyers of the presence titioners. It also includes adequate preparation. The required
of the screening, it may be appropriate for the firm to undertake attention and preparation are determined in part by what is
such procedures as a written undertaking by the screened at stake; major litigation and complex transactions ordinarily
6
require more extensive treatment than matters of lesser com- to provide the client with a defense and indemnity
plexity and consequence. An agreement between the lawyer for the loss, and the third party elects to settle a
and the client regarding the scope of the representation may
limit the matters for which the lawyer is responsible. See Rule
matter without contribution by the client.
1.2 (c). (b) A lawyer’s representation of a client, includ-
Retaining or Contracting with Other Lawyers. Before ing representation by appointment, does not con-
a lawyer retains or contracts with other lawyers outside the stitute an endorsement of the client’s political,
lawyer’s own firm to provide or assist in the provision of legal economic, social or moral views or activities.
services to a client, the lawyer should ordinarily obtain (c) A lawyer may limit the scope of the represen-
informed consent from the client and must reasonably believe
that the other lawyers’ services will contribute to the competent
tation if the limitation is reasonable under the cir-
and ethical representation of the client. See also Rules 1.2 cumstances and the client gives informed
(allocation of authority), 1.4 (communication with client), 1.5 consent. Such informed consent shall not be
(b) (scope of representation, basis or rate of fee and required when a client cannot be located despite
expenses), 1.5 (e) (fee sharing), 1.6 (confidentiality), and 5.5 reasonable efforts where the lawyer is retained
(a) (unauthorized practice of law). Client consent may not be to represent a client by a third party that is obli-
necessary when a nonfirm lawyer is hired to perform a discrete
and limited task and the task does not require the disclosure
gated by contract to provide the client with a
of information protected by Rule 1.6. The reasonableness of defense.
the decision to retain or contract with other lawyers outside (d) A lawyer shall not counsel a client to engage,
the lawyer’s own firm will depend upon the circumstances, or assist a client, in conduct that the lawyer knows
including the education, experience and reputation of the non- is criminal or fraudulent, but a lawyer may (1)
firm lawyers; the nature of the services assigned to the nonfirm discuss the legal consequences of any proposed
lawyers; and the legal protections, professional conduct rules,
and ethical environments of the jurisdictions in which the ser-
course of conduct with a client; (2) counsel or
vices will be performed, particularly relating to confidential assist a client to make a good faith effort to deter-
information. mine the validity, scope, meaning or application of
When lawyers from more than one law firm are providing the law; or (3) counsel or assist a client regarding
legal services to the client on a particular matter, the lawyers conduct expressly permitted by Connecticut law,
should consult with each other and the client about the scope provided that the lawyer counsels the client about
of their respective representations and the allocation of the legal consequences, under other applicable
responsibility among them. See Rule 1.2. When making alloca-
tions of responsibility in a matter pending before a tribunal,
law, of the client’s proposed course of conduct.
lawyers and parties may have additional obligations that are (P.B. 1978-1997, Rule 1.2.) (Amended June 26, 2006, to
take effect Jan. 1, 2007; amended June 29, 2007, to take
a matter of law beyond the scope of these Rules.
effect Jan. 1, 2008; amended June 13, 2014, to take effect
Maintaining Competence. To maintain the requisite
Jan. 1, 2015.)
knowledge and skill, a lawyer should keep abreast of changes
COMMENTARY: Allocation of Authority between Client
in the law and its practice, including the benefits and risks
and Lawyer. Subsection (a) confers upon the client the ulti-
associated with relevant technology, engage in continuing
mate authority to determine the purposes to be served by
study and education and comply with all continuing legal edu-
legal representation, within the limits imposed by law and the
cation requirements to which the lawyer is subject.
lawyer’s professional obligations. The decisions specified in
subsection (a), such as whether to settle a civil matter, must
Rule 1.2. Scope of Representation and Allo- also be made by the client. See Rule 1.4 (a) (1) for the lawyer’s
cation of Authority between Client and duty to communicate with the client about such decisions. With
Lawyer respect to the means by which the client’s objectives are to
(Amended June 26, 2006, to take effect Jan. 1, 2007.) be pursued, the lawyer shall consult with the client as required
(a) Subject to subsections (c) and (d), a lawyer by Rule 1.4 (a) (2) and may take such action as is impliedly
authorized to carry out the representation.
shall abide by a client’s decisions concerning the On occasion, however, a lawyer and a client may disagree
objectives of representation and, as required by about the means to be used to accomplish the client’s objec-
Rule 1.4, shall consult with the client as to the tives. Clients normally defer to the special knowledge and
means by which they are to be pursued. A lawyer skill of their lawyer with respect to the means to be used to
may take such action on behalf of the client as is accomplish their objectives, particularly with respect to techni-
impliedly authorized to carry out the representa- cal, legal and tactical matters. Conversely, lawyers usually
defer to the client regarding such questions as the expense
tion. A lawyer shall abide by a client’s decision to be incurred and concern for third persons who might be
whether to settle a matter. In a criminal case, the adversely affected. Because of the varied nature of the matters
lawyer shall abide by the client’s decision, after about which a lawyer and client might disagree and because
consultation with the lawyer, as to a plea to be the actions in question may implicate the interests of a tribunal
entered, whether to waive jury trial and whether or other persons, this Rule does not prescribe how such dis-
the client will testify. Subject to revocation by the agreements are to be resolved. Other law, however, may be
applicable and should be consulted by the lawyer. The lawyer
client and to the terms of the contract, a client’s should also consult with the client and seek a mutually accept-
decision to settle a matter shall be implied where able resolution of the disagreement. If such efforts are unavail-
the lawyer is retained to represent the client by a ing and the lawyer has a fundamental disagreement with the
third party obligated under the terms of a contract client, the lawyer may withdraw from the representation. See
7
Rule 1.16 (b) (4). Conversely, the client may resolve the dis- concealed. A lawyer may not continue assisting a client in
agreement by discharging the lawyer. See Rule 1.16 (a) (3). conduct that the lawyer originally believed legally proper but
At the outset of a representation, the client may authorize then discovers is criminal or fraudulent. The lawyer must,
the lawyer to take specific action on the client’s behalf without therefore, withdraw from the representation of the client in the
further consultation. Absent a material change in circum- matter. See Rule 1.16 (a). In some cases, withdrawal alone
stances and subject to Rule 1.4, a lawyer may rely on such might be insufficient. It may be necessary for the lawyer to give
an advance authorization. The client may, however, revoke notice of the fact of withdrawal and to disaffirm any opinion,
such authority at any time. document, affirmation or the like. See Rule 4.1.
In a case in which the client appears to be suffering dimin- Where the client is a fiduciary, the lawyer may be charged
ished capacity, the lawyer’s duty to abide by the client’s deci- with special obligations in dealings with a beneficiary.
sions is to be guided by reference to Rule 1.14. Subsection (d) applies whether or not the defrauded party
Independence from Client’s Views or Activities. Legal is a party to the transaction. Hence, a lawyer must not partici-
representation should not be denied to people who are unable pate in a transaction to effectuate criminal or fraudulent avoid-
to afford legal services or whose cause is controversial or the ance of tax liability. Subsection (d) does not preclude
subject of popular disapproval. By the same token, represent- undertaking a criminal defense incident to a general retainer
ing a client does not constitute approval of the client’s views for legal services to a lawful enterprise. Subsection (d) (2)
or activities. recognizes that determining the validity or interpretation of a
Agreements Limiting Scope of Representation. The statute or regulation may require a course of action involving
scope of services to be provided by a lawyer may be limited disobedience of the statute or regulation or of the interpretation
by agreement with the client or by the terms under which the placed upon it by governmental authorities. Subsection (d) (3)
lawyer’s services are made available to the client. For exam- is intended to permit counsel to provide legal services to clients
ple, when a lawyer has been retained by an insurer to represent without being subject to discipline under these Rules notwith-
an insured, the representation may be limited to matters standing that the services concern conduct prohibited under
related to the insurance coverage. A limited representation federal or other law but expressly permitted under Connecticut
may be appropriate because the client has limited objectives law, e.g., conduct under An Act Concerning the Palliative Use
for the representation. In addition, the terms upon which repre- of Marijuana, Public Act 12-55, effective Oct. 1, 2012. Subsec-
sentation is undertaken may exclude specific means that might tion (d) (3) shall not provide a defense to a presentment filed
otherwise be used to accomplish the client’s objectives. Such pursuant to Practice Book Section 2-41 against an attorney
limitations may exclude actions that the client thinks are too found guilty of a serious crime in another jurisdiction.
costly or that the lawyer regards as repugnant or imprudent. If a lawyer comes to know or reasonably should know that
Nothing in Rule 1.2 shall be construed to authorize limited a client expects assistance not permitted by the Rules of Pro-
appearances before any tribunal unless otherwise authorized fessional Conduct or other law or if the lawyer intends to act
by law or rule. contrary to the client’s instructions, the lawyer must consult
Although this Rule affords the lawyer and client substantial with the client regarding the limitations on the lawyer’s conduct.
latitude to limit the scope of representation, the limitation must See Rule 1.4 (a) (5).
be reasonable under the circumstances. If, for example, a
client’s objective is limited to securing general information Rule 1.3. Diligence
about the law the client needs in order to handle a common
and typically uncomplicated legal problem, the lawyer and
A lawyer shall act with reasonable diligence and
client may agree that the lawyer’s services will be limited to promptness in representing a client.
a brief telephone consultation. Such a limitation, however, (P.B. 1978-1997, Rule 1.3.)
would not be reasonable if the time allotted was not sufficient COMMENTARY: A lawyer must pursue a matter on behalf
to yield advice upon which the client could rely. Although an of a client despite opposition, obstruction or personal inconve-
agreement for a limited representation does not exempt a nience to the lawyer, and take whatever lawful and ethical
lawyer from the duty to provide competent representation, the measures are required to vindicate a client’s cause or
limitation is a factor to be considered when determining the endeavor. A lawyer must also act with commitment and dedica-
legal knowledge, skill, thoroughness and preparation reason- tion to the interests of the client and with zeal in advocacy
ably necessary for the representation. See Rule 1.1. upon the client’s behalf. A lawyer is not bound, however, to
All agreements concerning a lawyer’s representation of a press for every advantage that might be realized for a client.
client must accord with the Rules of Professional Conduct and For example, a lawyer may have authority to exercise profes-
other law. See, e.g., Rules 1.1, 1.8 and 5.6. sional discretion in determining the means by which a matter
Criminal, Fraudulent and Prohibited Transactions. Sub- should be pursued. See Rule 1.2. The lawyer’s duty to act
section (d) prohibits a lawyer from knowingly counseling or with reasonable diligence does not require the use of offensive
assisting a client to commit a crime or fraud. This prohibition, tactics or preclude the treating of all persons involved in the
however, does not preclude the lawyer from giving an honest legal process with courtesy and respect.
opinion about the actual consequences that appear likely to A lawyer’s work load must be controlled so that each matter
result from a client’s conduct. Nor does the fact that a client can be handled competently.
uses advice in a course of action that is criminal or fraudulent Perhaps no professional shortcoming is more widely
of itself make a lawyer a party to the course of action. There resented than procrastination. A client’s interests often can
is a critical distinction between presenting an analysis of legal be adversely affected by the passage of time or the change of
aspects of questionable conduct and recommending the conditions; in extreme instances, as when a lawyer overlooks a
means by which a crime or fraud might be committed. statute of limitations, the client’s legal position may be
When the client’s course of action has already begun and destroyed. Even when the client’s interests are not affected
is continuing, the lawyer’s responsibility is especially delicate. in substance, however, unreasonable delay can cause a client
The lawyer is required to avoid assisting the client, for example, needless anxiety and undermine confidence in the lawyer’s
by drafting or delivering documents that the lawyer knows are trustworthiness. A lawyer’s duty to act with reasonable prompt-
fraudulent or by suggesting how the wrongdoing might be ness, however, does not preclude the lawyer from agreeing
8
to a reasonable request for a postponement that will not preju- Communicating with Client. If these Rules or other law
dice the lawyer’s client. require that a particular decision about the representation be
Unless the relationship is terminated as provided in Rule made by the client, subsection (a) (1) requires that the lawyer
1.16, a lawyer should carry through to conclusion all matters promptly consult with and secure the client’s consent prior to
undertaken for a client. If a lawyer’s employment is limited to taking action. See Rule 1.2 (a).
a specific matter, the relationship terminates when the matter Subsection (a) (2) requires the lawyer to reasonably consult
has been resolved. If a lawyer has served a client over a with the client about the means to be used to accomplish the
substantial period in a variety of matters, the client sometimes client’s objectives. In some situations—depending on both the
may assume that the lawyer will continue to serve on a continu- importance of the action under consideration and the feasibility
ing basis unless the lawyer gives notice of withdrawal. Doubt of consulting with the client—this duty will require consultation
about whether a client-lawyer relationship still exists should prior to taking action. In other circumstances, such as during
be clarified by the lawyer, preferably in writing, so that the a trial when an immediate decision must be made, the exigency
client will not mistakenly suppose the lawyer is looking after of the situation may require the lawyer to act without prior
the client’s affairs when the lawyer has ceased to do so. For consultation. In such cases the lawyer must nonetheless act
example, if a lawyer has handled a judicial or administrative reasonably to inform the client of actions the lawyer has taken
proceeding that produced a result adverse to the client and on the client’s behalf. Additionally, subsection (a) (3) requires
the lawyer and the client have not agreed that the lawyer will that the lawyer keep the client reasonably informed about the
handle the matter on appeal, the lawyer must consult with status of the matter, such as significant developments affecting
the client about the possibility of appeal before relinquishing the timing or the substance of the representation.
responsibility for the matter. See Rule 1.4 (a) (2). Whether A lawyer’s regular communication with clients will minimize
the lawyer is obligated to prosecute the appeal for the client the occasions on which a client will need to request information
depends on the scope of the representation the lawyer has concerning the representation. When a client makes a reason-
agreed to provide to the client. See Rule 1.2. able request for information, however, subsection (a) (4)
To prevent neglect of client matters in the event of a sole requires prompt compliance with the request, or if a prompt
practitioner’s death or disability, the duty of diligence may response is not feasible, that the lawyer, or a member of the
require that each sole practitioner prepare a plan, in conformity lawyer’s staff, acknowledge receipt of the request and advise
with applicable rules, that designates another competent law- the client when a response may be expected. A lawyer should
yer to review client files, notify each client of the lawyer’s promptly respond to or acknowledge client communications.
death or disability, and determine whether there is a need for Explaining Matters. The client should have sufficient infor-
immediate protective action. Cf. Rule 28 of the American Bar mation to participate intelligently in decisions concerning the
objectives of the representation and the means by which they
Association Model Rules for Lawyer Disciplinary Enforcement
are to be pursued, to the extent the client is willing and able
(providing for court appointment of a lawyer to inventory files
to do so. Adequacy of communication depends in part on the
and take other protective action in absence of a plan providing
kind of advice or assistance that is involved. For example,
for another lawyer to protect the interests of the clients of a
when there is time to explain a proposal made in a negotiation,
deceased or disabled lawyer).
the lawyer should review all important provisions with the client
before proceeding to an agreement. In litigation, a lawyer
Rule 1.4. Communication should explain the general strategy and prospects of success
(a) A lawyer shall: and ordinarily should consult the client on tactics that are likely
(1) promptly inform the client of any decision or to result in significant expense or to injure or coerce others.
circumstance with respect to which the client’s On the other hand, a lawyer ordinarily will not be expected to
describe trial or negotiation strategy in detail. The guiding
informed consent, as defined in Rule 1.0 (f), is principle is that the lawyer should fulfill reasonable client
required by these Rules; expectations for information consistent with the duty to act in
(2) reasonably consult with the client about the the client’s best interests, and the client’s overall requirements
means by which the client’s objectives are to be as to the character of representation. In certain circumstances,
accomplished; such as when a lawyer asks a client to consent to a representa-
tion affected by a conflict of interest, the client must give
(3) keep the client reasonably informed about informed consent, as defined in Rule 1.0 (f).
the status of the matter; Ordinarily, the information to be provided is that appropriate
(4) promptly comply with reasonable requests for a client who is a comprehending and responsible adult.
for information; and However, fully informing the client according to this standard
(5) consult with the client about any relevant may be impracticable, for example, when the client is a child
or suffers from diminished capacity. See Rule 1.14. When the
limitation on the lawyer’s conduct when the lawyer client is an organization or group, it is often impossible or
knows that the client expects assistance not per- inappropriate to inform every one of its members about its
mitted by the Rules of Professional Conduct or legal affairs; ordinarily, the lawyer should address communica-
other law. tions to the appropriate officials of the organization. See Rule
(b) A lawyer shall explain a matter to the extent 1.13. Where many routine matters are involved, a system of
limited or occasional reporting may be arranged with the client.
reasonably necessary to permit the client to make Withholding Information. In some circumstances, a law-
informed decisions regarding the representation. yer may be justified in delaying transmission of information
(P.B. 1978-1997, Rule 1.4.) (Amended June 26, 2006, to when the client would be likely to react imprudently to an
take effect Jan. 1, 2007.) immediate communication. Thus, a lawyer might withhold a
COMMENTARY: Reasonable communication between the psychiatric diagnosis of a client when the examining psychia-
lawyer and the client is necessary for the client effectively to trist indicates that disclosure would harm the client. A lawyer
participate in the representation. may not withhold information to serve the lawyer’s own interest
9
or convenience or the interests or convenience of another in the scope of representation. This subsection
person. Rules or court orders governing litigation may provide shall not apply to public defenders or in situations
that information supplied to a lawyer may not be disclosed to
the client. Rule 3.4 (3) directs compliance with such rules
where the lawyer will be paid by the court or a
or orders. state agency.
(c) A fee may be contingent on the outcome of
Rule 1.5. Fees the matter for which the service is rendered,
(a) A lawyer shall not make an agreement for, except in a matter in which a contingent fee is
charge, or collect an unreasonable fee or an prohibited by subsection (d) or other law. A contin-
unreasonable amount for expenses. The factors gent fee agreement shall be in a writing signed
to be considered in determining the reasonable- by the client and shall state the method by which
ness of a fee include the following: the fee is to be determined, including the percent-
(1) The time and labor required, the novelty and age or percentages of the recovery that shall
difficulty of the questions involved, and the skill accrue to the lawyer as a fee in the event of settle-
requisite to perform the legal service properly; ment, trial or appeal, whether and to what extent
(2) The likelihood, if made known to the client, the client will be responsible for any court costs
that the acceptance of the particular employment and expenses of litigation, and whether such
will preclude other employment by the lawyer; expenses are to be deducted before or after the
(3) The fee customarily charged in the locality contingent fee is calculated. The agreement must
for similar legal services; clearly notify the client of any expenses for which
(4) The amount involved and the results ob- the client will be liable whether or not the client
tained; is the prevailing party. Upon conclusion of a con-
(5) The time limitations imposed by the client tingent fee matter, the lawyer shall provide the
or by the circumstances; client with a written statement stating the outcome
(6) The nature and length of the professional of the matter and, if there is a recovery, showing
relationship with the client; the remittance to the client and the method of
(7) The experience, reputation, and ability of its determination.
the lawyer or lawyers performing the services; and (d) A lawyer shall not enter into an arrangement
(8) Whether the fee is fixed or contingent. for, charge, or collect:
(b) The scope of the representation, the basis (1) Any fee in a domestic relations matter, the
or rate of the fee and expenses for which the client payment or amount of which is contingent upon
will be responsible, shall be communicated to the the securing of a dissolution of marriage or civil
client, in writing, before or within a reasonable union or upon the amount of alimony or support,
time after commencing the representation, except or property settlement in lieu thereof; or
when the lawyer will charge a regularly repre- (2) A contingent fee for representing a defend-
sented client on the same basis or rate. Any ant in a criminal case.
changes in the basis or rate of the fee or expenses (e) A division of fee between lawyers who are
shall also be communicated to the client in writing not in the same firm may be made only if:
before the fees or expenses to be billed at higher (1) The client is advised in writing of the com-
rates are actually incurred. In any representation pensation sharing agreement and of the participa-
in which the lawyer and the client agree that the tion of all the lawyers involved, and does not
lawyer will file a limited appearance, the limited object; and
appearance engagement agreement shall also (2) The total fee is reasonable.
(P.B. 1978-1997. Rule 1.5.) (Amended June 26, 2006, to
include the following: identification of the proceed- take effect Jan. 1, 2007; amended June 14, 2013, to take
ing in which the lawyer will file the limited appear- effect Oct. 1, 2013.)
ance; identification of the court events for which COMMENTARY: Basis or Rate of Fee. Subsection (a)
the lawyer will appear on behalf of the client; and requires that lawyers charge fees that are reasonable under
notification to the client that after the limited the circumstances. The factors specified in (1) through (8) are
not exclusive. Nor will each factor be relevant in each instance.
appearance services have been completed, the Subsection (a) also requires that expenses for which the client
lawyer will file a certificate of completion of limited will be charged must be reasonable. A lawyer may seek reim-
appearance with the court, which will serve to bursement for the cost of services performed in-house, such
terminate the lawyer’s obligation to the client in as copying, or for other expenses incurred in-house, such as
the matter, and as to which the client will have no telephone charges, either by charging a reasonable amount
right to object. Any change in the scope of the to which the client has agreed in advance or by charging an
amount that reasonably reflects the cost incurred by the
representation requires the client’s informed con- lawyer.
sent, shall be confirmed to the client in writing, When the lawyer has regularly represented a client, the
and shall require the lawyer to file a new limited lawyer and the client ordinarily will have evolved an under-
appearance with the court reflecting the change(s) standing concerning the basis or rate of the fee and the
10
expenses for which the client will be responsible. In a new a trial specialist. Contingent fee agreements must be in writing
client-lawyer relationship, however, an understanding as to signed by the client and must otherwise comply with subsec-
fees and expenses must be promptly established. Generally, tion (c) of this Rule. A lawyer should only refer a matter to
it is desirable to furnish the client with at least a simple memo- a lawyer whom the referring lawyer reasonably believes is
randum or copy of the lawyer’s customary fee arrangements competent to handle the matter. See Rule 1.1.
that states the general nature of the legal services to be pro- Subsection (e) does not prohibit or regulate divisions of
vided, the basis, rate or total amount of the fee and whether fees to be received in the future for work done when lawyers
and to what extent the client will be responsible for any costs, were previously associated in a law firm.
expenses or disbursements in the course of the representa- Disputes over Fees. If an arbitration or mediation proce-
tion. A written statement concerning the terms of the engage- dure such as that in Practice Book Section 2-32 (a) (3) has
ment reduces the possibility of misunderstanding. Absent been established for resolution of fee disputes, the lawyer
extraordinary circumstances, the lawyer should send the writ- must comply with the procedure when it is mandatory, and,
ten fee statement to the client before any substantial services even when it is voluntary, the lawyer should conscientiously
are rendered, but in any event, not later than ten days after consider submitting to it. Law may prescribe a procedure for
commencing the representation. determining a lawyer’s fee, for example, in representation of
Contingent fees, like any other fees, are subject to the an executor or administrator, a class or a person entitled to
reasonableness standard of subsection (a) of this Rule. In a reasonable fee as part of the measure of damages. The
determining whether a particular contingent fee is reasonable, lawyer entitled to such a fee and a lawyer representing another
or whether it is reasonable to charge any form of contingent party concerned with the fee should comply with the pre-
fee, a lawyer must consider the factors that are relevant under scribed procedure.
the circumstances. Applicable law may impose limitations on
contingent fees, such as a ceiling on the percentage allowable, Rule 1.6. Confidentiality of Information
or may require a lawyer to offer clients an alternative basis
for the fee. Applicable law also may apply to situations other (a) A lawyer shall not reveal information relating
than a contingent fee, for example, government regulations to representation of a client unless the client gives
regarding fees in certain tax matters. In matters where a contin- informed consent, the disclosure is impliedly
gent fee agreement has been signed by the client and is authorized in order to carry out the representation,
in accordance with General Statutes § 52-251c, the fee is
presumed to be reasonable.
or the disclosure is permitted by subsection (b),
Terms of Payment. A lawyer may require advance pay- (c), or (d).
ment of a fee, but is obliged to return any unearned portion. (b) A lawyer shall reveal such information to the
See Rule 1.16 (d). A lawyer may accept property in payment extent the lawyer reasonably believes necessary
for services, such as an ownership interest in an enterprise, to prevent the client from committing a criminal
providing this does not involve acquisition of a proprietary
interest in the cause of action or subject matter of the litigation
or fraudulent act that the lawyer believes is likely
contrary to Rule 1.8 (i). However, a fee paid in property instead to result in death or substantial bodily harm.
of money may be subject to the requirements of Rule 1.8 (a) (c) A lawyer may reveal such information to the
because such fees often have the essential qualities of a extent the lawyer reasonably believes neces-
business transaction with the client. sary to:
An agreement may not be made whose terms might induce
the lawyer improperly to curtail services for the client or perform (1) Prevent the client from committing a criminal
them in a way contrary to the client’s interest. For example, or fraudulent act that the lawyer believes is likely
a lawyer should not enter into an agreement whereby services to result in substantial injury to the financial inter-
are to be provided only up to a stated amount when it is est or property of another;
foreseeable that more extensive services probably will be (2) Prevent, mitigate or rectify the consequence
required, unless the situation is adequately explained to the
client. Otherwise, the client might have to bargain for further of a client’s criminal or fraudulent act in the com-
assistance in the midst of a proceeding or transaction. How- mission of which the lawyer’s services had
ever, it is proper to define the extent of services in light of been used;
the client’s ability to pay. A lawyer should not exploit a fee (3) Secure legal advice about the lawyer’s com-
arrangement based primarily on hourly charges by using pliance with these Rules;
wasteful procedures.
Prohibited Contingent Fees. Subsection (d) prohibits a (4) Comply with other law or a court order.
lawyer from charging a contingent fee in a domestic relations (5) Detect and resolve conflicts of interest aris-
matter when payment is contingent upon the securing of a ing from the lawyer’s change of employment or
divorce or upon the amount of alimony or support or property from changes in the composition or ownership of
settlement to be obtained. This provision does not preclude a firm, but only if the revealed information would
a contract for a contingent fee for legal representation in con-
nection with the recovery of postjudgment balances due under not compromise the attorney-client privilege or
support, alimony or other financial orders because such con- otherwise prejudice the client.
tracts do not implicate the same policy concerns. (d) A lawyer may reveal such information to
Division of Fee. A division of fee is a single billing to a establish a claim or defense on behalf of the law-
client covering the fee of two or more lawyers who are not in yer in a controversy between the lawyer and the
the same firm. A division of fee facilitates association of more
than one lawyer in a matter in which neither alone could serve client, to establish a defense to a criminal charge
the client as well and most often is used when the fee is or civil claim against the lawyer based upon con-
contingent and the division is between a referring lawyer and duct in which the client was involved, or to respond
11
to allegations in any proceeding concerning the of the firm, unless the client has instructed that particular
lawyer’s representation of the client. information be confined to specific lawyers.
Disclosure Adverse to Client. Although the public interest
(e) A lawyer shall make reasonable efforts to is usually best served by a strict rule requiring lawyers to
prevent the inadvertent or unauthorized disclo- preserve the confidentiality of information relating to the repre-
sure of, or unauthorized access to, information sentation of their clients, the confidentiality Rule is subject to
relating to the representation of a client. limited exceptions. Subsection (b) recognizes the overriding
(P.B. 1978-1997, Rule 1.6.) (Amended June 26, 2006, to value of life and physical integrity and requires disclosure in
take effect Jan. 1, 2007; amended June 14, 2013, to take certain circumstances.
effect Jan. 1, 2014.) Subsection (c) (1) is a limited exception to the Rule of
COMMENTARY: This Rule governs the disclosure by a confidentiality that permits the lawyer to reveal information to
lawyer of information relating to the representation of a client the extent necessary to enable affected persons or appropriate
during the lawyer’s representation of the client. See Rule 1.18 authorities to prevent the client from committing a crime or
for the lawyer’s duties with respect to information provided to fraud, as defined in Rule 1.0 (e), that is likely to result in
the lawyer by a prospective client, Rule 1.9 (c) (2) for the substantial injury to the financial or property interests of
lawyer’s duty not to reveal information relating to the lawyer’s another. Such a serious abuse of the client-lawyer relationship
prior representation of a former client and Rules 1.8 (b) and by the client forfeits the protection of this Rule. The client
1.9 (c) (1) for the lawyer’s duties with respect to the use of such can, of course, prevent such disclosure by refraining from the
information to the disadvantage of clients and former clients. wrongful conduct. Although subsection (c) (1) does not require
A fundamental principle in the client-lawyer relationship is the lawyer to reveal the client’s misconduct, the lawyer may
that, in the absence of the client’s informed consent, the lawyer not counsel or assist the client in conduct the lawyer knows
must not reveal information relating to the representation. See is criminal or fraudulent. See Rule 1.2 (d). See also Rule 1.16
Rule 1.0 (f) for the definition of informed consent. This contri- with respect to the lawyer’s obligation or right to withdraw from
butes to the trust that is the hallmark of the client-lawyer rela- the representation of the client in such circumstances, and
tionship. The client is thereby encouraged to seek legal Rule 1.13 (c), which permits the lawyer, where the client is
assistance and to communicate fully and frankly with the law- an organization, to reveal information relating to the represen-
yer even as to embarrassing or legally damaging subject mat- tation in limited circumstances.
ter. The lawyer needs this information to represent the client Subsection (c) (2) addresses the situation in which the
effectively and, if necessary, to advise the client to refrain from lawyer does not learn of the client’s crime or fraud until after
wrongful conduct. Almost without exception, clients come to it has been consummated. Although the client no longer has
lawyers in order to determine their rights and what is, in the the option of preventing disclosure by refraining from the
complex of laws and regulations, deemed to be legal and wrongful conduct, there will be situations in which the loss
correct. Based upon experience, lawyers know that almost all suffered by the affected person can be prevented, rectified or
clients follow the advice given, and the law is upheld. mitigated. In such situations, the lawyer may disclose informa-
The principle of client-lawyer confidentiality is given effect tion relating to the representation to the extent necessary to
by related bodies of law, the attorney-client privilege, the work enable the affected persons to prevent or mitigate reasonably
product doctrine and the Rule of confidentiality established certain losses or to attempt to recoup their losses. Subsection
in professional ethics. The attorney-client privilege and work (c) (2) does not apply when a person who has committed a
product doctrine apply in judicial and other proceedings in crime or fraud thereafter employs a lawyer for representation
which a lawyer may be called as a witness or otherwise concerning that offense.
required to produce evidence concerning a client. The Rule A lawyer’s confidentiality obligations do not preclude a law-
of client-lawyer confidentiality applies in situations other than yer from securing confidential legal advice about the lawyer’s
those where evidence is sought from the lawyer through com- personal responsibility to comply with these Rules. In most
pulsion of law. The confidentiality Rule, for example, applies situations, disclosing information to secure such advice will
not only to matters communicated in confidence by the client be impliedly authorized for the lawyer to carry out the represen-
but also to all information relating to the representation, what- tation. Even when the disclosure is not impliedly authorized,
ever its source. A lawyer may not disclose such information subsection (c) (3) permits such disclosure because of the
except as authorized or required by the Rules of Professional importance of a lawyer’s compliance with the Rules of Profes-
Conduct or other law. See also Scope. sional Conduct. The lawyer’s right to disclose such information
Subsection (a) prohibits a lawyer from revealing information to a second lawyer pursuant to subsection (c) (3) does not
relating to the representation of a client. This prohibition also give the second lawyer the duty or right to disclose such
applies to disclosures by a lawyer that do not in themselves information under subsections (b), (c) and (d). The first law-
reveal protected information but could reasonably lead to the yer’s client does not become the client of the second lawyer
discovery of such information by a third person. A lawyer’s just because the first lawyer seeks the second lawyer’s advice
use of a hypothetical to discuss issues relating to the represen- under (c) (3).
tation is permissible so long as there is no reasonable likeli- Subsection (c) (5) recognizes that lawyers in different firms
hood that the listener will be able to ascertain the identity of may need to disclose limited information to each other to detect
the client or the situation involved. and resolve conflicts of interest, such as when a lawyer is
Authorized Disclosure. Except to the extent that the cli- considering an association with another firm, two or more
ent’s instructions or special circumstances limit that authority, firms are considering a merger, or a lawyer is considering the
a lawyer is impliedly authorized to make disclosures about a purchase of a law practice. See Rule 1.17, commentary. Under
client when appropriate in carrying out the representation. these circumstances, lawyers and law firms are permitted to
In some situations, for example, a lawyer may be impliedly disclose limited information, but only once substantive discus-
authorized to admit a fact that cannot properly be disputed to sions regarding the new relationship have occurred. Any such
make a disclosure that facilitates a satisfactory conclusion to disclosure should ordinarily include no more than the identity
a matter. Lawyers in a firm may, in the course of the firm’s of the persons and entities involved in a matter, a brief sum-
practice, disclose to each other information relating to a client mary of the general issues involved, and information about
12
whether the matter has terminated. Even this limited informa- disclosure by the attorney-client privilege or other applicable
tion, however, should be disclosed only to the extent reason- law. In the event of an adverse ruling, the lawyer must consult
ably necessary to detect and resolve conflicts of interest that with the client about the possibility of appeal to the extent
might arise from the possible new relationship. Moreover, the required by Rule 1.4. Unless review is sought, however, sub-
disclosure of any information is prohibited if it would compro- section (c) (4) permits the lawyer to comply with the court’s
mise the attorney-client privilege or otherwise prejudice the order.
client (e.g., the fact that a corporate client is seeking advice Subsection (b) requires and subsection (c) permits disclo-
on a corporate takeover that has not been publicly announced, sure only to the extent the lawyer reasonably believes the
that a person consulted a lawyer about the possibility of divorce disclosure is necessary to accomplish one of the purposes
before the person’s intentions are known to the person’s specified. Where practicable, the lawyer should first seek to
spouse, or that a person has consulted a lawyer about a persuade the client to take suitable action to obviate the need
criminal investigation that has not led to a public charge). for disclosure. In any case, a disclosure adverse to the client’s
Under those circumstances, subsection (a) prohibits disclo- interest should be no greater than the lawyer reasonably
sure unless the client or former client gives informed consent. believes necessary to accomplish the purpose. If the disclo-
A lawyer’s fiduciary duty to the lawyer’s firm may also govern sure will be made in connection with a judicial proceeding,
a lawyer’s conduct when exploring an association with another the disclosure should be made in a manner that limits access
firm and is beyond the scope of these Rules. Any information to the information to the tribunal or other persons having a
disclosed pursuant to subsection (c) (5) may be used or further need to know it and appropriate protective orders or other
disclosed only to the extent necessary to detect and resolve arrangements should be sought by the lawyer to the fullest
conflicts of interest. Subsection (c) (5) does not restrict the extent practicable.
use of information acquired by means independent of any Subsection (c) permits but does not require the disclosure
disclosure pursuant to subsection (c) (5). Subsection (c) (5) of information relating to a client’s representation to accom-
also does not affect the disclosure of information within a law plish the purposes specified in subsections (c) (1) through (c)
firm when the disclosure is otherwise authorized, such as when (4). In exercising the discretion conferred by this Rule, the
a lawyer in a firm discloses information to another lawyer in lawyer may consider such factors as the nature of the lawyer’s
the same firm to detect and resolve conflicts of interest that relationship with the client and with those who might be injured
could arise in connection with undertaking a new represen- by the client, the lawyer’s own involvement in the transaction
tation. and factors that may extenuate the conduct in question. A
Where a legal claim or disciplinary charge alleges complicity lawyer’s decision not to disclose as permitted by subsection
of the lawyer in a client’s conduct or other misconduct of the (c) does not violate this Rule. Disclosure may be required,
lawyer involving representation of the client, the lawyer may however, by other Rules. Some Rules require disclosure only
respond to the extent the lawyer reasonably believes neces- if such disclosure would be permitted by subsection (b). See
sary to establish a defense. The same is true with respect to Rules 1.2 (d), 4.1 (b), 8.1 and 8.3. Rule 3.3, on the other
a claim involving the conduct or representation of a former hand, requires disclosure in some circumstances regardless
client. Such a charge can arise in a civil, criminal, disciplinary of whether such disclosure is permitted by this Rule. See Rule
or other proceeding and can be based on a wrong allegedly 3.3 (c).
committed by the lawyer against the client or on a wrong Acting Competently to Preserve Confidentiality. Sub-
alleged by a third person, for example, a person claiming to section (e) requires a lawyer to act competently to safeguard
have been defrauded by the lawyer and client acting together. information relating to the representation of a client against
The lawyer’s right to respond arises when an assertion of such inadvertent or unauthorized disclosure by the lawyer or other
complicity has been made. Subsection (d) does not require persons who are participating in the representation of the client
the lawyer to await the commencement of an action or pro- or who are subject to the lawyer’s supervision. See Rules 1.1,
ceeding that charges such complicity, so that the defense may 5.1 and 5.3. The unauthorized access to, or the inadvertent
be established by responding directly to a third party who has or unauthorized disclosure of, information relating to the repre-
made such an assertion. The right to defend also applies, of sentation of a client does not constitute a violation of subsec-
course, where a proceeding has been commenced. tion (e) if the lawyer has made reasonable efforts to prevent
A lawyer entitled to a fee is permitted by subsection (d) to the access or disclosure. Factors to be considered in determin-
prove the services rendered in an action to collect it. This ing the reasonableness of the lawyer’s efforts include, but are
aspect of the rule expresses the principle that the beneficiary not limited to, the sensitivity of the information, the likelihood
of a fiduciary relationship may not exploit it to the detriment of disclosure if additional safeguards are not employed, the
of the fiduciary. cost of employing additional safeguards, the difficulty of imple-
Other law may require that a lawyer disclose information menting the safeguards, and the extent to which the safe-
about a client. Whether such a law supersedes Rule 1.6 is guards adversely affect the lawyer’s ability to represent clients
a question of law beyond the scope of these Rules. When (e.g., by making a device or important piece of software exces-
disclosure of information relating to the representation appears sively difficult to use). A client may require the lawyer to imple-
to be required by other law, the lawyer must discuss the matter ment special security measures not required by this Rule or
with the client to the extent required by Rule 1.4. If, however, may give informed consent to forgo security measures that
the other law supersedes this Rule and requires disclosure, would otherwise be required by this Rule. Whether a lawyer
subsection (c) (4) permits the lawyer to make such disclosures may be required to take additional steps to safeguard a client’s
as are necessary to comply with the law. information in order to comply with other law, such as state and
A lawyer may be ordered to reveal information relating to federal laws that govern data privacy or that impose notification
the representation of a client by a court or by another tribunal requirements upon the loss of, or unauthorized access to,
or governmental entity claiming authority pursuant to other electronic information, is beyond the scope of these Rules. For
law to compel the disclosure. Absent informed consent of the a lawyer’s duties when sharing information with nonlawyers
client to do otherwise, the lawyer should assert on behalf of outside the lawyer’s own firm, see Rule 5.3, commentary.
the client all nonfrivolous claims that the order is not authorized When transmitting a communication that includes informa-
by other law or that the information sought is protected against tion relating to the representation of a client, the lawyer must
13
take reasonable precautions to prevent the information from Resolution of a conflict of interest problem under this Rule
coming into the hands of unintended recipients. This duty, requires the lawyer to: 1) clearly identify the client or clients;
however, does not require that the lawyer use special security 2) determine whether a conflict of interest exists; 3) decide
measures if the method of communication affords a reason- whether the representation may be undertaken despite the
able expectation of privacy. Special circumstances, however, existence of a conflict, i.e., whether the conflict is consentable;
may warrant special precautions. Factors to be considered in and 4) if so, consult with the clients affected under subsection
determining the reasonableness of the lawyer’s expectation (a) and obtain their informed consent, confirmed in writing.
of confidentiality include the sensitivity of the information and The clients affected under subsection (a) include both of the
the extent to which the privacy of the communication is pro- clients referred to in subsection (a) (1) and the one or more
tected by law or by a confidentiality agreement. A client may clients whose representation might be materially limited under
require the lawyer to implement special security measures not subsection (a) (2).
required by this Rule or may give informed consent to the A conflict of interest may exist before representation is
use of a means of communication that would otherwise be undertaken, in which event the representation must be
prohibited by this Rule. Whether a lawyer may be required to declined, unless the lawyer obtains the informed consent of
take additional steps in order to comply with other law, such each client under the conditions of subsection (b). To deter-
as state and federal laws that govern data privacy, is beyond mine whether a conflict of interest exists, a lawyer should
the scope of these Rules. adopt reasonable procedures, appropriate for the size and
Former Client. The duty of confidentiality continues after type of firm and practice, to determine in both litigation and
the client-lawyer relationship has terminated. See Rule 1.9 (c) nonlitigation matters the persons and issues involved. See
(2). See Rule 1.9 (c) (1) for the prohibition against using such also Commentary to Rule 5.1. Ignorance caused by a failure
information to the disadvantage of the former client. to institute such procedures will not excuse a lawyer’s violation
of this Rule. As to whether a client-lawyer relationship exists
Rule 1.7. Conflict of Interest: Current Clients or, having once been established, is continuing, see Commen-
tary to Rule 1.3 and Scope.
(Amended June 26, 2006, to take effect Jan. 1, 2007.) If a conflict arises after representation has been undertaken,
(a) Except as provided in subsection (b), a law- the lawyer ordinarily must withdraw from the representation,
yer shall not represent a client if the representation unless the lawyer has obtained the informed consent of the
involves a concurrent conflict of interest. A concur- client under the conditions of subsection (b). See Rule 1.16.
rent conflict of interest exists if: Where more than one client is involved, whether the lawyer
may continue to represent any of the clients is determined
(1) the representation of one client will be both by the lawyer’s ability to comply with duties owed to the
directly adverse to another client; or former client and by the lawyer’s ability to represent adequately
(2) there is a significant risk that the representa- the remaining client or clients, given the lawyer’s duties to the
tion of one or more clients will be materially limited former client. See Rule 1.9; see also the next paragraph in
by the lawyer’s responsibilities to another client, this Commentary and the first paragraph under the ‘‘Special
Considerations in Common Representation’’ heading, below.
a former client or a third person or by a personal Unforeseeable developments, such as changes in corpo-
interest of the lawyer. rate and other organizational affiliations or the addition or
(b) Notwithstanding the existence of a concur- realignment of parties in litigation, might create conflicts in the
rent conflict of interest under subsection (a), a midst of a representation, as when a company sued by the
lawyer may represent a client if: lawyer on behalf of one client is bought by another client
represented by the lawyer in an unrelated matter. Depending
(1) the lawyer reasonably believes that the law- on the circumstances, the lawyer may have the option to with-
yer will be able to provide competent and diligent draw from one of the representations in order to avoid the
representation to each affected client; conflict. The lawyer must seek court approval where necessary
(2) the representation is not prohibited by law; and take steps to minimize harm to the clients. See Rule 1.16.
(3) the representation does not involve the The lawyer must continue to protect the confidences of the
client from whose representation the lawyer has withdrawn.
assertion of a claim by one client against another See Rule 1.9 (c).
client represented by the lawyer in the same litiga- Identifying Conflicts of Interest: Directly Adverse. Loy-
tion or the same proceeding before any tribu- alty to a current client prohibits undertaking representation
nal; and directly adverse to that client without that client’s informed
(4) each affected client gives informed consent, consent. Thus, absent consent, a lawyer may not act as advo-
cate in one matter against a person the lawyer represents in
confirmed in writing. some other matter, even when the matters are wholly unre-
(P.B. 1978-1997, Rule 1.7.) (Amended June 26, 2006, to lated. The client as to whom the representation is directly
take effect Jan. 1, 2007.) adverse is likely to feel betrayed, and the resulting damage
COMMENTARY: General Principles. Loyalty and inde- to the client-lawyer relationship is likely to impair the lawyer’s
pendent judgment are essential elements in the lawyer’s rela- ability to represent the client effectively. In addition, the client
tionship to a client. Concurrent conflicts of interest can arise on whose behalf the adverse representation is undertaken
from the lawyer’s responsibilities to another client, a former reasonably may fear that the lawyer will pursue that client’s
client or a third person or from the lawyer’s own interests. For case less effectively out of deference to the other client, i.e.,
specific Rules regarding certain concurrent conflicts of interest, that the representation may be materially limited by the law-
see Rule 1.8. For former client conflicts of interest, see Rule yer’s interest in retaining the current client. Similarly, a directly
1.9. For conflicts of interest involving prospective clients, see adverse conflict may arise when a lawyer is required to cross-
Rule 1.18. For definitions of ‘‘informed consent’’ and ‘‘con- examine a client who appears as a witness in a lawsuit involv-
firmed in writing,’’ see Rule 1.0 (f) and (c). ing another client, as when the testimony will be damaging to
14
the client who is represented in the lawsuit. On the other hand, disqualification arising from a close family relationship is per-
simultaneous representation in unrelated matters of clients sonal and ordinarily is not imputed to members of firms with
whose interests are only economically adverse, such as repre- whom the lawyers are associated. See Rule 1.10.
sentation of competing economic enterprises in unrelated liti- A lawyer is prohibited from engaging in a sexual relationship
gation, does not ordinarily constitute a conflict of interest and with a client unless the sexual relationship predates the forma-
thus may not require consent of the respective clients. tion of the client-lawyer relationship. See Rule 1.8 (j).
Directly adverse conflicts can also arise in transactional Interest of Person Paying for a Lawyer’s Service. A
matters. For example, if a lawyer is asked to represent the lawyer may be paid from a source other than the client, includ-
seller of a business in negotiations with a buyer represented ing a co-client, if the client is informed of that fact and consents
by the lawyer, not in the same transaction but in another, and the arrangement does not compromise the lawyer’s duty
unrelated matter, the lawyer could not undertake the represen- of loyalty or independent judgment to the client. See Rule
tation without the informed consent of each client. 1.8 (f). If acceptance of the payment from any other source
Identifying Conflicts of Interest: Material Limitation. presents a significant risk that the lawyer’s representation of
Even where there is no direct adverseness, a conflict of interest the client will be materially limited by the lawyer’s own interest
exists if there is a significant risk that a lawyer’s ability to in accommodating the person paying the lawyer’s fee or by
consider, recommend or carry out an appropriate course of the lawyer’s responsibilities to a payer who is also a co-client,
action for the client will be materially limited as a result of the then the lawyer must comply with the requirements of subsec-
lawyer’s other responsibilities or interests. For example, a tion (b) before accepting the representation, including
lawyer asked to represent several individuals seeking to form determining whether the conflict is consentable and, if so, that
a joint venture is likely to be materially limited in the lawyer’s the client has adequate information about the material risks
ability to recommend or advocate all possible positions that of the representation.
each might take because of the lawyer’s duty of loyalty to the Prohibited Representations. Ordinarily, clients may con-
others. The conflict in effect forecloses alternatives that would sent to representation notwithstanding a conflict. However, as
otherwise be available to the client. The mere possibility of indicated in subsection (b), some conflicts are noncon-
subsequent harm does not itself require disclosure and consentable, meaning that the lawyer involved cannot properly
sent. The critical questions are the likelihood that a difference ask for such agreement or provide representation on the basis
in interests will eventuate and, if it does, whether it will materi- of the client’s consent. When the lawyer is representing more
ally interfere with the lawyer’s independent professional judg- than one client, the question of consentability must be resolved
ment in considering alternatives or foreclose courses of action as to each client.
that reasonably should be pursued on behalf of the client. Consentability is typically determined by considering
Lawyer’s Responsibilities to Former Clients and Other whether the interests of the clients will be adequately protected
Third Persons. In addition to conflicts with other current cli- if the clients are permitted to give their informed consent to
ents, a lawyer’s duties of loyalty and independence may be representation burdened by a conflict of interest. Thus, under
materially limited by responsibilities to former clients under subsection (b) (1), representation is prohibited if in the circum-
Rule 1.9 or by the lawyer’s responsibilities to other persons, stances the lawyer cannot reasonably conclude that the lawyer
such as fiduciary duties arising from a lawyer’s service as a will be able to provide competent and diligent representation.
trustee, executor or corporate director. See Rule 1.1 (competence) and Rule 1.3 (diligence).
Personal Interest Conflicts. The lawyer’s own interests Subsection (b) (2) describes conflicts that are noncon-
must not be permitted to have an adverse effect on representa- sentable because the representation is prohibited by applica-
tion of a client. For example, if the probity of a lawyer’s own ble law.
conduct in a transaction is in serious question, it may be difficult Subsection (b) (3) describes conflicts that are noncon-
or impossible for the lawyer to give a client detached advice. sentable because of the institutional interest in vigorous devel-
Similarly, when a lawyer has discussions concerning possible opment of each client’s position when the clients are aligned
employment with an opponent of the lawyer’s client, or with directly against each other in the same litigation or the same
a law firm representing the opponent, such discussions could proceeding before any tribunal. Whether clients are aligned
materially limit the lawyer’s representation of the client. In directly against each other within the meaning of this para-
addition, a lawyer may not allow related business interests to graph requires examination of the context of the proceeding.
affect representation, for example, by referring clients to an Although this paragraph does not preclude a lawyer’s multiple
enterprise in which the lawyer has an undisclosed financial representation of adverse parties to a mediation (because
interest. See Rule 1.8 for specific Rules pertaining to a number mediation is not a proceeding before a ‘‘tribunal’’ under Rule
of personal interest conflicts, including business transactions 1.0 [n]), such representation may be precluded by subsection
with clients; see also Rule 1.10 (personal interest conflicts (b) (1).
under Rule 1.7 ordinarily are not imputed to other lawyers in Informed Consent. Informed consent requires that each
a law firm). affected client be aware of the relevant circumstances and of
When lawyers representing different clients in the same the material and reasonably foreseeable ways that the conflict
matter or in substantially related matters are closely related could have adverse effects on the interests of that client. See
by blood or marriage, there may be a significant risk that Rule 1.0 (f) (informed consent). The information required
client confidences will be revealed and that the lawyer’s family depends on the nature of the conflict and the nature of the
relationship will interfere with both loyalty and independent risks involved. When representation of multiple clients in a
professional judgment. As a result, each client is entitled to single matter is undertaken, the information must include the
know of the existence and implications of the relationship implications of the common representation, including possible
between the lawyers before the lawyer agrees to undertake effects on loyalty, confidentiality and the attorney-client privi-
the representation. Thus, a lawyer related to another lawyer, lege and the advantages and risks involved. See second and
e.g., as parent, child, sibling or spouse, ordinarily may not third paragraphs under the ‘‘Special Considerations in Com-
represent a client in a matter where that lawyer is representing mon Representation’’ heading in this Commentary, below
another party, unless each client gives informed consent. The (effect of common representation on confidentiality).
15
Under some circumstances it may be impossible to make materialize in the future are such as would make the conflict
the disclosure necessary to obtain consent. For example, nonconsentable under subsection (b).
when the lawyer represents different clients in related matters Conflicts in Litigation. Subsection (b) (3) prohibits repre-
and one of the clients refuses to consent to the disclosure sentation of opposing parties in the same litigation, regardless
necessary to permit the other client to make an informed deci- of the clients’ consent. On the other hand, simultaneous repre-
sion, the lawyer cannot properly ask the latter to consent. In sentation of parties whose interests in litigation may conflict,
some cases the alternative to common representation can be such as coplaintiffs or codefendants, is governed by subsec-
that each party may have to obtain separate representation tion (a) (2). A conflict may exist by reason of substantial dis-
with the possibility of incurring additional costs. These costs, crepancy in the parties’ testimony, incompatibility in positions
along with the benefits of securing separate representation, in relation to an opposing party or the fact that there are
are factors that may be considered by the affected client in substantially different possibilities of settlement of the claims
determining whether common representation is in the cli- or liabilities in question. Such conflicts can arise in criminal
ent’s interests. cases as well as civil. The potential for conflict of interest in
Consent Confirmed in Writing. Subsection (b) requires representing multiple defendants in a criminal case is so grave
the lawyer to obtain the informed consent of the client, con- that ordinarily a lawyer should decline to represent more than
firmed in writing. Such a writing may consist of a document one codefendant. On the other hand, common representation
executed by the client or one that the lawyer promptly records of persons having similar interests in civil litigation is proper
and transmits to the client following an oral consent. See if the requirements of subsection (b) are met.
Rule 1.0 (c); see also Rule 1.0 (o) (writing includes electronic Ordinarily, a lawyer may take inconsistent legal positions
transmission). If it is not feasible to obtain or transmit the in different tribunals at different times on behalf of different
writing at the time the client gives informed consent, then the clients. The mere fact that advocating a legal position on behalf
lawyer must obtain or transmit it within a reasonable time of one client might create precedent adverse to the interests
thereafter. See Rule 1.0 (c). The requirement of a writing does of a client represented by the lawyer in an unrelated matter
not supplant the need in most cases for the lawyer to talk does not create a conflict of interest. A conflict of interest
with the client, to explain the risks and advantages, if any, of exists, however, if there is a significant risk that a lawyer’s
representation burdened with a conflict of interest, as well as action on behalf of one client will materially limit the lawyer’s
reasonably available alternatives, and to afford the client a effectiveness in representing another client in a different case;
reasonable opportunity to consider the risks and alternatives for example, when a decision favoring one client will create
and to raise questions and concerns. Rather, the writing is a precedent likely to seriously weaken the position taken on
required in order to impress upon clients the seriousness of behalf of the other client. Factors relevant in determining
the decision the client is being asked to make and to avoid whether the clients need to be advised of the risk include:
disputes or ambiguities that might later occur in the absence where the cases are pending, whether the issue is substantive
of a writing. or procedural, the temporal relationship between the matters,
the significance of the issue to the immediate and long-term
Revoking Consent. A client who has given consent to a
interests of the clients involved and the clients’ reasonable
conflict may revoke the consent and, like any other client, may
expectations in retaining the lawyer. If there is significant risk
terminate the lawyer’s representation at any time. Whether
of material limitation, then absent informed consent of the
revoking consent to the client’s own representation precludes
affected clients, the lawyer must refuse one of the representa-
the lawyer from continuing to represent other clients depends
tions or withdraw from one or both matters.
on the circumstances, including the nature of the conflict,
When a lawyer represents or seeks to represent a class of
whether the client revoked consent because of a material
plaintiffs or defendants in a class action lawsuit, unnamed
change in circumstances, the reasonable expectations of the
members of the class are ordinarily not considered to be clients
other clients and whether material detriment to the other clients of the lawyer for purposes of applying subsection (a) (1) of
or the lawyer would result. this Rule. Thus, the lawyer does not typically need to get the
Consent to Future Conflict. Whether a lawyer may prop- consent of such a person before representing a client suing
erly request a client to waive conflicts that might arise in the the person in an unrelated matter. Similarly, a lawyer seeking
future is subject to the test of subsection (b). The effectiveness to represent an opponent in a class action does not typically
of such waivers is generally determined by the extent to which need the consent of an unnamed member of the class whom
the client reasonably understands the material risks that the the lawyer represents in an unrelated matter.
waiver entails. The more comprehensive the explanation of Nonlitigation Conflicts. Conflicts of interest under subsec-
the types of future conflicts that might arise and the actual tions (a) (1) and (a) (2) arise in contexts other than litigation.
and reasonably foreseeable adverse consequences of those For a discussion of directly adverse conflicts in transactional
conflicts, the greater the likelihood that the client will have the matters, see second paragraph under ‘‘Identifying Conflicts of
requisite understanding. Thus, if the client agrees to consent Interest: Directly Adverse’’ heading in this Commentary,
to a particular type of conflict with which the client is already above. Relevant factors in determining whether there is signifi-
familiar, then the consent ordinarily will be effective with regard cant risk of material limitation include the duration and intimacy
to that type of conflict. If the consent is general and open- of the lawyer’s relationship with the client or clients involved,
ended, then the consent ordinarily will be ineffective, because the functions being performed by the lawyer, the likelihood
it is not reasonably likely that the client will have understood that disagreements will arise and the likely prejudice to the
the material risks involved. On the other hand, if the client is client from the conflict. The question is often one of proximity
an experienced user of the legal services involved and is and degree. See first paragraph under ‘‘Identifying Conflicts
reasonably informed regarding the risk that a conflict may of Interest: Material Limitation’’ heading in this Commentary,
arise, such consent is more likely to be effective, particularly above.
if, e.g., the client is independently represented by other counsel For example, conflict questions may also arise in estate
in giving consent and the consent is limited to future conflicts planning and estate administration. A lawyer may be called
unrelated to the subject of the representation. In any case, upon to prepare wills for several family members, such as
advance consent cannot be effective if the circumstances that husband and wife, and, depending upon the circumstances,
16
a conflict of interest may be present. In estate administration, be appropriate for the lawyer to proceed with the representa-
the identity of the client may be unclear under the law of a tion when the clients have agreed, after being properly
particular jurisdiction. Under one view, the client is the fidu- informed, that the lawyer will keep certain information confi-
ciary; under another view the client is the estate or trust, dential. For example, the lawyer may reasonably conclude
including its beneficiaries. In order to comply with conflict of that failure to disclose one client’s trade secrets to another
interest rules, the lawyer should make clear the lawyer’s rela- client will not adversely affect representation involving a joint
tionship to the parties involved. venture between the clients and agree to keep that information
Whether a conflict is consentable depends on the circum- confidential with the informed consent of both clients.
stances. For example, a lawyer may not represent multiple When seeking to establish or adjust a relationship between
parties to a negotiation whose interests are fundamentally clients, the lawyer should make clear that the lawyer’s role is
antagonistic to each other, but common representation is per- not that of partisanship normally expected in other circum-
missible where the clients are generally aligned in interest stances and, thus, that the clients may be required to assume
even though there is some difference in interest among them. greater responsibility for decisions than when each client is
Thus, a lawyer may seek to establish or adjust a relationship separately represented. Any limitations on the scope of the
between clients on an amicable and mutually advantageous representation made necessary as a result of the common
basis; for example, in helping to organize a business in which representation should be fully explained to the clients at the
two or more clients are entrepreneurs, working out the financial outset of the representation. See Rule 1.2 (c).
reorganization of an enterprise in which two or more clients Subject to the above limitations, each client in the common
have an interest or arranging a property distribution in settle- representation has the right to loyal and diligent representation
ment of an estate. The lawyer seeks to resolve potentially and the protection of Rule 1.9 concerning the obligations to
adverse interests by developing the parties’ mutual interests. a former client. The client also has the right to discharge the
Otherwise, each party might have to obtain separate represen- lawyer as stated in Rule 1.16.
tation, with the possibility of incurring additional cost, complica- Organizational Clients. A lawyer who represents a corpo-
tion or even litigation. Given these and other relevant factors, ration or other organization does not, by virtue of that represen-
the clients may prefer that the lawyer act for all of them. tation, necessarily represent any constituent or affiliated
Special Considerations in Common Representation. In organization, such as a parent or subsidiary. See Rule 1.13
considering whether to represent multiple clients in the same (a). Thus, the lawyer for an organization is not barred from
matter, a lawyer should be mindful that if the common repre- accepting representation adverse to an affiliate in an unrelated
sentation fails because the potentially adverse interests cannot matter, unless the circumstances are such that the affiliate
be reconciled, the result can be additional cost, embar- should also be considered a client of the lawyer, there is
rassment and recrimination. Ordinarily, the lawyer will be an understanding between the lawyer and the organizational
forced to withdraw from representing all of the clients if the client that the lawyer will avoid representation adverse to the
common representation fails. In some situations, the risk of client’s affiliates, or the lawyer’s obligations to either the organi-
failure is so great that multiple representation is plainly impos- zational client or the new client are likely to limit materially the
sible. For example, a lawyer cannot undertake common repre- lawyer’s representation of the other client.
sentation of clients where contentious litigation or negotiations A lawyer for a corporation or other organization who is also
between them are imminent or contemplated. Moreover, a member of its board of directors should determine whether
because the lawyer is required to be impartial between com- the responsibilities of the two roles may conflict. The lawyer
monly represented clients, representation of multiple clients is may be called on to advise the corporation in matters involving
improper when it is unlikely that impartiality can be maintained. actions of the directors. Consideration should be given to the
Generally, if the relationship between the parties has already frequency with which such situations may arise, the potential
assumed antagonism, the possibility that the clients’ interests intensity of the conflict, the effect of the lawyer’s resignation
can be adequately served by common representation is not from the board and the possibility of the corporation’s obtaining
very good. Other relevant factors are whether the lawyer sub- legal advice from another lawyer in such situations. If there
sequently will represent both parties on a continuing basis is material risk that the dual role will compromise the lawyer’s
and whether the situation involves creating or terminating a independence of professional judgment, the lawyer should not
relationship between the parties. serve as a director or should cease to act as the corporation’s
A particularly important factor in determining the appropri- lawyer when conflicts of interest arise. The lawyer should
ateness of common representation is the effect on client-law- advise the other members of the board that in some circum-
yer confidentiality and the attorney-client privilege. stances matters discussed at board meetings while the lawyer
As to the duty of confidentiality, continued common repre- is present in the capacity of director might not be protected
sentation will almost certainly be inappropriate if one client by the attorney-client privilege and that conflict of interest
asks the lawyer not to disclose to the other client information considerations might require the lawyer’s recusal as a director
relevant to the common representation. This is so because or might require the lawyer and the lawyer’s firm to decline
the lawyer has an equal duty of loyalty to each client, and the representation of the corporation in a matter.
lawyer should inform each client that each client has the right Conflict Charged by an Opposing Party. Resolving ques-
to be informed of anything bearing on the representation that tions of conflict of interest is primarily the responsibility of the
might affect that client’s interests and the right to expect that lawyer undertaking the representation. In litigation, a court
the lawyer will use that information to that client’s benefit. See may raise the question when there is reason to infer that the
Rule 1.4. To that end, the lawyer must, at the outset of the lawyer has neglected the responsibility. In a criminal case,
common representation and as part of the process of obtaining inquiry by the court is generally required when a lawyer repre-
each client’s informed consent, advise each client that informa- sents multiple defendants. Where the conflict is such as clearly
tion will be shared and that the lawyer will have to withdraw to call in question the fair or efficient administration of justice,
if one client decides prior to disclosure that some matter mate- opposing counsel may properly raise the question. Such an
rial to the representation should be disclosed to the lawyer objection should be viewed with caution, however, for it can
but be kept from the other. In limited circumstances, it may be misused as a technique of harassment.
17
Rule 1.8. Conflict of Interest: Prohibited (b) A lawyer shall not use information relating
Transactions to representation of a client to the disadvantage of
(a) A lawyer shall not enter into a business the client unless the client gives informed consent,
transaction, including investment services, with a except as permitted or required by these Rules.
client or former client or knowingly acquire an (c) A lawyer shall not solicit any substantial gift
ownership, possessory, security or other pecuni- from a client, including a testamentary gift, or pre-
ary interest adverse to a client or former client pare on behalf of a client an instrument giving
unless: the lawyer or a person related to the lawyer any
(1) The transaction and terms on which the law- substantial gift, unless the lawyer or other recipi-
yer acquires the interest are fair and reasonable ent of the gift is related to the client. For purposes
to the client or former client and are fully disclosed of this paragraph, related persons include a
and transmitted in writing to the client or former spouse, child, grandchild, parent, grandparent or
client in a manner that can be reasonably under- other relative or individual with whom the lawyer or
stood by the client or former client; the client maintains a close, familial relationship.
(2) The client or former client is advised in writ- (d) Prior to the conclusion of representation of
ing that the client or former client should consider a client, a lawyer shall not make or negotiate an
the desirability of seeking and is given a reason- agreement giving the lawyer literary or media
able opportunity to seek the advice of independent rights to a portrayal or account based in substan-
legal counsel in the transaction; tial part on information relating to the represen-
(3) The client or former client gives informed tation.
consent in writing signed by the client or former (e) A lawyer shall not provide financial assis-
client, to the essential terms of the transaction tance to a client in connection with pending or
and the lawyer’s role in the transaction, including contemplated litigation, except that:
whether the lawyer is representing the client in (1) A lawyer may pay court costs and expenses
the transaction; of litigation on behalf of a client, the repayment
(4) With regard to a business transaction, the of which may be contingent on the outcome of
lawyer advises the client or former client in writing the matter;
either (A) that the lawyer will provide legal services (2) A lawyer representing an indigent client may
to the client or former client concerning the trans- pay court costs and expenses of litigation on
action, or (B) that the lawyer will not provide legal behalf of the client.
services to the client or former client and that the (f) A lawyer shall not accept compensation for
lawyer is involved as a business person only and representing a client from one other than the cli-
not as a lawyer representing the client or former ent unless:
client and that the lawyer is not one to whom the
(1) The client gives informed consent; subject
client or former client can turn for legal advice
concerning the transaction; and to revocation by the client, such informed consent
(5) With regard to the providing of investment shall be implied where the lawyer is retained to
services, the lawyer advises the client or former represent a client by a third party obligated under
client in writing (A) whether such services are the terms of a contract to provide the client with
covered by legal liability insurance or other insur- a defense;
ance, and either (B) that the lawyer will provide (2) There is no interference with the lawyer’s
legal services to the client or former client con- independence of professional judgment or with
cerning the transaction, or (C) that the lawyer will the client-lawyer relationship; and
not provide legal services to the client or former (3) Information relating to representation of a
client and that the lawyer is involved as a business client is protected as required by Rule 1.6.
person only and not as a lawyer representing the (g) A lawyer who represents two or more clients
client or former client and that the lawyer is not shall not participate in making an aggregate settle-
one to whom the client or former client can turn ment of the claims of or against the clients, or in
to for legal services concerning the transaction. a criminal case an aggregated agreement as to
Investment services shall only apply where the guilty or nolo contendere pleas, unless each client
lawyer has either a direct or indirect control over gives informed consent, in a writing signed by the
the invested funds and a direct or indirect interest client. The lawyer’s disclosure shall include the
in the underlying investment. existence and nature of all the claims or pleas
For purposes of subsection (a) (1) through (a) involved and of the participation of each person
(5), the phrase ‘‘former client’’ shall mean a client in the settlement. Subject to revocation by the
for whom the two-year period starting from the client and to the terms of the contract, such
conclusion of representation has not expired. informed consent shall be implied and need not
18
be in writing where the lawyer is retained to repre- client, and the restrictions in subsection (a) are unnecessary
sent a client by a third party obligated under the and impracticable.
Subsection (a) (1) requires that the transaction itself be fair
terms of a contract to provide the client with a to the client and that its essential terms be communicated
defense and indemnity for the loss and the third to the client, in writing, in a manner that can be reasonably
party elects to settle a matter without contribution understood. Subsection (a) (2) requires that the client also be
by the client. advised, in writing, of the desirability of seeking the advice of
(h) A lawyer shall not: independent legal counsel. It also requires that the client be
given a reasonable opportunity to obtain such advice. Subsec-
(1) Make an agreement prospectively limiting tion (a) (3) requires that the lawyer obtain the client’s informed
the lawyer’s liability to a client for malpractice consent, in a writing signed by the client, both to the essential
unless the client is independently represented in terms of the transaction and to the lawyer’s role. When neces-
making the agreement; or sary, the lawyer should discuss both the material risks of
(2) Settle a claim or potential claim for such the proposed transaction, including any risk presented by the
lawyer’s involvement, and the existence of reasonably avail-
liability with an unrepresented client or former cli- able alternatives and should explain why the advice of inde-
ent unless that person is advised in writing of the pendent legal counsel is desirable. See Rule 1.0 (f) (definition
desirability of seeking and is given a reasonable of informed consent).
opportunity to seek the advice of independent The risk to a client is greatest when the client expects the
legal counsel in connection therewith. lawyer to represent the client in the transaction itself or when
(i) A lawyer shall not acquire a proprietary inter- the lawyer’s financial interest otherwise poses a significant risk
that the lawyer’s representation of the client will be materially
est in the cause of action or subject matter of limited by the lawyer’s financial interest in the transaction.
litigation the lawyer is conducting for a client, Here, the lawyer’s role requires that the lawyer must comply,
except that the lawyer may: not only with the requirements of subsection (a), but also with
(1) Acquire a lien granted by law to secure the the requirements of Rule 1.7. Under that Rule, the lawyer must
lawyer’s fee or expenses; and disclose the risks associated with the lawyer’s dual role as
both legal adviser and participant in the transaction, such as
(2) Contract with a client for a reasonable con- the risk that the lawyer will structure the transaction or give
tingent fee in a civil case. legal advice in a way that favors the lawyer’s interests at the
(j) A lawyer shall not have sexual relations with expense of the client. Moreover, the lawyer must obtain the
a client unless a consensual sexual relationship client’s informed consent. In some cases, the lawyer’s interest
existed between them when the client-lawyer rela- may be such that Rule 1.7 will preclude the lawyer from seeking
the client’s consent to the transaction.
tionship commenced. If the client is independently represented in the transaction,
(k) While lawyers are associated in a firm, a subsection (a) (2) of this Rule is inapplicable, and the subsec-
prohibition in the foregoing subsection (a) through tion (a) (1) requirement for full disclosure is satisfied either by
(i) that applies to any one of them shall apply to a written disclosure by the lawyer involved in the transaction
all of them. or by the client’s independent counsel. The fact that the client
(P.B. 1978-1997, Rule 1.8.) (Amended June 26, 2006, to was independently represented in the transaction is relevant
take effect Jan. 1, 2007; amended June 29, 2007, to take in determining whether the agreement was fair and reasonable
effect Jan. 1, 2008.) to the client as subsection (a) (1) further requires.
Use of Information Related to Representation. Use of
COMMENTARY: Business Transactions between Client
information relating to the representation to the disadvantage
and Lawyer. Subsection (a) expressly applies to former clients
of the client violates the lawyer’s duty of loyalty. Subsection
as well as existing clients. A lawyer’s legal skill and training,
(b) applies when the information is used to benefit either the
together with the relationship of trust and confidence between
lawyer or a third person, such as another client or business
lawyer and client, create the possibility of overreaching when associate of the lawyer. For example, if a lawyer learns that
the lawyer participates in a business, property or financial a client intends to purchase and develop several parcels of
transaction with a client, for example, a loan or sales transac- land, the lawyer may not use that information to purchase one
tion or a lawyer investment on behalf of a client. The require- of the parcels in competition with the client or to recommend
ments of subsection (a) must be met even when the transaction that another client make such a purchase. The Rule does not
is not closely related to the subject matter of the representation, prohibit uses that do not disadvantage the client. For example,
as when a lawyer drafting a will for a client learns that the a lawyer who learns a government agency’s interpretation of
client needs money for unrelated expenses and offers to make trade legislation during the representation of one client may
a loan to the client. It also applies to lawyers purchasing prop- properly use that information to benefit other clients. Subsec-
erty from estates they represent. It does not apply to ordinary tion (b) prohibits disadvantageous use of client information
fee arrangements between client and lawyer, which are gov- unless the client gives informed consent, except as permitted
erned by Rule 1.5, although its requirements must be met or required by these Rules. See Rules 1.2 (d), 1.6, 1.9 (c),
when the lawyer accepts an interest in the client’s business 3.3, 4.1 (b), 8.1 and 8.3.
or other nonmonetary property as payment of all or part of a Gifts to Lawyers. A lawyer may accept a gift from a client,
fee. In addition, the Rule does not apply to standard commer- if the transaction meets general standards of fairness. For
cial transactions between the lawyer and the client for products example, a simple gift such as a present given at a holiday
or services that the client generally markets to others, for or as a token of appreciation is permitted. If a client offers the
example, banking or brokerage services, products manufac- lawyer a more substantial gift, subsection (c) does not prohibit
tured or distributed by the client, and utilities’ services. In such the lawyer from accepting it, although such a gift may be
transactions, the lawyer has no advantage in dealing with the voidable by the client under the doctrine of undue influence,
19
which treats client gifts as presumptively fraudulent. In any there is informed consent from the client. See also Rule 5.4
event, due to concerns about overreaching and imposition on (c) (prohibiting interference with a lawyer’s professional judg-
clients, a lawyer may not suggest that a substantial gift be ment by one who recommends, employs or pays the lawyer
made to the lawyer or for the lawyer’s benefit, except where to render legal services for another).
the lawyer is related to the client as set forth in paragraph (c). Sometimes, it will be sufficient for the lawyer to obtain the
If effectuation of a substantial gift requires preparing a legal client’s informed consent regarding the fact of the payment
instrument such as a will or conveyance, the client should and the identity of the third-party payer. If, however, the fee
have the detached advice that another lawyer can provide. arrangement creates a conflict of interest for the lawyer, then
The sole exception to this Rule is where the client is a relative the lawyer must comply with Rule 1.7. The lawyer must also
of the donee. conform to the requirements of Rule 1.6 concerning confidenti-
This Rule does not prohibit a lawyer from seeking to have ality. Under Rule 1.7 (a), a conflict of interest exists if there
the lawyer or a partner or associate of the lawyer named as is significant risk that the lawyer’s representation of the client
executor of the client’s estate or to another potentially lucrative will be materially limited by the lawyer’s own interest in the
fiduciary position. Nevertheless, such appointments will be fee arrangement or by the lawyer’s responsibilities to the third-
subject to the general conflict of interest provision in Rule 1.7 party payer (for example, when the third-party payer is a co-
when there is a significant risk that the lawyer’s interest in client). Under Rule 1.7 (b), the lawyer may accept or continue
obtaining the appointment will materially limit the lawyer’s inde- the representation with the informed consent of each affected
pendent professional judgment in advising the client concern- client, unless the conflict is nonconsentable under that subsec-
ing the choice of an executor or other fiduciary. In obtaining tion. Under Rule 1.7 (b), the informed consent must be con-
the client’s informed consent to the conflict, the lawyer should firmed in writing.
advise the client concerning the nature and extent of the law- Aggregate Settlements. Differences in willingness to
yer’s financial interest in the appointment, as well as the avail- make or accept an offer of settlement are among the risks of
ability of alternative candidates for the position. common representation of multiple clients by a single lawyer.
Literary Rights. An agreement by which a lawyer acquires Under Rule 1.7, this is one of the risks that should be discussed
literary or media rights concerning the conduct of the represen- before undertaking the representation, as part of the process
tation creates a conflict between the interests of the client and of obtaining the clients’ informed consent. In addition, Rule
the personal interests of the lawyer. Measures suitable in the 1.2 (a) protects each client’s right to have the final say in
representation of the client may detract from the publication deciding whether to accept or reject an offer of settlement and
value of an account of the representation. Subsection (d) does in deciding whether to enter a guilty or nolo contendere plea
not prohibit a lawyer representing a client in a transaction in a criminal case. The rule stated in this paragraph is a corol-
concerning literary property from agreeing that the lawyer’s lary of both these Rules and provides that, before any settle-
fee shall consist of a share in ownership in the property, if the ment offer or plea bargain is made or accepted on behalf of
arrangement conforms to Rule 1.5 and subsections (a) and (i). multiple clients, the lawyer must inform each of them about
Financial Assistance. Lawyers may not subsidize lawsuits all the material terms of the settlement, including what the
or administrative proceedings brought on behalf of their clients, other clients will receive or pay if the settlement or plea offer is
including making or guaranteeing loans to their clients for living accepted. See also Rule 1.0 (f) (definition of informed consent).
expenses, because to do so would encourage clients to pursue Lawyers representing a class of plaintiffs or defendants, or
lawsuits that might not otherwise be brought and because those proceeding derivatively, may not have a full client-lawyer
such assistance gives lawyers too great a financial stake in relationship with each member of the class; nevertheless, such
the litigation. These dangers do not warrant a prohibition on lawyers must comply with applicable rules regulating notifica-
a lawyer lending a client court costs and litigation expenses, tion of class members and other procedural requirements
including the expenses of medical examination and the costs designed to ensure adequate protection of the entire class.
of obtaining and presenting evidence, because these Limiting Liability and Settling Malpractice Claims.
advances are virtually indistinguishable from contingent fees Agreements prospectively limiting a lawyer’s liability for mal-
and help ensure access to the courts. Similarly, an exception practice are prohibited unless the client is independently repre-
allowing lawyers representing indigent clients to pay court sented in making the agreement because they are likely to
costs and litigation expenses regardless of whether these undermine competent and diligent representation. Also, many
funds will be repaid is warranted. clients are unable to evaluate the desirability of making such
Person Paying for a Lawyer’s Services. Subsection (f) an agreement before a dispute has arisen, particularly if they
requires disclosure of the fact that the lawyer’s services are are then represented by the lawyer seeking the agreement.
being paid for by a third party. Such an arrangement must This subsection does not, however, prohibit a lawyer from
also conform to the requirements of Rule 1.6 concerning confi- entering into an agreement with the client to arbitrate legal
dentiality and Rule 1.7 concerning conflict of interest. Where malpractice claims, provided such agreements are enforce-
the client is a class, consent may be obtained on behalf of able and the client is fully informed of the scope and effect of
the class by court-supervised procedure. the agreement. Nor does this subsection limit the ability of
Lawyers are frequently asked to represent a client under lawyers to practice in the form of a limited-liability entity, where
circumstances in which a third person will compensate the permitted by law, provided that each lawyer remains personally
lawyer, in whole or in part. The third person might be a relative liable to the client for his or her own conduct and the firm
or friend, an indemnitor (such as a liability insurance company) complies with any conditions required by law, such as provi-
or a co-client (such as a corporation sued along with one or sions requiring client notification or maintenance of adequate
more of its employees). Because third-party payers frequently liability insurance. Nor does it prohibit an agreement in accord-
have interests that differ from those of the client, including ance with Rule 1.2 that defines the scope of the representation,
interests in minimizing the amount spent on the representation although a definition of scope that makes the obligations of
and in learning how the representation is progressing, lawyers representation illusory will amount to an attempt to limit liability.
are prohibited from accepting or continuing such representa- Agreements settling a claim or a potential claim for malprac-
tions unless the lawyer determines that there will be no interfer- tice are not prohibited by this Rule. Nevertheless, in view of
ence with the lawyer’s independent professional judgment and the danger that a lawyer will take unfair advantage of an
20
unrepresented client or former client, the lawyer must first subsection (j) is personal and is not applied to associated
advise such a person in writing of the appropriateness of lawyers.
independent representation in connection with such a settle-
ment. In addition, the lawyer must give the client or former Rule 1.9. Duties to Former Clients
client a reasonable opportunity to find and consult indepen- (Amended June 26, 2006, to take effect Jan. 1, 2007.)
dent counsel. (a) A lawyer who has formerly represented a
Acquiring Proprietary Interest in Litigation. Subsection
client in a matter shall not thereafter represent
(i) states the traditional general rule that lawyers are prohibited
from acquiring a proprietary interest in litigation. Like subsec- another person in the same or a substantially
tion (e), the general rule, which has its basis in common-law related matter in which that person’s interests are
champerty and maintenance, is designed to avoid giving the materially adverse to the interests of the former
lawyer too great an interest in the representation. In addition, client unless the former client gives informed con-
when the lawyer acquires an ownership interest in the subject sent, confirmed in writing.
of the representation, it will be more difficult for a client to (b) A lawyer shall not knowingly represent a
discharge the lawyer if the client so desires. The Rule is subject
to specific exceptions developed in decisional law and contin-
person in the same or a substantially related mat-
ued in these Rules. The exception for certain advances of the ter in which a firm with which the lawyer formerly
costs of litigation is set forth in subsection (e). In addition, was associated had previously represented a
subsection (i) sets forth exceptions for liens authorized by law client
to secure the lawyer’s fees or expenses and contracts for (1) whose interests are materially adverse to
reasonable contingent fees. The law of each jurisdiction deter- that person; and
mines which liens are authorized by law. These may include
liens granted by statute, liens originating in common law and
(2) about whom the lawyer had acquired infor-
liens acquired by contract with the client. When a lawyer mation protected by Rules 1.6 and 1.9 (c) that is
acquires by contract a security interest in property other than material to the matter; unless the former client
that recovered through the lawyer’s efforts in the litigation, gives informed consent, confirmed in writing.
such an acquisition is a business or financial transaction with (c) A lawyer who has formerly represented a
a client and is governed by the requirements of subsection client in a matter or whose present or former firm
(a). Contracts for contingent fees in civil cases are governed
by Rule 1.5. has formerly represented a client in a matter shall
Client-Lawyer Sexual Relationships. The relationship not thereafter:
between lawyer and client is a fiduciary one in which the lawyer (1) use information relating to the representa-
occupies the highest position of trust and confidence. The tion to the disadvantage of the former client except
relationship is almost always unequal; thus, a sexual relation- as these Rules would permit or require with
ship between lawyer and client can involve unfair exploitation respect to a client, or when the information has
of the lawyer’s fiduciary role, in violation of the lawyer’s basic
ethical obligation not to use the trust of the client to the client’s
become generally known; or
disadvantage. In addition, such a relationship presents a signif- (2) reveal information relating to the representa-
icant danger that, because of the lawyer’s emotional involve- tion except as these Rules would permit or require
ment, the lawyer will be unable to represent the client without with respect to a client.
impairment of the exercise of independent professional judg- (P.B. 1978-1997, Rule 1.9.) (Amended June 26, 2006, to
ment. Moreover, a blurred line between the professional and take effect Jan. 1, 2007.)
personal relationships may make it difficult to predict to what COMMENTARY: After termination of a client-lawyer rela-
extent client confidences will be protected by the attorney- tionship, a lawyer has certain continuing duties with respect
client evidentiary privilege, since client confidences are pro- to confidentiality and conflicts of interest and thus may not
tected by privilege only when they are imparted in the context represent another client except in conformity with this Rule.
of the client-lawyer relationship. Because of the significant Under this Rule, for example, a lawyer could not properly seek
danger of harm to client interest and because the client’s own to rescind on behalf of a new client a contract drafted on behalf
emotional involvement renders it unlikely that the client could of the former client. So also a lawyer who has prosecuted an
give adequate informed consent, this Rule prohibits the lawyer accused person could not properly represent the accused in
from having sexual relations with a client regardless of whether a subsequent civil action against the government concerning
the relationship is consensual and regardless of the absence the same transaction. Nor could a lawyer who has represented
of prejudice to the client. multiple clients in a matter represent one of the clients against
Sexual relationships that predate the client-lawyer relation- the interest of the others in the same or a substantially related
ship are not prohibited. Issues relating to the exploitation of matter after a dispute arose among the clients in that matter,
the fiduciary relationship and client dependency are dimin- unless all affected clients give informed consent. See last
ished when the sexual relationship existed prior to the com- paragraph of this Commentary, below. Current and former
mencement of the client-lawyer relationship. However, before government lawyers must comply with this Rule to the extent
proceeding with the representation in these circumstances, required by Rule 1.11.
the lawyer should consider whether the lawyer’s ability to rep- The scope of a ‘‘matter’’ for purposes of this Rule depends
resent the client will be materially limited by the relationship. on the facts of a particular situation or transaction. The lawyer’s
See Rule 1.7 (a) (2). involvement in a matter can also be a question of degree.
Imputation of Prohibitions. Under subsection (k), a prohi- When a lawyer has been directly involved in a specific transac-
bition on conduct by an individual lawyer in subsections (a) tion, subsequent representation of other clients with materially
through (i) also applies to all lawyers associated in a firm with adverse interests in that transaction clearly is prohibited. On
the personally prohibited lawyer. The prohibition set forth in the other hand, a lawyer who recurrently handled a type of
21
problem for a former client is not precluded from later repre- one firm acquired no knowledge or information relating to a
senting another client in a factually distinct problem of that particular client of the firm, and that lawyer later joined another
type even though the subsequent representation involves a firm, neither the lawyer individually nor the second firm is
position adverse to the prior client. Similar considerations can disqualified from representing another client in the same or a
apply to the reassignment of military lawyers between defense related matter even though the interests of the two clients
and prosecution functions within the same military jurisdic- conflict. See Rule 1.10 (b) for the restrictions on a firm once
tions. The underlying question is whether the lawyer was so a lawyer has terminated association with the firm.
involved in the matter that the subsequent representation can Application of subsection (b) depends on a situation’s par-
be justly regarded as a changing of sides in the matter in ticular facts, aided by inferences, deductions or working pre-
question. sumptions that reasonably may be made about the way in
Matters are ‘‘substantially related’’ for purposes of this Rule which lawyers work together. A lawyer may have general
if they involve the same transaction or legal dispute or if there access to files of all clients of a law firm and may regularly
otherwise is a substantial risk that confidential factual informa- participate in discussions of their affairs; it should be inferred
tion as would normally have been obtained in the prior repre- that such a lawyer in fact is privy to all information about all
sentation would materially advance the client’s position in the the firm’s clients. In contrast, another lawyer may have access
subsequent matter. For example, a lawyer who has repre- to the files of only a limited number of clients and participate
sented a businessperson and learned extensive private finan- in discussions of the affairs of no other clients; in the absence
cial information about that person may not then represent that of information to the contrary, it should be inferred that such
person’s spouse in seeking a divorce. Similarly, a lawyer who a lawyer in fact is privy to information about the clients actually
has previously represented a client in securing environmental served but not those of other clients. In such an inquiry, the
permits to build a shopping center would be precluded from burden of proof rests upon the firm whose disqualification
representing neighbors seeking to oppose rezoning of the is sought.
property on the basis of environmental considerations; how- Independent of the question of disqualification of a firm, a
ever, the lawyer would not be precluded, on the grounds of lawyer changing professional association has a continuing
substantial relationship, from defending a tenant of the com- duty to preserve confidentiality of information about a client
pleted shopping center in resisting eviction for nonpayment formerly represented. See Rules 1.6 and 1.9 (c).
of rent. Information that has been disclosed to the public or Subsection (c) provides that information acquired by the
to other parties adverse to the former client ordinarily will not lawyer in the course of representing a client may not subse-
be disqualifying. Information acquired in a prior representation quently be used or revealed by the lawyer to the disadvantage
may have been rendered obsolete by the passage of time, a of the client. However, the fact that a lawyer has once served
circumstance that may be relevant in determining whether two a client does not preclude the lawyer from using generally
representations are substantially related. In the case of an known information about that client when later representing
organizational client, general knowledge of the client’s policies another client.
and practices ordinarily will not preclude a subsequent repre- The provisions of this Rule are for the protection of former
sentation; on the other hand, knowledge of specific facts clients and can be waived if the client gives informed consent,
gained in a prior representation that are relevant to the matter which consent must be confirmed in writing under subsections
in question ordinarily will preclude such a representation. A (a) and (b). See Rule 1.0 (f). With regard to the effectiveness
former client is not required to reveal the confidential informa- of an advance waiver, see Commentary to Rule 1.7. With
tion learned by the lawyer in order to establish a substantial regard to disqualification of a firm with which a lawyer is or
risk that the lawyer has confidential information to use in the was formerly associated, see Rule 1.10.
subsequent matter. A conclusion about the possession of such
information may be based on the nature of the services the Rule 1.10. Imputation of Conflicts of Inter-
lawyer provided the former client and information that would est: General Rule
in ordinary practice be learned by a lawyer providing such
(Amended June 26, 2006, to take effect Jan. 1, 2007.)
services.
Lawyers Moving between Firms. When lawyers have (a) While lawyers are associated in a firm, none
been associated within a firm but then end their association, of them shall knowingly represent a client when
the question of whether a lawyer should undertake representa- any one of them practicing alone would be prohib-
tion is more complicated. There are several competing consid- ited from doing so by Rules 1.7 or 1.9, unless:
erations. First, the client previously represented by the former (1) the prohibition is based on a personal inter-
firm must be reasonably assured that the principle of loyalty
to the client is not compromised. Second, the rule should not est of the disqualified lawyer and does not present
be so broadly cast as to preclude other persons from having a significant risk of materially limiting the repre-
reasonable choice of legal counsel. Third, the rule should not sentation of the client by the remaining lawyers
unreasonably hamper lawyers from forming new associations in the firm; or
and taking on new clients after having left a previous associa- (2) the prohibition is based upon Rule 1.9 (a)
tion. In this connection, it should be recognized that today
many lawyers practice in firms, that many lawyers to some
or 1.9 (b) and arises out of the disqualified lawyer’s
degree limit their practice to one field or another, and that association with a prior firm, and
many move from one association to another several times in (A) the disqualified lawyer is timely screened
their careers. If the concept of imputation were applied with from any participation in the matter and is appor-
unqualified rigor, the result would be radical curtailment of the tioned no part of the fee therefrom;
opportunity of lawyers to move from one practice setting to
another and of the opportunity of clients to change counsel.
(B) written notice is promptly given to any
Subsection (b) operates to disqualify the lawyer only when affected former client to enable the former client
the lawyer involved has actual knowledge of information pro- to ascertain compliance with the provisions of this
tected by Rules 1.6 and 1.9 (c). Thus, if a lawyer, while with Rule, which shall include a description of the
22
screening procedures employed; a statement of materially limit the representation by others in the firm, the
the firm’s and of the screened lawyer’s compli- firm should not be disqualified. On the other hand, if an oppos-
ing party in a case were owned by a lawyer in the law firm,
ance with these Rules; a statement that review and others in the firm would be materially limited in pursuing
may be available before a tribunal; and an the matter because of loyalty to that lawyer, the personal
agreement by the firm to respond promptly to any disqualification of the lawyer would be imputed to all others
written inquiries or objections by the former client in the firm.
about the screening procedures; and The Rule in subsection (a) also does not prohibit represen-
(C) certifications of compliance with these tation by others in the law firm where the person prohibited from
Rules and with the screening procedures are pro- involvement in a matter is a nonlawyer, such as a paralegal or
legal secretary. Nor does subsection (a) prohibit representa-
vided to the former client by the screened lawyer tion if the lawyer is prohibited from acting because of events
and by a partner of the firm, at reasonable inter- before the person became a lawyer, for example, work that
vals upon the former client’s written request and the person did while a law student. Such persons, however,
upon termination of the screening procedures. must be screened from any personal participation in the matter
(b) When a lawyer has terminated an associa- to avoid communication to others in the firm of confidential
tion with a firm, the firm is not prohibited from information that both the nonlawyers and the firm have a legal
duty to protect. See Rules 1.0 (k) and 5.3.
thereafter representing a person with interests Rule 1.10 (b) operates to permit a law firm, under certain
materially adverse to those of a client represented circumstances, to represent a person with interests directly
by the formerly associated lawyer and not cur- adverse to those of a client represented by a lawyer who
rently represented by the firm, unless: formerly was associated with the firm. The Rule applies regard-
(1) The matter is the same or substantially less of when the formerly associated lawyer represented the
related to that in which the formerly associated client. However, the law firm may not represent a person with
interests adverse to those of a present client of the firm, which
lawyer represented the client; and would violate Rule 1.7. Moreover, the firm may not represent
(2) Any lawyer remaining in the firm has infor- the person where the matter is the same or substantially
mation protected by Rules 1.6 and 1.9 (c) that is related to that in which the formerly associated lawyer repre-
material to the matter. sented the client and any other lawyer currently in the firm
(c) A disqualification prescribed by this Rule has material information protected by Rules 1.6 and 1.9 (c).
may be waived by the affected client under the Rule 1.10 (c) removes imputation with the informed consent
of the affected client or former client under the conditions
conditions stated in Rule 1.7. stated in Rule 1.7. The conditions stated in Rule 1.7 require
(d) The disqualification of lawyers associated the lawyer to determine that the representation is not prohibited
in a firm with former or current government law- by Rule 1.7 (b) and that each affected client or former client
yers is governed by Rule 1.11. has given informed consent to the representation, confirmed
(P.B. 1978-1997, Rule 1.10.) (Amended June 26, 2006, to in writing. In some cases, the risk may be so severe that the
take effect Jan. 1, 2007; amended June 15, 2012, to take conflict may not be cured by client consent. For a discussion
effect Jan. 1, 2013.) of the effectiveness of client waivers of conflicts that might
COMMENTARY: Definition of ‘‘Firm.’’ For purposes of arise in the future, see Rule 1.7 and its commentary. For a
the Rules of Professional Conduct, the term ‘‘firm’’ denotes definition of informed consent, see Rule 1.0 (f).
lawyers in a law partnership, professional corporation, sole Rule 1.10 (a) (2) similarly removes the imputation otherwise
proprietorship or other association authorized to practice law; required by Rule 1.10 (a), but unlike subsection (c), it does
or lawyers employed in a legal services organization or the so without requiring that there be informed consent by the
legal department of a corporation or other organization. See former client. Instead, it requires that the procedures laid out
Rule 1.0 (d). Whether two or more lawyers constitute a firm in subparagraphs (A) through (C) of subsection (a) (2) be
within this definition can depend on the specific facts. See followed. A description of effective screening mechanisms
Rule 1.0 and its Commentary. appears in Rule 1.0 (l) and commentary thereto. Lawyers
Principles of Imputed Disqualification. The rule of should be aware, however, that, even where screening mecha-
imputed disqualification stated in subsection (a) gives effect nisms have been adopted, tribunals may consider additional
to the principle of loyalty to the client as it applies to lawyers factors in ruling upon motions to disqualify a lawyer from pend-
who practice in a law firm. Such situations can be considered ing litigation.
from the premise that a firm of lawyers is essentially one lawyer Subparagraph (A) of subsection (a) (2) does not prohibit
for purposes of the rules governing loyalty to the client, or the screened lawyer from receiving a salary or partnership
from the premise that each lawyer is vicariously bound by the share established by prior independent agreement, but that
obligation of loyalty owed by each lawyer with whom the lawyer lawyer may not receive compensation directly related to the
is associated. Subsection (a) operates only among the lawyers matter in which the lawyer is disqualified.
currently associated in a firm. When a lawyer moves from one The notice required by subparagraph (B) of subsection (a)
firm to another, the situation is governed by Rules 1.9 (b) and (2) generally should include a description of the screened
1.10 (b). lawyer’s prior representation and be given as soon as practica-
The Rule in subsection (a) does not prohibit representation ble after the need for screening becomes apparent. It also
where neither questions of client loyalty nor protection of confi- should include a statement by the screened lawyer and the
dential information are presented. Where one lawyer in a firm firm that the client’s material confidential information has not
could not effectively represent a given client because of strong been disclosed or used in violation of the Rules. The notice
political beliefs, for example, but that lawyer will do no work is intended to enable the former client to evaluate and com-
on the case and the personal beliefs of the lawyer will not ment upon the effectiveness of the screening procedures.
23
The certifications required by subparagraph (C) of subsec- A firm with which that lawyer is associated may
tion (a) (2) give the former client assurance that the client’s undertake or continue representation in the matter
material confidential information has not been disclosed or
used inappropriately, either prior to timely implementation of
only if the disqualified lawyer is timely screened
a screen or thereafter. If compliance cannot be certified, the from any participation in the matter and is appor-
certificate must describe the failure to comply. tioned no part of the fee therefrom.
Where a lawyer has joined a private firm after having repre- (d) Except as law may otherwise expressly per-
sented the government, imputation is governed by Rule 1.11 mit, a lawyer currently serving as a public officer
(b) and (c), not this Rule. Under Rule 1.11 (d), where a lawyer or employee:
represents the government after having served clients in pri-
vate practice, nongovernmental employment or in another gov-
(1) Is subject to Rules 1.7 and 1.9; and
ernment agency, former-client conflicts are not imputed to (2) Shall not:
government lawyers associated with the individually disquali- (i) Participate in a matter in which the lawyer
fied lawyer. participated personally and substantially while in
Where a lawyer is prohibited from engaging in certain trans- private practice or nongovernmental employment,
actions under Rule 1.8, subsection (k) of that Rule, and not unless the appropriate government agency gives
this Rule, determines whether that prohibition also applies to
other lawyers associated in a firm with the personally prohib-
its informed consent, confirmed in writing; or
ited lawyer. (ii) Negotiate for private employment with any
person who is involved as a party or as lawyer
Rule 1.11. Special Conflicts of Interest for for a party in a matter in which the lawyer is partici-
Former and Current Government Officers pating personally and substantially; except that a
and Employees lawyer serving as a law clerk to a judge, other
(Amended June 26, 2006, to take effect Jan. 1, 2007.) adjudicative officer or arbitrator may negotiate for
(a) Except as law may otherwise expressly per- private employment as permitted by Rule 1.12
mit, a lawyer who has formerly served as a public (b) and subject to the conditions stated in Rule
officer or employee of the government: 1.12 (b).
(1) is subject to Rule 1.9 (c); and (e) As used in this Rule, the term ‘‘matter’’
(2) shall not otherwise represent a client in con- includes:
nection with a matter in which the lawyer partici- (1) Any judicial or other proceeding, application,
pated personally and substantially as a public request for a ruling or other determination, con-
officer or employee, unless the appropriate gov- tract, claim, controversy, investigation, charge,
ernment agency gives its informed consent, con- accusation, arrest or other particular matter
firmed in writing, to the representation. involving a specific party or parties, and
(b) When a lawyer is disqualified from represen- (2) Any other matter covered by the conflict of
tation under subsection (a), no lawyer in a firm interest rules of the appropriate government
with which that lawyer is associated may know- agency.
ingly undertake or continue representation in such (P.B. 1978-1997, Rule 1.11.) (Amended June 26, 2006, to
a matter unless: take effect Jan. 1, 2007.)
COMMENTARY: A lawyer who has served or is currently
(1) The disqualified lawyer is timely screened serving as a public officer or employee is personally subject
from any participation in the matter and is appor- to the Rules of Professional Conduct, including the prohibition
tioned no part of the fee therefrom; and against concurrent conflicts of interest stated in Rule 1.7. In
(2) Written notice is promptly given to the appro- addition, such a lawyer may be subject to statutes and govern-
priate government agency to enable it to ascertain ment regulations regarding conflict of interest. Such statutes
compliance with the provisions of this Rule. and regulations may circumscribe the extent to which the gov-
ernment agency may give consent under this Rule. See Rule
(c) Except as law may otherwise expressly per- 1.0 (f) for the definition of informed consent.
mit, a lawyer having information that the lawyer Subsections (a) (1), (a) (2) and (d) (1) restate the obligations
knows is confidential government information of an individual lawyer who has served or is currently serving
about a person acquired when the lawyer was a as an officer or employee of the government toward a former
public officer or employee, may not represent a government or private client. Rule 1.10 is not applicable to
private client whose interests are adverse to that the conflicts of interest addressed by this Rule. Rather, subsec-
tion (b) sets forth a special imputation rule for former govern-
person in a matter in which the information could ment lawyers that provides for screening and notice. Because
be used to the material disadvantage of that per- of the special problems raised by imputation within a govern-
son. As used in this Rule, the term ‘‘confidential ment agency, subsection (d) does not impute the conflicts of
government information’’ means information that a lawyer currently serving as an officer or employee of the
has been obtained under governmental authority government to other associated government officers or
employees, although ordinarily it will be prudent to screen
and which, at the time this Rule is applied, the such lawyers.
government is prohibited by law from disclosing Subsections (a) (2) and (d) (2) apply regardless of whether
to the public or has a legal privilege not to disclose a lawyer is adverse to a former client and are thus designed
and which is not otherwise available to the public. not only to protect the former client, but also to prevent a lawyer
24
from exploiting public office for the advantage of another client. For purposes of subsection (e) of this Rule, a ‘‘matter’’ may
For example, a lawyer who has pursued a claim on behalf of continue in another form. In determining whether two particular
the government may not pursue the same claim on behalf of a matters are the same, the lawyer should consider the extent
later private client after the lawyer has left government service, to which the matters involve the same basic facts, the same
except when authorized to do so by the government agency or related parties, and the time elapsed.
under subsection (a). Similarly, a lawyer who has pursued a
claim on behalf of a private client may not pursue the claim Rule 1.12. Former Judge, Arbitrator, Media-
on behalf of the government, except when authorized to do tor or Other Third-Party Neutral
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. (a) Except as stated in subsection (d), a lawyer
This Rule represents a balancing of interests. On the one shall not represent anyone in connection with a
hand, where the successive clients are a government agency matter in which the lawyer participated personally
and another client, public or private, the risk exists that power and substantially as a judge or other adjudicative
or discretion vested in that agency might be used for the officer or law clerk to such a person or as an
special benefit of the other client. A lawyer should not be
in a position where benefit to the other client might affect
arbitrator, mediator or other third-party neutral,
performance of the lawyer’s professional functions on behalf unless all parties to the proceeding give informed
of the government. Also, unfair advantage could accrue to the consent, confirmed in writing.
other client by reason of access to confidential government (b) A lawyer shall not negotiate for employment
information about the client’s adversary, obtainable only with any person who is involved as a party or as
through the lawyer’s government service. On the other hand, lawyer for a party in a matter in which the lawyer
the rules governing lawyers presently or formerly employed
by a government agency should not be so restrictive as to is participating personally as a judge or other adju-
inhibit transfer of employment to and from the government. dicative officer, or as an arbitrator, mediator or
The government has a legitimate need to attract qualified other third-party neutral. A lawyer serving as a
lawyers as well as to maintain high ethical standards. Thus, law clerk to a judge or other adjudicative officer
a former government lawyer is disqualified only from particular may negotiate for employment with a party or law-
matters in which the lawyer participated personally and sub-
stantially. The provisions for screening and waiver in subsec-
yer involved in a matter in which the clerk is partici-
tion (b) are necessary to prevent the disqualification rule from pating personally, but only after the lawyer has
imposing too severe a deterrent against entering public ser- notified the judge or other adjudicative officer.
vice. The limitation of disqualification in subsections (a) (2) (c) If a lawyer is disqualified by subsection (a),
and (d) (2) to matters involving a specific party or parties, no lawyer in a firm with which that lawyer is associ-
rather than extending disqualification to all substantive issues ated may knowingly undertake or continue repre-
on which the lawyer worked, serves a similar function.
When a lawyer has been employed by one government sentation in the matter unless:
agency and then moves to a second government agency, it (1) The disqualified lawyer is timely screened
may be appropriate to treat that second agency as another from any participation in the matter and is appor-
client for purposes of this Rule, as when a lawyer is employed tioned no part of the fee therefrom; and
by a city and subsequently is employed by a federal agency. (2) Written notice is promptly given to the parties
However, because the conflict of interest is governed by sub-
section (d), the latter agency is not required to screen the and any appropriate tribunal to enable them to
lawyer as subsection (b) requires a law firm to do. The question ascertain compliance with the provisions of this
of whether two government agencies should be regarded as Rule.
the same or different clients for conflict of interest purposes (d) An arbitrator selected as a partisan of a
is beyond the scope of these Rules. See Commentary to party in a multi-member arbitration panel is not
Rule 1.13.
Subsections (b) and (c) contemplate a screening arrange-
prohibited from subsequently representing that
ment. See Rule 1.0 (l) (requirements for screening proce- party.
dures). These subsections do not prohibit a lawyer from (P.B. 1978-1997, Rule 1.12.) (Amended June 26, 2006, to
receiving a salary or partnership share established by prior take effect Jan. 1, 2007; amended June 13, 2014, to take
independent agreement, but that lawyer may not receive com- effect Jan. 1, 2015.)
pensation directly relating the lawyer’s compensation to the COMMENTARY: This Rule generally parallels Rule 1.11.
fee in the matter in which the lawyer is disqualified. The term ‘‘personally and substantially’’ signifies that a judge
Notice, including a description of the screened lawyer’s prior who was a member of a multi-member court, and thereafter
representation and of the screening procedures employed, left judicial office to practice law, is not prohibited from repre-
generally should be given as soon as practicable after the senting a client in a matter pending in the court, but in which
need for screening becomes apparent. the former judge did not participate. So also the fact that a
Subsection (c) operates only when the lawyer in question former judge exercised administrative responsibility in a court
has knowledge of the information, which means actual knowl- does not prevent the former judge from acting as a lawyer in
edge; it does not operate with respect to information that a matter where the judge had previously exercised remote or
merely could be imputed to the lawyer. incidental administrative responsibility that did not affect the
Subsections (a) and (d) do not prohibit a lawyer from jointly merits. Compare the Comment to Rule 1.11. Participation on
representing a private party and a government agency when the merits or in settlement discussions is considered personal
doing so is permitted by Rule 1.7 and is not otherwise prohib- and substantial. Nominal or ministerial responsibility is not
ited by law. considered personal and substantial.
25
Like former judges, lawyers who have served as arbitrators, but only if and to the extent the lawyer reasonably
mediators or other third-party neutrals may be asked to repre- believes necessary to prevent substantial injury
sent a client in a matter in which the lawyer participated person-
ally. This Rule forbids such representation unless all of the
to the organization.
parties to the proceedings give their informed consent, con- (d) Subsection (c) shall not apply with respect
firmed in writing. See Rule 1.0 (c) and (f). Other law or codes to information relating to a lawyer’s representation
of ethics governing third-party neutrals may impose more strin- of an organization to investigate an alleged viola-
gent standards of personal or imputed disqualification. See tion of law, or to defend the organization or an
Rule 2.4. officer, employee or other constituent associated
Although lawyers who serve as third-party neutrals do not
have information concerning the parties that is protected under
with the organization against a claim arising out
Rule 1.6, they typically owe the parties an obligation of confi- of an alleged violation of law.
dentiality under law or codes of ethics governing third-party (e) A lawyer who reasonably believes that he or
neutrals. Thus, subsection (c) provides that conflicts of the she has been discharged because of the lawyer’s
personally disqualified lawyer will be imputed to other lawyers actions taken pursuant to subsections (b) or (c),
in a law firm unless the conditions of this subsection are met. or who withdraws under circumstances that
Requirements for screening procedures are stated in Rule
1.0 (l). Subsection (c) (1) does not prohibit the screened lawyer
require or permit the lawyer to take action under
from receiving a salary or partnership share established by either of those subsections, shall proceed as the
prior independent agreement, but that lawyer may not receive lawyer reasonably believes necessary to assure
compensation directly related to the matter in which the lawyer that the organization’s highest authority is
is disqualified. informed of the lawyer’s discharge or withdrawal.
Notice, including a description of the screened lawyer’s prior (f) In dealing with an organization’s directors,
representation and of the screening procedures employed,
generally should be given as soon as practicable after the
officers, employees, members, shareholders or
need for screening becomes apparent. other constituents, a lawyer shall explain the iden-
tity of the client when the lawyer knows or reason-
Rule 1.13. Organization as Client ably should know that the organization’s interests
(a) A lawyer employed or retained by an organi- are adverse to those of the constituents with
zation represents the organization acting through whom the lawyer is dealing.
its duly authorized constituents. (g) A lawyer representing an organization may
(b) If a lawyer for an organization knows that also represent any of its directors, officers,
an officer, employee or other person associated employees, members, shareholders or other con-
with the organization is engaged in action, intends stituents, subject to the provisions of Rule 1.7. If
to act or refuses to act in a matter related to the the organization’s consent to the dual representa-
representation that is a violation of a legal obligation is required by Rule 1.7, the consent shall be
tion to the organization, or a violation of law that given by an appropriate official of the organization
reasonably might be imputed to the organization, other than the individual who is to be represented,
and that is likely to result in substantial injury to or by the shareholders.
the organization, then the lawyer shall proceed (P.B. 1978-1997, Rule 1.13.) (Amended June 26, 2006, to
take effect Jan. 1, 2007.)
as is reasonably necessary in the best interest of COMMENTARY: The Entity as the Client. An organiza-
the organization. tional client is a legal entity, but it cannot act except through
Unless the lawyer reasonably believes that it is its officers, directors, employees, shareholders and other con-
not in the best interest of the organization to do stituents. Officers, directors, employees and shareholders are
so, the lawyer shall refer the matter to higher the constituents of the corporate organizational client. The
authority in the organization, including, if war- duties defined in this Commentary apply equally to unincorpo-
rated associations. ‘‘Other constituents’’ as used in this Com-
ranted by the circumstances, to the highest mentary means the positions equivalent to officers, directors,
authority that can act in behalf of the organization employees and shareholders held by persons acting for orga-
as determined by applicable law. nizational clients that are not corporations.
(c) Except as provided in subsection (d), if When one of the constituents of an organizational client
(1) Despite the lawyer’s efforts in accordance communicates with the organization’s lawyer in that person’s
with subsection (b), the highest authority that can organizational capacity, the communication is protected by
Rule 1.6. Thus, by way of example, if an organizational client
act on behalf of the organization insists upon or requests its lawyer to investigate allegations of wrongdoing,
fails to address in a timely and appropriate manner interviews made in the course of that investigation between
an action, or a refusal to act, that is clearly a the lawyer and the client’s employees or other constituents
violation of law and are covered by Rule 1.6. This does not mean, however, that
(2) The lawyer reasonably believes that the vio- constituents of an organizational client are the clients of the
lawyer. The lawyer may not disclose to such constituents infor-
lation is reasonably certain to result in substantial mation relating to the representation except for disclosures
injury to the organization, then the lawyer may explicitly or impliedly authorized by the organizational client
reveal information relating to the representation in order to carry out the representation or as otherwise permit-
whether or not Rule 1.6 permits such disclosure, ted by Rule 1.6.
26
When constituents of the organization make decisions for that the lawyer’s services be used in furtherance of the viola-
it, the decisions ordinarily must be accepted by the lawyer tion, but it is required that the matter be related to the lawyer’s
even if their utility or prudence is doubtful. Decisions concern- representation of the organization. If the lawyer’s services are
ing policy and operations, including ones entailing serious risk, being used by an organization to further a crime or fraud by
are not as such in the lawyer’s province. Subsection (b) makes the organization, Rules 1.6 (b) (2) and 1.6 (b) (3) may permit
clear, however, that when the lawyer knows that the organiza- the lawyer to disclose confidential information. In such circum-
tion is likely to be substantially injured by action of an officer stances, Rule 1.2 (d) may also be applicable, in which event,
or other constituent that violates a legal obligation to the organi- withdrawal from the representation under Rule 1.6 (a) (1) may
zation or is in violation of law that might be imputed to the be required.
organization, the lawyer must proceed as is reasonably neces- Subsection (d) makes clear that the authority of a lawyer
sary in the best interest of the organization. As defined in Rule to disclose information relating to a representation in circum-
1.0 (g), knowledge can be inferred from circumstances, and stances described in subsection (c) does not apply with respect
a lawyer cannot ignore the obvious. to information relating to a lawyer’s engagement by an organi-
In determining how to proceed under subsection (b), the zation to investigate an alleged violation of law or to defend
lawyer should give due consideration to the seriousness of the organization or an officer, employee or other person asso-
the violation and its consequences, the responsibility in the ciated with the organization against a claim arising out of an
organization and the apparent motivation of the persons alleged violation of law. This is necessary in order to enable
involved, the policies of the organization concerning such mat- organizational clients to enjoy the full benefits of legal counsel
ters, and any other relevant considerations. Ordinarily, referral in conducting an investigation or defending against a claim.
to a higher authority would be necessary. In some circum- A lawyer who reasonably believes that he or she has been
stances, however, it may be appropriate for the lawyer to ask discharged because of the lawyer’s actions taken pursuant to
the constituent to reconsider the matter; for example, if the subsection (b) or (c), or who withdraws in circumstances that
circumstances involve a constituent’s innocent misunder- require or permit the lawyer to take action under either of these
standing of law and subsequent acceptance of the lawyer’s subsections, must proceed as the lawyer reasonably believes
advice, the lawyer may reasonably believe conclude that the necessary to assure that the organization’s highest authority
best interest of the organization does not require that the is informed of the lawyer’s discharge or withdrawal.
matter be referred to higher authority. If a constituent persists Government Agency. The duty defined in this Rule applies
in conduct contrary to the lawyer’s advice, it will be necessary to governmental organizations. Defining precisely the identity
for the lawyer to take steps to have the matter reviewed by a of the client and prescribing the resulting obligations of such
higher authority in the organization. If the matter is of sufficient lawyers may be more difficult in the government context and
seriousness and importance or urgency to the organization, is a matter beyond the scope of these Rules. See Scope.
referral to higher authority in the organization may be neces- Although in some circumstances the client may be a specific
sary even if the lawyer has not communicated with the constit- agency, it may also be a branch of government, such as the
uent. Any measures taken should, to the extent practicable, executive branch, or the government as a whole. For example,
minimize the risk of revealing information relating to the repre- if the action or failure to act involves the head of a bureau,
sentation to persons outside the organization. Even in circum- either the department of which the bureau is a part or the
relevant branch of government may be the client for purposes
stances where a lawyer is not obligated by Rule 1.13 to
of this Rule. Moreover, in a matter involving the conduct of
proceed, a lawyer may bring to the attention of an organiza-
government officials, a government lawyer may have authority
tional client, including its highest authority, matters that the
under applicable law to question such conduct more exten-
lawyer reasonably believes to be of sufficient importance to
sively than that of a lawyer for a private organization in similar
warrant doing so in the best interest of the organization.
circumstances. Thus, when the client is a governmental orga-
Subsection (b) also makes clear that when it is reasonably nization, a different balance may be appropriate between
necessary to enable the organization to address the matter maintaining confidentiality and assuring that the wrongful act
in a timely and appropriate manner, the lawyer must refer is prevented or rectified, for public business is involved. In
the matter to higher authority, including, if warranted by the addition, duties of lawyers employed by the government or
circumstances, the highest authority that can act on behalf lawyers in military service may be defined by statutes and
of the organization under applicable law. The organization’s regulations. This Rule does not limit that authority. See Scope.
highest authority to whom a matter may be referred ordinarily Clarifying the Lawyer’s Role. There are times when the
will be the board of directors or similar governing body. How- organization’s interest may be or become adverse to those of
ever, applicable law may prescribe that under certain condi- one or more of its constituents. In such circumstances the
tions the highest authority reposes elsewhere; for example, lawyer should advise any constituent, whose interest the law-
in the independent directors of a corporation. yer finds adverse to that of the organization of the conflict or
Relation to Other Rules. The authority and responsibility potential conflict of interest, that the lawyer cannot represent
provided in this Rule are concurrent with the authority and such constituent, and that such person may wish to obtain
responsibility provided in other Rules. In particular, this Rule independent representation. Care must be taken to assure that
does not limit or expand the lawyer’s responsibility under Rules the individual understands that, when there is such adversity of
1.8, 1.16, 3.3 and 4.1. Subsection (c) of this Rule supplements interest, the lawyer for the organization cannot provide legal
Rule 1.6 (b) by providing an additional basis upon which the representation for that constituent individual, and that discus-
lawyer may reveal information relating to the representation, sions between the lawyer for the organization and the individ-
but does not modify, restrict, or limit the provisions of Rule ual may not be privileged.
1.6 (b) (1)–(6). Under subsection (c) the lawyer may reveal Whether such a warning should be given by the lawyer for
such information only when the organization’s highest author- the organization to any constituent individual may turn on the
ity insists upon or fails to address threatened or ongoing action facts of each case.
that is clearly a violation of law, and then only to the extent the Dual Representation. Subsection (e) recognizes that a
lawyer reasonably believes necessary to prevent reasonably lawyer for an organization may also represent a principal offi-
certain substantial injury to the organization. It is not necessary cer or major shareholder.
27
Derivative Actions. Under generally prevailing law, the those of ten or twelve, are regarded as having opinions that
shareholders or members of a corporation may bring suit to are entitled to weight in legal proceedings concerning their
compel the directors to perform their legal obligations in the custody. So also, it is recognized that some persons of
supervision of the organization. Members of unincorporated advanced age can be quite capable of handling routine finan-
associations have essentially the same right. Such an action cial matters while needing special legal protection concerning
may be brought nominally by the organization, but usually is, in major transactions.
fact, a legal controversy over management of the organization. The fact that a client suffers a disability does not diminish
The question can arise whether counsel for the organization the lawyer’s obligation under these rules. Even if the person
may defend such an action. The proposition that the organiza- has a legal representative, the lawyer should as far as possible
tion is the lawyer’s client does not alone resolve the issue. Most accord the represented person the status of client, particularly
derivative actions are a normal incident of an organization’s in maintaining communication.
affairs, to be defended by the organization’s lawyer like any The client may wish to have family members or other per-
other suit. However, if the claim involves serious charges of sons participate in discussions with the lawyer. When neces-
wrongdoing by those in control of the organization, a conflict sary to assist in the representation, the presence of such
may arise between the lawyer’s duty to the organization and persons generally does not constitute a waiver of the attorney-
the lawyer’s relationship with the board. In those circum- client evidentiary privilege. Nevertheless, the lawyer must
stances, Rule 1.7 governs who should represent the directors keep the client’s interests foremost and, except for protective
and the organization. action authorized under subsection (b), must look to the client,
and not family members, to make decisions on the client’s
Rule 1.14. Client with Impaired Capacity behalf.
(Amended June 26, 2006, to take effect Jan. 1, 2007; If a legal representative has already been appointed for the
amended June 30, 2008, to take effect Jan. 1, 2009.) client, the lawyer should look to the representative for deci-
(a) When a client’s capacity to make or commu- sions on behalf of the client only when such decisions are
within the scope of the authority of the legal representative.
nicate adequately considered decisions in con- In matters involving a minor, whether the lawyer should look
nection with a representation is impaired, whether to the parents as natural guardians may depend on the type
because of minority, mental impairment or for of proceeding or matter in which the lawyer is representing
some other reason, the lawyer shall, as far as the minor. If the lawyer represents the guardian as distinct from
reasonably possible, maintain a normal client-law- the ward, and is aware that the guardian is acting adversely to
the ward’s interest, the lawyer may have an obligation to pre-
yer relationship with the client. vent or rectify the guardian’s misconduct. See Rule 1.2 (d).
(b) When the lawyer reasonably believes that Taking Protective Action. If a lawyer reasonably believes
the client is unable to make or communicate ade- that a client is likely to suffer substantial physical, financial or
quately considered decisions, is likely to suffer other harm unless action is taken, and that a normal client-
substantial physical, financial or other harm lawyer relationship cannot be maintained as provided in sub-
unless action is taken and cannot adequately act section (a) because the client lacks sufficient capacity to com-
municate or to make adequately considered decisions in
in the client’s own interest, the lawyer may take connection with the representation, then subsection (b) per-
reasonably necessary protective action, including mits the lawyer to take protective measures deemed neces-
consulting with individuals or entities that have sary. Such measures could include: consulting with family
the ability to take action to protect the client and, members, using a reconsideration period to permit clarification
in appropriate cases, seeking the appointment of or improvement of circumstances, using voluntary surrogate
decision-making tools such as durable powers of attorney or
a legal representative. consulting with support groups, professional services, adult-
(c) Information relating to the representation of protective agencies or other individuals or entities that have
a client with impaired capacity is protected by Rule the ability to protect the client. In taking any protective action,
1.6. When taking protective action pursuant to the lawyer should be guided by such factors as the wishes
subsection (b), the lawyer is impliedly authorized and values of the client to the extent known, the client’s best
under Rule 1.6 (a) to reveal information about the interests and the goals of intruding into the client’s decision-
making autonomy to the least extent feasible, maximizing cli-
client, but only to the extent reasonably necessary ent capacities and respecting the client’s family and social con-
to protect the client’s interests. nections.
(P.B. 1978-1997, Rule 1.14.) (Amended June 26, 2006, to In determining the extent of the client’s impaired capacity,
take effect Jan. 1, 2007; amended June 30, 2008, to take the lawyer should consider and balance such factors as: the
effect Jan. 1, 2009.) client’s ability to articulate reasoning leading to a decision,
COMMENTARY: The normal client-lawyer relationship is variability of state of mind and ability to appreciate conse-
based on the assumption that the client, when properly advised quences of a decision; the substantive fairness of a decision;
and assisted, is capable of making decisions about important and the consistency of a decision with the known long-term
matters. When the client is a minor or is unable to make commitments and values of the client. In appropriate circum-
or communicate adequately considered decisions, however, stances, the lawyer may seek guidance from an appropriate
maintaining the ordinary client-lawyer relationship may not be diagnostician.
possible in all respects. In particular, a severely incapacitated If a legal representative has not been appointed, the lawyer
person may have no power to make legally binding decisions. should consider whether appointment of a legal representative
Nevertheless, a client with impaired capacity often has the is necessary to protect the client’s interests. In addition, rules
ability to understand, deliberate upon, and reach conclusions of procedure in litigation sometimes provide that minors or
about matters affecting the client’s own well-being. For exam- persons with impaired capacity must be represented by a
ple, children as young as five or six years of age, and certainly guardian or next friend if they do not have a general guardian.
28
In many circumstances, however, appointment of a legal repre- (2) An ‘‘eligible institution’’ means (i) a bank or
sentative may be more expensive or traumatic for the client savings and loan association authorized by fed-
than circumstances in fact require. Evaluation of such circum-
eral or state law to do business in Connecticut,
stances is a matter entrusted to the professional judgment of
the lawyer. In considering alternatives, however, the lawyer the deposits of which are insured by an agency
should be aware of any law that requires the lawyer to advocate of the United States government, or (ii) an open-
the least restrictive action on behalf of the client. end investment company registered with the
Disclosure of the Client’s Condition. Disclosure of the United States Securities and Exchange Commis-
client’s impaired capacity could adversely affect the client’s sion and authorized by federal or state law to do
interests. For example, raising the question of impaired capac- business in Connecticut. In addition, an eligible
ity could, in some circumstances, lead to proceedings for invol- institution shall meet the requirements set forth
untary conservatorship and/or commitment. Information
relating to the representation is protected by Rule 1.6. There-
in subsection (i) (3) below. The determination of
fore, unless authorized to do so by these rules or other law, whether or not an institution is an eligible institu-
the lawyer may not disclose such information. When taking tion shall be made by the organization designated
protective action pursuant to subsection (b), the lawyer is by the judges of the superior court to administer
impliedly authorized to make the necessary disclosures, even the program pursuant to subsection (i) (4) below,
when the client directs the lawyer to the contrary. Neverthe- subject to the dispute resolution process provided
less, given the risks of disclosure, subsection (c) limits what in subsection (i) (4) (E) below.
the lawyer may disclose in consulting with other individuals
or entities or seeking the appointment of a legal representative.
(3) ‘‘Federal Funds Target Rate’’ means the
At the very least, the lawyer should determine whether it is target level for the federal funds rate set by the
likely that the person or entity consulted with will act adversely Federal Open Market Committee of the Board of
to the client’s interests before discussing matters related to the Governors of the Federal Reserve System from
client. The lawyer’s position in such cases is an unavoidably time to time or, if such rate is no longer available,
difficult one. any comparable successor rate. If such rate or
Emergency Legal Assistance. In an emergency where the successor rate is set as a range, the term ‘‘Federal
health, safety or a financial interest of a person with impaired Funds Target Rate’’ means the upper limit of
capacity is threatened with imminent and irreparable harm, a
lawyer may take legal action on behalf of such a person even
such range.
though the person is unable to establish a client-lawyer rela- (4) ‘‘Interest- or dividend-bearing account’’
tionship or to make or express considered judgments about means (i) an interest-bearing checking account,
the matter, when the person or another acting in good faith or (ii) an investment product which is a daily (over-
on that person’s behalf has consulted with the lawyer. Even night) financial institution repurchase agreement
in such an emergency, however, the lawyer should not act or an open-end money market fund. A daily finan-
unless the lawyer reasonably believes that the person has cial institution repurchase agreement must be fully
no other lawyer, agent or other representative available. The
lawyer should take legal action on behalf of the person only
collateralized by U.S. Government Securities and
to the extent reasonably necessary to maintain the status quo may be established only with an eligible institution
or otherwise avoid imminent and irreparable harm. A lawyer that is ‘‘well-capitalized’’ or ‘‘adequately capital-
who undertakes to represent a person in such an exigent ized’’ as those terms are defined by applicable
situation has the same duties under these Rules as the lawyer federal statutes and regulations. An open-end
would with respect to a client. money market fund must be invested solely in
A lawyer who acts on behalf of a person with impaired U.S. Government Securities or repurchase
capacity in an emergency should keep the confidences of the agreements fully collateralized by U.S. Govern-
person as if dealing with a client, disclosing them only to the
extent necessary to accomplish the intended protective action.
ment Securities, must hold itself out as a ‘‘money
The lawyer should disclose to any tribunal involved and to market fund’’ as that term is defined by federal
any other counsel involved the nature of his or her relationship statutes and regulations under the Investment
with the person. The lawyer should take steps to regularize Company Act of 1940 and, at the time of the
the relationship or implement other protective solutions as investment, must have total assets of at least
soon as possible. Normally, a lawyer would not seek compen- $250,000,000.
sation for such emergency actions taken. (5) ‘‘IOLTA account’’ means an interest- or divi-
Rule 1.15. Safekeeping Property dend-bearing account established by a lawyer or
law firm for clients’ funds at an eligible institution
(a) As used in this Rule, the terms below shall from which funds may be withdrawn upon request
have the following meanings: by the depositor without delay. An IOLTA account
(1) ‘‘Allowable reasonable fees’’ for IOLTA shall include only client or third person funds,
accounts are per check charges, per deposit except as permitted by subsection (i) (6) below.
charges, a fee in lieu of a minimum balance, fed- The determination of whether or not an interest- or
eral deposit insurance fees, sweep fees, and a dividend-bearing account meets the requirements
reasonable IOLTA account administrative or of an IOLTA account shall be made by the organi-
maintenance fee. zation designated by the judges of the superior
29
court to administer the program pursuant to sub- as to which there are no competing interests.
section (i) (4) below. Where there are competing interests in the prop-
(6) ‘‘Non-IOLTA account’’ means an interest- erty or a portion of the property, the lawyer shall
or dividend-bearing account, other than an IOLTA segregate and safeguard the property subject to
account, from which funds may be withdrawn the competing interests.
upon request by the depositor without delay. (g) The word ‘‘interest(s)’’ as used in this sub-
(7) ‘‘U.S. Government Securities’’ means direct section and subsections (e) and (f) means more
obligations of the United States government, or than the mere assertion of a claim by a third party.
obligations issued or guaranteed as to principal In the event a lawyer is notified by a third party
and interest by the United States or any agency or a third party’s agent of a claim to funds held
or instrumentality thereof, including United States by the lawyer on behalf of a client, but it is unclear
government-sponsored enterprises, as such term to the lawyer whether the third party has a valid
is defined by applicable federal statutes and regu- interest within the meaning of this Rule, the lawyer
lations. may make a written request that the third party
(b) A lawyer shall hold property of clients or or third party’s agent provide the lawyer such rea-
third persons that is in a lawyer’s possession in sonable information and/or documentation as
connection with a representation separate from needed to assist the lawyer in determining
the lawyer’s own property. Funds shall be kept in whether substantial grounds exist for the third par-
a separate account maintained in the state where ty’s claim to the funds. If the third party or third
the lawyer’s office is situated or elsewhere with party’s agent fails to comply with such a request
the consent of the client or third person. Other within sixty days, the lawyer may distribute the
property shall be identified as such and appropri- funds in question to the client.
ately safeguarded. Complete records of such (h) Notwithstanding subsections (b), (c), (d), (e)
account funds and other property shall be kept and (f), lawyers and law firms shall participate in
by the lawyer and shall be preserved for a period the statutory program for the use of interest
of seven years after termination of the represen-
earned on lawyers’ clients’ funds accounts to pro-
tation.
vide funding for the delivery of legal services to
(c) A lawyer may deposit the lawyer’s own funds
the poor by nonprofit corporations whose principal
in a client trust account for the sole purposes of
paying bank service charges on that account or purpose is providing legal services to the poor
obtaining a waiver of fees and service charges and for law school scholarships based on financial
on the account, but only in an amount necessary need. Lawyers and law firms shall place a client’s
for those purposes. or third person’s funds in an IOLTA account if the
(d) Absent a written agreement with the client lawyer or law firm determines, in good faith, that
otherwise, a lawyer shall deposit into a client trust the funds cannot earn income for the client in
account legal fees and expenses that have been excess of the costs incurred to secure such
paid in advance, to be withdrawn by the lawyer income. For the purpose of making this good faith
only as fees are earned or expenses incurred. determination of whether a client’s funds cannot
(e) Upon receiving funds or other property in earn income for the client in excess of the costs
which a client or third person has an interest, incurred to secure such income, the lawyer or law
a lawyer shall promptly notify the client or third firm shall consider the following factors: (1) The
person. Except as stated in this Rule or otherwise amount of the funds to be deposited; (2) the
permitted by law or by agreement with the client expected duration of the deposit, including the
or third person, a lawyer shall promptly deliver to likelihood of delay in resolving the relevant trans-
the client or third person any funds or other prop- action, proceeding or matter for which the funds
erty that the client or third person is entitled to are held; (3) the rates of interest, dividends or
receive and, upon request by the client or third yield at eligible institutions where the funds are
person, shall promptly render a full accounting to be deposited; (4) the costs associated with
regarding such property. establishing and administering interest-bearing
(f) When in the course of representation a law- accounts or other appropriate investments for the
yer is in possession of property in which two or benefit of the client, including service charges,
more persons (one of whom may be the lawyer) minimum balance requirements or fees imposed
have interests, the property shall be kept separate by the eligible institutions; (5) the costs of the
by the lawyer until any competing interests are services of the lawyer or law firm in connection
resolved. The lawyer shall promptly distribute all with establishing and maintaining the account or
portions of the property as to which the lawyer is other appropriate investments; (6) the costs of
able to identify the parties that have interests and preparing any tax reports required for income
30
earned on the funds in the account or other appro- considered by the institution when setting interest
priate investments; and (7) any other circum- rates or dividends for its non-IOLTA customers,
stances that affect the capability of the funds to provided that such factors do not discriminate
earn income for the client in excess of the costs between IOLTA accounts and non-IOLTA
incurred to secure such income. No lawyer shall accounts and that these factors do not includethe
be subject to discipline for determining in good fact that the account is an IOLTA account. In lieu
faith to deposit funds in the interest earned on of the rate set forth in the first sentence of this
lawyers’ clients’ funds account in accordance with subparagraph, an eligible institution may pay a
this subsection. rate equal to the higher of either (i) one percent
(i) An IOLTA account may only be established per annum, or (ii) sixty percent of the Federal
at an eligible institution that meets the following Funds Target Rate. Such alternate rate shall be
requirements: determined for each calendar quarter as of the
(1) No earnings from the IOLTA account shall first business day of such quarter and shall be
be made available to a lawyer or law firm. deemed net of allowable reasonable fees and ser-
(2) Lawyers or law firms depositing a client’s or vice charges. The eligible institution may offer,
third person’s funds in an IOLTA account shall and the lawyer or law firm may request, a sweep
direct the depository institution: account that provides a mechanism for the over-
(A) To remit interest or dividends, net of allow- night investment of balances in the IOLTA account
able reasonable fees, if any, on the average in an interest- or dividend-bearing account that is
monthly balance in the account, or as otherwise a daily financial institution repurchase agreement
computed in accordance with the institution’s or a money market fund. Nothing in this Rule shall
standard accounting practices, at least quarterly, preclude an eligible institution from paying a
to the organization designated by the judges of higher interest rate or dividend than described
the superior court to administer this statutory above or electing to waive any fees and service
program; charges on an IOLTA account. An eligible institu-
(B) To transmit to the organization administer- tion may choose to pay the higher interest or divi-
ing the program with each remittance a report that dend rate on an IOLTA account in lieu of
identifies the name of the lawyer or law firm for establishing it as a higher rate product.
whom the remittance is sent, the amount of remit- (B) Interest and dividends shall be calculated in
tance attributable to each IOLTA account, the rate accordance with the eligible institution’s standard
and type of interest or dividends applied, the practices for non-IOLTA customers.
amount of interest or dividends earned, the (C) Allowable reasonable fees are the only fees
amount and type of fees and service charges and service charges that may be deducted by
deducted, if any, and the average account bal- an eligible institution from interest earned on an
ance for the period for which the report is made IOLTA account. Allowable reasonable fees may
and such other information as is reasonably be deducted from interest or dividends on an
required by such organization; and IOLTA account only at the rates and in accord-
(C) To transmit to the depositing lawyer or law ance with the customary practices of the eligible
firm at the same time a report in accordance with institution for non-IOLTA customers. No fees or
the institution’s normal procedures for reporting service charges other than allowable reasonable
to its depositors. fees may be assessed against the accrued inter-
(3) Participation by banks, savings and loan est or dividends on an IOLTA account. Any fees
associations, and investment companies in the and service charges other than allowable reason-
IOLTA program is voluntary. An eligible institution able fees shall be the sole responsibility of, and
that elects to offer and maintain IOLTA accounts may only be charged to, the lawyer or law firm
shall meet the following requirements: maintaining the IOLTA account. Fees and service
(A) The eligible institution shall pay no less on charges in excess of the interest or dividends
its IOLTA accounts than the highest interest rate earned on one IOLTA account for any period shall
or dividend generally available from the institution not be taken from interest or dividends earned on
to its non-IOLTA customers when the IOLTA any other IOLTA account or accounts or from the
account meets or exceeds the same minimum principal of any IOLTA account.
balance or other eligibility qualifications on its non- (4) The judges of the superior court, upon rec-
IOLTA accounts, if any. In determining the highest ommendation of the chief court administrator,
interest rate or dividend generally available from shall designate an organization qualified under
the institution to its non-IOLTA customers, an eli- Sec. 501 (c) (3) of the Internal Revenue Code, or
gible institution may consider, in addition to the any subsequent corresponding Internal Revenue
balance in the IOLTA account, factors customarily Code of the United States, as from time to time
31
amended, to administer the program. The chief above will be exclusively devoted to providing
court administrator shall cause to be printed in funding for the delivery of legal services to the
the Connecticut Law Journal an appropriate poor by nonprofit corporations whose principal
announcement identifying the designated organi- purpose is providing legal services to the poor
zation. The organization administering the pro- and for law school scholarships based on financial
gram shall comply with the following: need and to the collection, management and dis-
(A) Each June mail to each judge of the superior tribution of such funds;
court and to each lawyer or law firm participating (B) Establishing that all interest and dividends
in the program a detailed annual report of all funds earned on such funds, less allowable reasonable
disbursed under the program including the fees, if any, shall be used exclusively for such
amount disbursed to each recipient of funds; purposes;
(B) Each June submit the following in detail (C) Establishing and describing the methods
to the chief court administrator for approval and the organization will utilize to implement and
comment by the Executive Committee of the administer the program and to allocate funds to
superior court: (i) its proposed goals and objec- be disbursed under the program, the frequency
tives for the program; (ii) the procedures it has with which the funds will be disbursed by the orga-
established to avoid discrimination in the award- nization for such purposes, and the segregation
ing of grants; (iii) information regarding the insur- of such funds from other funds of the organization;
ance and fidelity bond it has procured; (iv) a (D) Establishing that the organization shall con-
description of the recommendations and advice sult with and receive recommendations from the
it has received from the Advisory Panel estab- Advisory Panel established by General Statutes
lished by General Statutes § 51-81c and the § 51-81c regarding the implementation and
action it has taken to implement such recommen- administration of the program, including the
dations and advice; (v) the method it utilizes to
method of allocation and the allocation of funds
allocate between the two uses of funds provided
to be disbursed under such program;
for in § 51-81c and the frequency with which it
disburses funds for such purposes; (vi) the proce- (E) Establishing that the organization shall com-
dures it has established to monitor grantees to ply with the requirements of this Rule; and
ensure that any limitations or restrictions on the (F) Establishing that said resolution will not be
use of the granted funds have been observed amended, and the facts and undertakings set forth
by the grantees, such procedures to include the in it will not be altered, until the same shall have
receipt of annual audits of each grantee showing been approved by the judges of the superior court
compliance with grant awards and setting forth and ninety days have elapsed after publication by
quantifiable levels of services that each grantee the chief court administrator of the notice of such
has provided with grant funds; (vii) the procedures approval in the Connecticut Law Journal.
it has established to ensure that no funds that (6) Nothing in this subsection (i) shall prevent
have been awarded to grantees are used for lob- a lawyer or law firm from depositing a client’s or
bying purposes; and (viii) the procedures it has third person’s funds, regardless of the amount of
established to segregate funds to be disbursed such funds or the period for which such funds are
under the program from other funds of the organi- expected to be held, in a separate non-IOLTA
zation; account established on behalf of and for the bene-
(C) Allow the judicial branch access to its books fit of the client or third person. Such an account
and records upon reasonable notice; shall be established as:
(D) Submit to audits by the judicial branch; and (A) A separate clients’ funds account for the
(E) Provide for a dispute resolution process for particular client or third person on which the inter-
resolving disputes as to whether a bank, savings est or dividends will be paid to the client or third
and loan association, or open-end investment person; or
company is an eligible institution within the mean- (B) A pooled clients’ funds account with subac-
ing of this Rule. counting by the bank, savings and loan associa-
(5) Before an organization may be designated tion or investment company or by the lawyer or
to administer this program, it shall file with the law firm, which provides for the computation of
chief court administrator, and the judges of the interest or dividends earned by each client’s or
superior court shall have approved, a resolution third person’s funds and the payment thereof to
of the board of directors of such an organization the client or third person.
which includes provisions: (j) A lawyer who practices in this jurisdiction
(A) Establishing that all funds the organization shall maintain current financial records as pro-
might receive pursuant to subsection (i) (2) (A) vided in this Rule and shall retain the following
32
records for a period of seven years after termina- media provided that they otherwise comply with
tion of the representation: these Rules and that printed copies can be pro-
(1) receipt and disbursement journals con- duced. These records shall be readily accessible
taining a record of deposits to and withdrawals to the lawyer.
from client trust accounts, specifically identifying (m) Upon dissolution of a law firm or of any
the date, source, and description of each item legal professional corporation, the partners shall
deposited, as well as the date, payee and purpose make reasonable arrangements for the mainte-
of each disbursement; nance of client trust account records specified in
(2) ledger records for all client trust accounts this Rule.
showing, for each separate trust client or benefi- (n) Upon the sale of a law practice, the seller
ciary, the source of all funds deposited, the names shall make reasonable arrangements for the
of all persons for whom the funds are or were maintenance of records specified in this Rule.
held, the amount of such funds, the descriptions (P.B. 1978-1997, Rule 1.15.) (Amended June 26, 2006, to
and amounts of charges or withdrawals, and the take effect Sept. 1, 2006; amended June 29, 2007, to take
effect Sept. 1, 2007; amended June 30, 2008, to take effect
names of all persons or entities to whom such Aug. 1, 2008; amended June 21, 2010, to take effect Aug. 1,
funds were disbursed; 2010; amended June 20, 2011, to take effect Jan. 1, 2012;
(3) copies of retainer and compensation amended June 12, 2015, to take effect Jan. 1, 2016.)
agreements with clients as required by Rule 1.5 HISTORY—2016: In subsections (a) (2) and (a) (5), what
of the Rules of Professional Conduct; had been references to subsection (h) now refer to subsection
(i). Prior to 2016, subsection (f) read: ‘‘When in the course of
(4) copies of accountings to clients or third per- representation a lawyer is in possession of property in which
sons showing the disbursement of funds to them two or more persons (one of whom may be the lawyer) claim
or on their behalf; interests, the property shall be kept separate by the lawyer until
(5) copies of bills for legal fees and expenses the dispute is resolved. The lawyer shall promptly distribute
rendered to clients; all portions of the property as to which the interests are not
(6) copies of records showing disbursements in dispute.’’
Also in 2016, what is now subsection (g) was added, and
on behalf of clients; what had been subsections (g) through (m) were designated
(7) the physical or electronic equivalents of all subsections (h) through (n), respectively. In addition, in what
checkbook registers, bank statements, records of are now subsections (i) (5) (A) and (i) (6), what had been
deposit, prenumbered canceled checks, and sub- references to subsection (h) now refer to subsection (i).
stitute checks provided by a financial institution; COMMENTARY: A lawyer should hold property of others
(8) records of all electronic transfers from client with the care required of a professional fiduciary. Securities
should be kept in a safe deposit box, except when some other
trust accounts, including the name of the person form of safekeeping is warranted by special circumstances.
authorizing transfer, the date of transfer, the name All property that is the property of clients or third persons,
of the recipient and confirmation from the financial including prospective clients, must be kept separate from the
institution of the trust account number from which lawyer’s business and personal property and, if moneys, in
money was withdrawn and the date and the time one or more trust accounts. Separate trust accounts may be
the transfer was completed; warranted when administering estate moneys or acting in simi-
lar fiduciary capacities. A lawyer should maintain on a current
(9) copies of monthly trial balances and at least basis books and records in accordance with generally
quarterly reconciliations of the client trust accepted accounting practices.
accounts maintained by the lawyer; and While normally it is impermissible to commingle the lawyer’s
(10) copies of those portions of client files that own funds with client funds, subsection (c) provides that it is
are reasonably related to client trust account permissible when necessary to pay bank service charges on
that account. Accurate records must be kept regarding which
transactions. part of the funds is the lawyer’s.
(k) With respect to client trust accounts required Lawyers often receive funds from which the lawyer’s fee
by this Rule: will be paid. The lawyer is not required to remit to the clients’
(1) only a lawyer admitted to practice law in this funds account funds that the lawyer reasonably believes repre-
jurisdiction or a person under the direct supervi- sent fees owed. However, a lawyer may not hold funds to
sion of the lawyer shall be an authorized signatory coerce a client into accepting the lawyer’s contention. The
disputed portion of the funds must be kept in a trust account
or authorize transfers from a client trust account; and the lawyer should suggest means for prompt resolution
(2) receipts shall be deposited intact and of the dispute, such as arbitration. The undisputed portion of
records of deposit should be sufficiently detailed the funds shall be promptly distributed.
to identify each item; and Subsection (f) also recognizes that third parties, such as a
(3) withdrawals shall be made only by check client’s creditor who has a lien on funds recovered in a personal
injury action, may have lawful interests in specific funds or
payable to a named payee or by authorized elec- other property in a lawyer’s custody. A lawyer may have a
tronic transfer and not to cash. duty under applicable law to protect such third-party interests
(l) The records required by this Rule may be against wrongful interference by the client. In such cases the
maintained by electronic, photographic, or other lawyer must refuse to surrender the property to the client until
33
the competing interests are resolved. A lawyer should not transactions are payment instructions to either debit or credit
unilaterally assume to arbitrate a dispute between the client a deposit account. ACH payments are used in a variety of
and the third party, but, when there are substantial grounds payment environments including bill payments, business-to-
for dispute as to the person entitled to the funds, the lawyer business payments, and government payments (e.g. tax
may file an action to have a court resolve the dispute. refunds). In addition to the primary use of ACH transactions,
The word ‘‘interest(s)’’ as used in subsections (e), (f) and retailers and third parties use the ACH system for other types
(g) includes, but is not limited to, the following: a valid judgment of transactions including electronic check conversion (ECC).
concerning disposition of the property; a valid statutory or ECC is the process of transmitting MICR information from
judgment lien, or other lien recognized by law, against the the bottom of a check, converting check payments to ACH
property; a letter of protection or similar obligation that is both transactions depending upon the authorization given by the
(a) directly related to the property held by the lawyer, and account holder at the point-of-purchase. In this type of transac-
(b) an obligation specifically entered into to aid the lawyer in tion, the lawyer should be careful to comply with the require-
obtaining the property; or a written assignment, signed by the ments of subsection (j) (8).
client, conveying an interest in the funds or other property to There are five types of check conversions where a lawyer
another person or entity. should be careful to comply with the requirements of subsec-
The obligations of a lawyer under this Rule are independent tion (j) (8). First, in a ‘‘point-of-purchase conversion,’’ a paper
of those arising from activity other than rendering legal ser- check is converted into a debit at the point of purchase, and
vices. For example, a lawyer who serves only as an escrow the paper check is returned to the issuer. Second, in a ‘‘back-
agent is governed by the applicable law relating to fiduciaries office conversion,’’ a paper check is presented at the point-
even though the lawyer does not render legal services in the of-purchase and is later converted into a debit, and the paper
transaction and is not governed by this Rule. A ‘‘lawyers’ fund’’ check is destroyed. Third, in a ‘‘account-receivable conver-
for client protection provides a means through the collective sion,’’ a paper check is converted into a debit, and the paper
efforts of the bar to reimburse persons who have lost money check is destroyed. Fourth, in a ‘‘telephone-initiated debit’’
or property as a result of dishonest conduct of a lawyer. Where or ‘‘check-by-phone’’ conversion, bank account information is
such a fund has been established, a lawyer must participate provided via the telephone, and the information is converted
where it is mandatory, and, even when it is voluntary, the to a debit. Fifth, in a ‘‘web-initiated debit,’’ an electronic pay-
lawyer should participate. ment is initiated through a secure web environment. Subsec-
Subsection (i) requires lawyers and law firms to participate tion (j) (8) applies to each of the types of electronic funds
in the statutory IOLTA program. The lawyer or law firm should transfers described. All electronic funds transfers shall be
review its IOLTA account at reasonable intervals to determine recorded, and a lawyer should not reuse a check number which
whether changed circumstances require further action with has been previously used in an electronic transfer transaction.
respect to the funds of any client or third person. The potential of these records to serve as safeguards is
Subsection (j) lists the basic financial records that a lawyer realized only if the procedures set forth in subsection (j) (9) are
must maintain with regard to all trust accounts of a law firm. regularly performed. The trial balance is the sum of balances of
These include the standard books of account, and the support- each client’s ledger card (or the electronic equivalent). Its value
ing records that are necessary to safeguard and account for lies in comparing it on a monthly basis to a control balance.
the receipt and disbursement of client or third person funds The control balance starts with the previous month’s balance,
as required by Rule 1.15 of the Rules of Professional Conduct. then adds receipts from the Trust Receipts Journal and sub-
Subsection (j) requires that lawyers maintain client trust tracts disbursements from the Trust Disbursements Journal.
account records, including the physical or electronic equiva- Once the total matches the trial balance, the reconciliation
lents of all checkbook registers, bank statements, records of readily follows by adding amounts of any outstanding checks
deposit, prenumbered canceled checks, and substitute checks and subtracting any deposits not credited by the bank at
for a period of at least seven years after termination of each month’s end. This balance should agree with the bank state-
particular legal engagement or representation. The ‘‘Check ment. Quarterly reconciliation is recommended only as a mini-
Clearing for the 21st Century Act’’ or ‘‘Check 21 Act,’’ codified mum requirement; monthly reconciliation is the preferred
at 12 U.S.C. § 5001 et seq., recognizes ‘‘substitute checks’’ practice given the difficulty of identifying an error (whether by
as the legal equivalent of an original check. A ‘‘substitute the lawyer or the bank) among three months’ transactions.
check’’ is defined at 12 U.S.C. § 5002 (16) as paper reproduc- In some situations, documentation in addition to that listed
tion of the original check that contains an image of the front in subdivisions (1) through (9) of subsection (i) is necessary
and back of the original check; bears a magnetic ink character for a complete understanding of a trust account transaction.
recognition (‘‘MICR’’) line containing all the information The type of document that a lawyer must retain under subdivi-
appearing on the MICR line of the original check; conforms sion (10) of subsection (i) because it is ‘‘reasonably related’’
with generally applicable industry standards for substitute to a client trust transaction will vary depending on the nature
checks; and is suitable for automated processing in the same of the transaction and the significance of the document in
manner as the original check. Banks, as defined in 12 U.S.C. shedding light on the transaction. Examples of documents
§ 5002 (2), are not required to return to customers the original that typically must be retained under this subdivision include
canceled checks. Most banks now provide electronic images correspondence between the client and lawyer relating to a
of checks to customers who have access to their accounts on disagreement over fees or costs or the distribution of proceeds,
internet based websites. It is the lawyer’s responsibility to settlement agreements contemplating payment of funds, set-
download electronic images. Electronic images shall be main- tlement statements issued to the client, documentation relating
tained for the requisite number of years and shall be readily to sharing litigation costs and attorney fees for subrogated
available for printing upon request or shall be printed and claims, agreements for division of fees between lawyers, guar-
maintained for the requisite number years. antees of payment to third parties out of proceeds recovered
The ACH (Automated Clearing House) Network is an elec- on behalf of a client, and copies of bills, receipts or correspon-
tronic funds transfer or payment system that primarily provides dence related to any payments to third parties on behalf of a
for the interbank clearing of electronic payments between origi- client (whether made from the client’s funds or from the law-
nating and receiving participating financial institutions. ACH yer’s funds advanced for the benefit of the client).
34
Subsection (k) lists minimal accounting controls for client seventeenth paragraphs, what had been references to subsec-
trust accounts. It also enunciates the requirement that only a tion (i) now refer to subsection (j). In the fourteenth and six-
lawyer admitted to the practice of law in this jurisdiction or a teenth paragraphs, what had been references to subsection
person who is under the direct supervision of the lawyer shall (j) now refer to subsection (k). In the first sentence of the
be the authorized signatory or authorized to make electronic seventeenth paragraph, what had been a reference to subsec-
transfers from a client trust account. While it is permissible to tion (k) now refers to subsection (l). In the first sentence of
grant limited nonlawyer access to a client trust account, such the eighteenth paragraph, what had been references to sub-
access should be limited and closely monitored by the lawyer. sections (l) and (m) now refer to subsections (m) and (n),
The lawyer has a nondelegable duty to protect and preserve respectively.
the funds in a client trust account and can be disciplined for AMENDMENT NOTE: The revisions to this rule and its
failure to supervise subordinates who misappropriate client commentary address issues related to unwarranted obstruc-
funds. See Rules 5.1 and 5.3 of the Rules of Professional tion of disbursements and unsubstantiated claims. Under sub-
Conduct. section (f) as revised, a lawyer is obligated to hold property
Authorized electronic transfers shall be limited to (1) money only where two or more persons have competing interests
required for payment to a client or third person on behalf of in the property and is not prevented from making a proper
a client; (2) expenses properly incurred on behalf of a client, disbursement because there is a mere claim or dispute lacking
such as filing fees or payment to third persons for services a mature legal interest in the property. The term ‘‘interest(s)’’
rendered in connection with the representation; or (3) money is defined in new subsection (g) of the rule as is a process
transferred to the lawyer for fees that are earned in connection by which the lawyer may request information to assist the
with the representation and are not in dispute; or (4) money lawyer in determining whether substantial grounds exist for
transferred from one client trust account to another client the claim to the property.
trust account.
The requirements in subdivision (2) of subsection (k) that Rule 1.16. Declining or Terminating Repre-
receipts shall be deposited intact mean that a lawyer cannot
deposit one check or negotiable instrument into two or more
sentation
accounts at the same time, a practice commonly known as a (a) Except as stated in subsection (c), a lawyer
split deposit. shall not represent a client or, where representa-
Subsection (l) allows the use of alternative media for the tion has commenced, shall withdraw from the rep-
maintenance of client trust account records if printed copies
of necessary reports can be produced. If trust records are
resentation of a client if:
computerized, a system of regular and frequent (preferably (1) The representation will result in violation of
daily) backup procedures is essential. If a lawyer uses third- the Rules of Professional Conduct or other law;
party electronic or internet based file storage, the lawyer must (2) The lawyer’s physical or mental condition
make reasonable efforts to ensure that the company has in materially impairs the lawyer’s ability to represent
place, or will establish reasonable procedures to protect the
confidentiality of client information. See, ABA Formal Ethics
the client; or
Opinion 398 (1995). Records required by subsection (j) shall (3) The lawyer is discharged.
be readily accessible and shall be readily available to be pro- (b) Except as stated in subsection (c), a lawyer
duced upon request by the client or third person who has an may withdraw from representing a client if:
interest as provided in Rule 1.15 of the Rules of Professional
Conduct, or by the official request of a disciplinary authority,
(1) withdrawal can be accomplished without
including but not limited to, a subpoena duces tecum. Personal material adverse effect on the interests of the
identifying information in records produced upon request by client;
the client or third person or by disciplinary authority shall (2) the client persists in a course of action
remain confidential and shall be disclosed only in a manner involving the lawyer’s services that the lawyer rea-
to ensure client confidentiality as otherwise required by law
or court rule.
sonably believes is criminal or fraudulent;
Subsections (m) and (n) provide for the preservation of a (3) the client has used the lawyer’s services to
lawyer’s client trust account records in the event of dissolution perpetrate a crime or fraud;
or sale of a law practice. Regardless of the arrangements the (4) the client insists upon taking action that the
partners or shareholders make among themselves for mainte- lawyer considers repugnant or with which the law-
nance of the client trust records, each partner may be held
responsible for ensuring the availability of these records. For
yer has a fundamental disagreement;
the purposes of these Rules, the terms ‘‘law firm,’’ ‘‘partner,’’ (5) the client fails substantially to fulfill an obliga-
and ‘‘reasonable’’ are defined in accordance with Rules 1.0 tion to the lawyer regarding the lawyer’s services
(d), (h), and (i) of the Rules of Professional Conduct. and has been given reasonable warning that the
HISTORY—2016: In the fourth paragraph of the commen- lawyer will withdraw unless the obligation is ful-
tary, in the first sentence, ‘‘claims against’’ was deleted after
‘‘lawful’’ and was replaced by ‘‘interests in.’’ In the second
filled;
sentence, ‘‘claims’’ was deleted after ‘‘third-party’’ and was (6) the representation will result in an unreason-
replaced by ‘‘interests.’’ In the third sentence, ‘‘claims’’ was able financial burden on the lawyer or has been
deleted after ‘‘until the’’ and was replaced by ‘‘competing inter- rendered unreasonably difficult by the client; or
ests.’’ In the fifth paragraph, in the first sentence, parentheses (7) other good cause for withdrawal exists.
were added to ‘‘interest(s)’’ and references to subsections (e)
and (g) were added. In the seventh and thirteenth paragraphs, (c) A lawyer must comply with applicable law
what had been references to subsection (h) now refer to sub- requiring notice to or permission of a tribunal when
section (i). In the eighth, ninth, tenth, eleventh, twelfth, and terminating a representation. When ordered to do
35
so by a tribunal, a lawyer shall continue represen- If the client has diminished capacity, the client may lack
tation notwithstanding good cause for terminating the legal capacity to discharge the lawyer and, in any event,
the discharge may be seriously adverse to the client’s inter-
the representation. ests. The lawyer should make special effort to help the client
(d) Upon termination of representation, a lawyer consider the consequences and may take reasonably neces-
shall take steps to the extent reasonably practica- sary protective action as provided in Rule 1.14.
ble to protect a client’s interests, such as giving Assisting the Client upon Withdrawal. Even if the lawyer
reasonable notice to the client, allowing time for has been unfairly discharged by the client, a lawyer must take
employment of other counsel, surrendering all reasonable steps to mitigate the consequences to the client.
The lawyer may retain papers as security for a fee only to the
papers and property to which the client is entitled extent permitted by law. See Rule 1.5.
and refunding any advance payment of the fee Confirmation in Writing. A written statement to the client
that has not been earned. The lawyer may retain confirming the termination of the relationship and the basis of
papers relating to the client to the extent permitted the termination reduces the possibility of misunderstanding
by other law. If the representation of the client is the status of the relationship. The written statement should
terminated either by the lawyer withdrawing from be sent to the client before or within a reasonable time after
the termination of the relationship.
representation or by the client discharging the law-
yer, the lawyer shall confirm the termination in Rule 1.17. Sale of Law Practice
writing to the client before or within a reasonable
A lawyer or a law firm may sell or purchase a
time after the termination of the representation.
(P.B. 1978-1997, Rule 1.16.) (Amended June 25, 2001, to law practice, or an area of practice, including good
take effect Jan. 1, 2002; amended June 26, 2006, to take will, if the following conditions are satisfied:
effect Jan. 1, 2007.) (a) The seller ceases to engage in the private
COMMENTARY: A lawyer should not accept representation practice of law, or in the area of practice that has
in a matter unless it can be performed competently, promptly, been sold, in Connecticut;
without improper conflict of interest and to completion. Ordi-
narily, a representation in a matter is completed when the
(b) The entire practice, or the entire area of
agreed upon assistance has been concluded. See Rules 1.2 practice, is sold to one or more lawyers or law
(c) and 6.5. See also Rule 1.3, Commentary. firms;
Mandatory Withdrawal. A lawyer ordinarily must decline (c) The seller gives written notice to each of the
or withdraw from representation if the client demands that the seller’s clients regarding:
lawyer engage in conduct that is illegal or violates the Rules (1) the proposed sale;
of Professional Conduct or other law. The lawyer is not obliged
to decline or withdraw simply because the client suggests such
(2) the client’s right to retain other counsel or
a course of conduct; a client may make such a suggestion in to take possession of the file; and
the hope that a lawyer will not be constrained by a profes- (3) the fact that the client’s consent to the trans-
sional obligation. fer of the client’s files will be presumed if the client
When a lawyer has been appointed to represent a client, does not take any action or does not otherwise
withdrawal ordinarily requires approval of the appointing object within ninety days of receipt of the notice.
authority. See also Rule 6.2. Similarly, court approval or notice
to the court is often required by applicable law before a lawyer
If a client cannot be given notice, the representa-
withdraws from pending litigation. Difficulty may be encoun- tion of that client may be transferred to the pur-
tered if withdrawal is based on the client’s demand that the chaser only upon entry of an order so authorizing
lawyer engage in unprofessional conduct. The court may by a court having jurisdiction. The seller may dis-
request an explanation for the withdrawal, while the lawyer close to the court in camera information relating
may be bound to keep confidential the facts that would consti- to the representation only to the extent necessary
tute such an explanation. Lawyers should be mindful of their
obligations to both clients and the court under Rules 1.6
to obtain an order authorizing the transfer of a file.
and 3.3. (d) The fees charged clients shall not be
Withdrawal of Limited Appearance. When the lawyer has increased by reason of the sale.
filed a limited appearance under Practice Book Section 3-8 (Adopted June 26, 2006, to take effect Jan. 1, 2007.)
(b) and the lawyer has completed the representation described COMMENTARY: The practice of law is a profession, not
in the limited appearance, the lawyer is not required to obtain merely a business. Clients are not commodities that can be
permission of the tribunal to terminate the representation purchased and sold at will. Pursuant to this Rule, when a
before filing the certificate of completion. lawyer or an entire firm ceases to practice, or ceases to prac-
Discharge. A client has a right to discharge a lawyer at tice in an area of law, and other lawyers or firms take over
any time, with or without cause, subject to liability for payment the representation, the selling lawyer or firm may obtain com-
for the lawyer’s services. Where future dispute about the with- pensation for the reasonable value of the practice as may
drawal may be anticipated, it may be advisable to prepare a withdrawing partners of law firms. See Rules 5.4 and 5.6.
written statement reciting the circumstances. Termination of Practice by the Seller. The requirement
Whether a client can discharge appointed counsel may that all of the private practice, or all of an area of practice, be
depend on applicable law. A client seeking to do so should sold is satisfied if the seller in good faith makes the entire
be given a full explanation of the consequences. These conse- practice, or the area of practice, available for sale to the pur-
quences may include a decision by the appointing authority chasers. The fact that a number of the seller’s clients decide
that appointment of successor counsel is unjustified, thus not to be represented by the purchasers but take their matters
requiring the client to represent himself or herself. elsewhere, therefore, does not result in a violation.
36
The requirement that the seller cease to engage in the disposition of their files, the Rule requires an order from a
private practice of law does not prohibit employment as a court having jurisdiction authorizing their transfer or other dis-
lawyer on the staff of a public agency or a legal services entity position. The court can be expected to determine whether
that provides legal services to the poor, or as in-house counsel reasonable efforts to locate the client have been exhausted,
to a business. and whether the absent client’s legitimate interests will be
The Rule permits a sale of an entire practice attendant served by authorizing the transfer of the file so that the pur-
upon retirement from the private practice of law within the chaser may continue the representation. Preservation of client
jurisdiction. Its provisions, therefore, accommodate the lawyer confidences requires that the petition for a court order be
who sells the practice upon the occasion of moving to another considered in camera. This procedure is contemplated as an
state. Some states are so large that a move from one locale in camera review of privileged materials.
therein to another is tantamount to leaving the jurisdiction in All the elements of client autonomy, including the client’s
which the lawyer has engaged in the practice of law. To also absolute right to discharge a lawyer and transfer the represen-
accommodate lawyers so situated, states may permit the sale tation to another, survive the sale of the practice or area of
of the practice when the lawyer leaves the geographic area practice.
rather than the jurisdiction. The alternative desired should be Fee Arrangements between Client and Purchaser. The
indicated by selecting one of the two provided for in Rule sale may not be financed by increases in fees charged exclu-
1.17 (a). sively to the clients of the purchased practice. Existing
This Rule also permits a lawyer or law firm to sell an area agreements between the seller and the client as to fees and
of practice. If an area of practice is sold and the lawyer remains the scope of the work must be honored by the purchaser.
in the active practice of law, the lawyer must cease accepting Other Applicable Ethical Standards. Lawyers participat-
any matters in the area of practice that has been sold, either ing in the sale of a law practice or a practice area are subject
as counsel or co-counsel or by assuming joint responsibility to the ethical standards applicable to involving another lawyer
for a matter in connection with the division of a fee with another in the representation of a client. These include, for example,
lawyer as would otherwise be permitted by Rule 1.5 (e). For the seller’s obligation to exercise competence in identifying a
example, a lawyer with a substantial number of estate planning purchaser qualified to assume the practice and the purchaser’s
matters and a substantial number of probate administration obligation to undertake the representation competently (see
cases may sell the estate planning portion of the practice but Rule 1.1); the obligation to avoid disqualifying conflicts, and
remain in the practice of law by concentrating on probate to secure the client’s informed consent for those conflicts that
administration; however, that practitioner may not thereafter can be agreed to (see Rule 1.7 regarding conflicts and Rule
accept any estate planning matters. Although a lawyer who 1.0 for the definition of informed consent); and the obligation
leaves a jurisdiction or geographical area typically would sell to protect information relating to the representation (see Rules
the entire practice, this Rule permits the lawyer to limit the 1.6 and 1.9).
sale to one or more areas of the practice, thereby preserving
If approval of the substitution of the purchasing lawyer for
the lawyer’s right to continue practice in the areas of the prac-
the selling lawyer is required by the rules of any tribunal in
tice that were not sold.
which a matter is pending, such approval must be obtained
Sale of Entire Practice or Entire Area of Practice. The
before the matter can be included in the sale (see Rule 1.16).
Rule requires that the seller’s entire practice, or an entire area
Applicability of the Rule. This Rule applies to the sale of
of practice, be sold. The prohibition against sale of less than
a law practice by representatives of a deceased, disabled or
an entire practice area protects those clients whose matters
disappeared lawyer. Thus, the seller may be represented by
are less lucrative and who might find it difficult to secure other
counsel if a sale could be limited to substantial fee-generating a nonlawyer representative not subject to these Rules. Since,
matters. The purchasers are required to undertake all client however, no lawyer may participate in a sale of a law practice
matters in the practice or practice area, subject to client con- which does not conform to the requirements of this Rule, the
sent. This requirement is satisfied, however, even if a pur- representatives of the seller as well as the purchasing lawyer
chaser is unable to undertake a particular client matter can be expected to see to it that they are met.
because of a conflict of interest. Admission to or retirement from a law partnership or profes-
Client Confidences, Consent and Notice. Negotiations sional association, retirement plans and similar arrangements,
between a seller and a prospective purchaser prior to disclo- and a sale of tangible assets of a law practice, do not constitute
sure of information relating to a specific representation of an a sale or purchase governed by this Rule.
identifiable client no more violate the confidentiality provisions This Rule does not apply to the transfers of legal representa-
of Rule 1.6 than do preliminary discussions concerning the tion between lawyers when such transfers are unrelated to
possible association of another lawyer or mergers between the sale of a practice or an area of practice.
firms, with respect to which client consent is not required. See
Rule 1.6 (c) (5). Providing the purchaser access to detailed Rule 1.18. Duties to Prospective Client
information relating to the representation, such as the client’s (a) A person who consults with a lawyer con-
file, however, requires client consent. The Rule provides that cerning the possibility of forming a client-lawyer
before such information can be disclosed by the seller to the
purchaser the client must be given actual written notice of the
relationship with respect to a matter is a prospec-
contemplated sale, including the identity of the purchaser, tive client.
and must be told that the decision to consent or make other (b) Even when no client-lawyer relationship
arrangements must be made within ninety days. If nothing is ensues, a lawyer who has learned information
heard from the client within that time, consent to the sale from a prospective client shall not use or reveal
is presumed. that information, except as Rule 1.9 would permit
A lawyer or law firm ceasing to practice cannot be required
to remain in practice because some clients cannot be given with respect to information of a former client.
actual notice of the proposed purchase. Since these clients (c) A lawyer subject to subsection (b) shall not
cannot themselves consent to the purchase or direct any other represent a client with interests materially adverse
37
to those of a prospective client in the same or a the matter is one that the lawyer is willing to undertake. Subsec-
substantially related matter if the lawyer received tion (b) prohibits the lawyer from using or revealing that infor-
mation, except as permitted by Rule 1.9, even if the client or
information from the prospective client that could lawyer decides not to proceed with the representation. The
be significantly harmful to that person in the mat- duty exists regardless of how brief the initial consultation
ter, except as provided in subsection (d). If a law- may be.
yer is disqualified from representation under this In order to avoid acquiring disqualifying information from
paragraph, no lawyer in a firm with which that a prospective client, a lawyer considering whether or not to
lawyer is associated may knowingly undertake or undertake a new matter should limit the initial consultation to
only such information as reasonably appears necessary for
continue representation in such a matter, except that purpose. Where the information indicates that a conflict
as provided in subsection (d). of interest or other reason for nonrepresentation exists, the
(d) When the lawyer has received disqualifying lawyer should so inform the prospective client or decline the
information as defined in subsection (c), represen- representation. If the prospective client wishes to retain the
tation is permissible if: lawyer, and if consent is possible under Rule 1.7, then consent
(1) both the affected client and the prospective from all affected present or former clients must be obtained
before accepting the representation.
client have given informed consent, confirmed in A lawyer may condition consultations with a prospective
writing, or client on the person’s informed consent that no information
(2) the lawyer who received the information took disclosed during the consultation will prohibit the lawyer from
reasonable measures to avoid exposure to more representing a different client in the matter. See Rule 1.0 (f)
disqualifying information than was reasonably for the definition of informed consent. If the agreement
expressly so provides, the prospective client may also consent
necessary to determine whether to represent the to the lawyer’s subsequent use of information received from
prospective client; and the prospective client.
(i) the disqualified lawyer is timely screened Even in the absence of an agreement, under subsection
from any participation in the matter; and (c), the lawyer is not prohibited from representing a client with
(ii) written notice is promptly given to the pro- interests adverse to those of the prospective client in the same
or a substantially related matter unless the lawyer has received
spective client. from the prospective client information that could be signifi-
(Adopted June 26, 2006, to take effect Jan. 1, 2007;
cantly harmful if used in the matter.
amended June 13, 2014, to take effect Jan. 1, 2015.)
Under subsection (c), the prohibition in this Rule is imputed
COMMENTARY: Prospective clients, like clients, may dis-
to other lawyers as provided in Rule 1.10, but, under subsec-
close information to a lawyer, place documents or other prop- tion (d) (1), imputation may be avoided if the lawyer obtains
erty in the lawyer’s custody, or rely on the lawyer’s advice. A the informed consent, confirmed in writing, of both the prospec-
lawyer’s consultations with a prospective client usually are tive and affected clients. In the alternative, imputation may be
limited in time and depth and leave both the prospective client avoided if the conditions of subsection (d) (2) are met and all
and the lawyer free (and sometimes required) to proceed no disqualified lawyers are timely screened and written notice
further. Hence, prospective clients should receive some but is promptly given to the prospective client. See Rule 1.0 (l)
not all of the protection afforded clients. (requirements for screening procedures).
A person becomes a prospective client by consulting with Notice, including a general description of the subject matter
a lawyer about the possibility of forming a client-lawyer rela- about which the lawyer was consulted, and of the screening
tionship with respect to a matter. Whether communications, procedures employed, generally should be given as soon as
including written, oral, or electronic communications, consti- practicable after the need for screening becomes apparent.
tute a consultation depends on the circumstances. For exam- For the duty of competence of a lawyer who gives assis-
ple, a consultation is likely to have occurred if a lawyer, either tance on the merits of a matter to a prospective client, see Rule
in person or through the lawyer’s advertising in any medium, 1.1. For a lawyer’s duties when a prospective client entrusts
specifically requests or invites the submission of information valuables or papers to the lawyer’s care, see Rule 1.15.
about a potential representation without clear and reasonably
understandable warnings and cautionary statements that limit COUNSELOR
the lawyer’s obligations, and a person provides information in
response. In contrast, a consultation does not occur if a person Rule 2.1. Advisor
provides information to a lawyer in response to advertising that In representing a client, a lawyer shall exercise
merely describes the lawyer’s education, experience, areas of
practice, and contact information, or provides legal information
independent professional judgment and render
of general interest. Such a person communicates information candid advice. In rendering advice, a lawyer may
unilaterally to a lawyer, without any reasonable expectation refer not only to law but to other considerations
that the lawyer is willing to discuss the possibility of forming such as moral, economic, social and political fac-
a client-lawyer relationship, and is thus not a ‘‘prospective tors, that may be relevant to the client’s situation.
client.’’ Moreover, a person who communicates with a lawyer (P.B. 1978-1997, Rule 2.1.)
for the purpose of disqualifying the lawyer is not a ‘‘prospec- COMMENTARY: Scope of Advice. A client is entitled to
tive client.’’ straightforward advice expressing the lawyer’s honest assess-
It is often necessary for a prospective client to reveal infor- ment. Legal advice often involves unpleasant facts and alter-
mation to the lawyer during an initial consultation prior to the natives that a client may be disinclined to confront. In
decision about formation of a client-lawyer relationship. The presenting advice, a lawyer endeavors to sustain the client’s
lawyer often must learn such information to determine whether morale and may put advice in as acceptable a form as honesty
there is a conflict of interest with an existing client and whether permits. However, a lawyer should not be deterred from giving
38
candid advice by the prospect that the advice will be unpalat- relating to the evaluation is otherwise protected
able to the client. by Rule 1.6.
Advice couched in narrow legal terms may be of little value (P.B. 1978-1997, Rule 2.3.) (Amended June 26, 2006, to
to a client, especially where practical considerations, such take effect Jan. 1, 2007.)
as cost or effects on other people, are predominant. Purely COMMENTARY: Definition. An evaluation may be per-
technical legal advice, therefore, can sometimes be inade- formed at the client’s direction or when impliedly authorized
quate. It is proper for a lawyer to refer to relevant moral and in order to carry out the representation. See Rule 1.2. Such
ethical considerations in giving advice. Although a lawyer is an evaluation may be for the primary purpose of establishing
not a moral advisor as such, moral and ethical considerations information for the benefit of third parties; for example, an
impinge upon most legal questions and may decisively influ- opinion concerning the title of property rendered at the behest
ence how the law will be applied. of a vendor for the information of a prospective purchaser, or
A client may expressly or impliedly ask the lawyer for purely at the behest of a borrower for the information of a prospective
technical advice. When such a request is made by a client lender. In some situations, the evaluation may be required by
experienced in legal matters, the lawyer may accept it at face a government agency; for example, an opinion concerning the
value. When such a request is made by a client inexperienced legality of the securities registered for sale under the securities
in legal matters, however, the lawyer’s responsibility as advisor laws. In other instances, the evaluation may be required by
may include indicating that more may be involved than strictly a third person, such as a purchaser of a business.
legal considerations. A legal evaluation should be distinguished from an investi-
Matters that go beyond strictly legal questions may also be gation of a person with whom the lawyer does not have a
in the domain of another profession. Family matters can client-lawyer relationship. A legal evaluation of a client should
involve problems within the professional competence of psy- also be distinguished from a report by counsel for an insured
chiatry, clinical psychology or social work; business matters to the insured’s carrier on the status of the matter that is the
can involve problems within the competence of the accounting subject of representation, provided the report does not contain
profession or of financial specialists. Where consultation with matter that is detrimental to the client’s relationship with the
a professional in another field is itself something a competent insurance carrier. For example, a lawyer retained by a pur-
lawyer would recommend, the lawyer should make such a chaser to analyze a vendor’s title to property does not have
recommendation. At the same time, a lawyer’s advice at its a client-lawyer relationship with the vendor. So also, an investi-
best often consists of recommending a course of action in the gation into a person’s affairs by a government lawyer, or by
face of conflicting recommendations of experts. special counsel employed by the government, is not an evalua-
Offering Advice. In general, a lawyer is not expected to tion as that term is used in this Rule. The question is whether
give advice until asked by the client. However, when a lawyer the lawyer is retained by the person whose affairs are being
knows that a client proposes a course of action that is likely examined. When the lawyer is retained by that person, the
to result in substantial adverse legal consequences to the general rules concerning loyalty to client and preservation of
client, the lawyer’s duty to the client under Rule 1.4 may require confidences apply, which is not the case if the lawyer is
that the lawyer offer advice if the client’s course of action is retained by someone else. For this reason, it is essential to
related to the representation. Similarly, when a matter is likely identify the person by whom the lawyer is retained. This should
to involve litigation, it may be necessary under Rule 1.4 to be made clear not only to the person under examination, but
inform the client of forms of dispute resolution that might consti- also to others to whom the results are to be made available.
tute reasonable alternatives to litigation. Duties Owed to Third Person and Client. When the evalu-
ation is intended for the information or use of a third person,
A lawyer ordinarily has no duty to initiate investigation of
a legal duty to that person may or may not arise. That legal
a client’s affairs or to give advice that the client has indicated
question is beyond the scope of this Rule. However, since
is unwanted, but a lawyer may initiate advice to a client when
such an evaluation involves a departure from the normal client-
doing so appears to be in the client’s interest.
lawyer relationship, careful analysis of the situation is required.
The lawyer must be satisfied as a matter of professional judg-
Rule 2.2. Intermediary ment that making the evaluation is compatible with other func-
[Repealed as of Jan. 1, 2007.] tions undertaken in behalf of the client. For example, if the
lawyer is acting as advocate in defending the client against
Rule 2.3. Evaluation for Use by Third charges of fraud, it would normally be incompatible with that
Persons responsibility for the lawyer to perform an evaluation for others
concerning the same or a related transaction. Assuming no
(a) A lawyer may provide an evaluation of a such impediment is apparent, however, the lawyer should
matter affecting a client for the use of someone advise the client of the implications of the evaluation, particu-
other than the client if the lawyer reasonably larly the lawyer’s responsibilities to third persons and the duty
believes that making the evaluation is compatible to disseminate the findings.
with other aspects of the lawyer’s relationship with Access to and Disclosure of Information. The quality
of an evaluation depends on the freedom and extent of the
the client. investigation upon which it is based. Ordinarily, a lawyer should
(b) When the lawyer knows or reasonably have whatever latitude of investigation seems necessary as
should know that the evaluation is likely to affect a matter of professional judgment. Under some circumstances,
the client’s interests materially and adversely, the however, the terms of the evaluation may be limited. For exam-
lawyer shall not provide the evaluation unless the ple, certain issues or sources may be categorically excluded,
or the scope of search may be limited by time constraints or
client gives informed consent. the noncooperation of persons having relevant information.
(c) Except as disclosure is authorized in con- Any such limitations that are material to the evaluation should
nection with a report of an evaluation, information be described in the report. If after a lawyer has commenced
39
an evaluation, the client refuses to comply with the terms upon a joint committee of the American Bar Association and the
which it was understood the evaluation was to have been American Arbitration Association or the Model Standards of
made, the lawyer’s obligations are determined by law, having Conduct for Mediators jointly prepared by the American Bar
reference to the terms of the client’s agreement and the sur- Association, the American Arbitration Association and the
rounding circumstances. In no circumstances is the lawyer Society of Professionals in Dispute Resolution.
permitted to knowingly make a false statement of material fact Unlike nonlawyers who serve as third-party neutrals, law-
or law in providing an evaluation under this Rule. See Rule 4.1. yers serving in this role may experience unique problems as
Obtaining Client’s Informed Consent. Information relat- a result of differences between the role of a third-party neutral
ing to an evaluation is protected by Rule 1.6. In many situa- and a lawyer’s service as a client representative. The potential
tions, providing an evaluation to a third party poses no for confusion is significant when the parties are unrepresented
significant risk to the client; thus, the lawyer may be impliedly in the process. Thus, subsection (b) requires a lawyer-neutral
authorized to disclose information to carry out the representa- to inform unrepresented parties that the lawyer is not repre-
tion. See Rule 1.6 (a). Where, however, it is reasonably likely senting them. For some parties, particularly parties who fre-
that providing the evaluation will affect the client’s interests quently use dispute-resolution processes, this information will
materially and adversely, the lawyer must first obtain the cli- be sufficient. For others, particularly those who are using the
ent’s consent after the client has been adequately informed process for the first time, more information will be required.
concerning the important possible effects on the client’s inter- Where appropriate, the lawyer should inform unrepresented
ests. See Rules 1.6 (a) and 1.0 (f). parties of the important differences between the lawyer’s role
Financial Auditors’ Requests for Information. When a as third-party neutral and a lawyer’s role as a client representa-
question concerning the legal situation of a client arises at the tive, including the inapplicability of the attorney-client eviden-
instance of the client’s financial auditor and the question is tiary privilege as well as the inapplicability of the duty of
referred to the lawyer, the lawyer’s response may be made confidentiality. The extent of disclosure required under this
in accordance with procedures recognized in the legal profes- subsection will depend on the particular parties involved and
sion. Such a procedure is set forth in the American Bar Associ- the subject matter of the proceeding, as well as the particular
ation Statement of Policy Regarding Lawyers’ Responses to features of the dispute-resolution process selected.
Auditors’ Requests for Information, adopted in 1975. A lawyer who serves as a third-party neutral subsequently
may be asked to serve as a lawyer representing a client in
Rule 2.4. Lawyer Serving as Third-Party the same matter. The conflicts of interest that arise for both
Neutral the individual lawyer and the lawyer’s law firm are addressed
in Rule 1.12.
(a) A lawyer serves as a third-party neutral
Lawyers who represent clients in alternative dispute-resolu-
when the lawyer assists two or more persons who tion processes are governed by the Rules of Professional
are not clients of the lawyer to reach a resolution of Conduct. When the dispute-resolution process takes place
a dispute or other matter that has arisen between before a tribunal, as in binding arbitration (see Rule 1.0 [n]),
them. Service as a third-party neutral may include the lawyer’s duty of candor is governed by Rule 3.3. Otherwise,
service as an arbitrator, a mediator or in such the lawyer’s duty of candor toward both the third-party neutral
other capacity as will enable the lawyer to assist and other parties is governed by Rule 4.1.
the parties to resolve the matter. ADVOCATE
(b) A lawyer serving as a third-party neutral
shall inform unrepresented parties that the lawyer Rule 3.1. Meritorious Claims and Con-
is not representing them. When the lawyer knows tentions
or reasonably should know that a party does not A lawyer shall not bring or defend a proceeding,
understand the lawyer’s role in the matter, the or assert or controvert an issue therein, unless
lawyer shall explain the difference between the there is a basis in law and fact for doing so that
lawyer’s role as a third-party neutral and a law- is not frivolous, which includes a good faith argu-
yer’s role as one who represents a client. ment for an extension, modification or reversal of
(Adopted June 26, 2006, to take effect Jan. 1, 2007.) existing law. A lawyer for the defendant in a crimi-
COMMENTARY: Alternative dispute resolution has
become a substantial part of the civil justice system. Aside from
nal proceeding, or the respondent in a proceeding
representing clients in dispute-resolution processes, lawyers that could result in incarceration, may neverthe-
often serve as third-party neutrals. A third-party neutral is a less so defend the proceeding as to require that
person, such as a mediator, arbitrator, conciliator or evaluator, every element of the case be established.
who assists the parties, represented or unrepresented, in the (P.B. 1978-1997, Rule 3.1.) (Amended June 26, 2006, to
resolution of a dispute or in the arrangement of a transaction. take effect Jan. 1, 2007.)
Whether a third-party neutral serves primarily as a facilitator, COMMENTARY: The advocate has a duty to use legal
evaluator or decision maker depends on the particular process procedure for the fullest benefit of the client’s cause, but also
that is either selected by the parties or mandated by a court. a duty not to abuse legal procedure. The law, both procedural
The role of a third-party neutral is not unique to lawyers, and substantive, establishes the limits within which an advo-
although, in some court-connected contexts, only lawyers are cate may proceed. However, the law is not always clear and
allowed to serve in this role or to handle certain types of cases. never is static. Accordingly, in determining the proper scope
In performing this role, the lawyer may be subject to court rules of advocacy, account must be taken of the law’s ambiguities
or other law that apply either to third-party neutrals generally or and potential for change.
to lawyers serving as third-party neutrals. Lawyer-neutrals may The filing of an action or defense or similar action taken
also be subject to various codes of ethics, such as the Code for a client is not frivolous merely because the facts have not
of Ethics for Arbitration in Commercial Disputes prepared by first been fully substantiated or because the lawyer expects
40
to develop vital evidence only by discovery. What is required (c) The duties stated in subsections (a) and (b)
of lawyers, however, is that they inform themselves about continue at least to the conclusion of the proceed-
the facts of their clients’ cases and the applicable law and
determine that they can make good faith arguments in support
ing, and apply even if compliance requires disclo-
of their clients’ positions. Such action is not frivolous even sure of information otherwise protected by Rule
though the lawyer believes that the client’s position ultimately 1.6.
will not prevail. The action is frivolous, however, if the lawyer (d) In an ex parte proceeding, a lawyer shall
is unable either to make a good faith argument on the merits inform the tribunal of all material facts known to
of the action taken or to support the action taken by a good the lawyer that will enable the tribunal to make
faith argument for an extension, modification or reversal of an informed decision, whether or not the facts
existing law.
The lawyer’s obligations under this Rule are subordinate
are adverse.
to federal or state constitutional law that entitles a defendant (e) When, prior to judgment, a lawyer becomes
in a criminal matter to the assistance of counsel in presenting aware of discussion or conduct by a juror which
a claim or contention that otherwise would be prohibited by violates the trial court’s instructions to the jury,
this Rule. the lawyer shall promptly report that discussion
or conduct to the trial judge.
Rule 3.2. Expediting Litigation (P.B. 1978-1997, Rule 3.3.)
A lawyer shall make reasonable efforts to expe- COMMENTARY: This Rule governs the conduct of a lawyer
dite litigation consistent with the interests of the who is representing a client in the proceedings of a tribunal.
client. See Rule 1.0 (n) for the definition of ‘‘tribunal.’’ It also applies
when the lawyer is representing a client in an ancillary proceed-
(P.B. 1978-1997, Rule 3.2.)
ing conducted pursuant to the tribunal’s adjudicative authority,
COMMENTARY: Dilatory practices bring the administration such as a deposition. Thus, for example, subsection (a) (3)
of justice into disrepute. Although there will be occasions when requires a lawyer to take reasonable remedial measures if
a lawyer may properly seek a postponement for personal rea- the lawyer comes to know that a client who is testifying in a
sons, it is not proper for a lawyer to routinely fail to expedite deposition has offered evidence that is false.
litigation solely for the convenience of the advocates. Nor will This Rule sets forth the special duties of lawyers as officers
a failure to expedite be reasonable if done for the purpose of of the court to avoid conduct that undermines the integrity of
frustrating an opposing party’s attempt to obtain rightful the adjudicative process. A lawyer acting as an advocate in
redress or repose. It is not a justification that similar conduct an adjudicative proceeding has an obligation to present the
is often tolerated by the bench and bar. The question is whether client’s case with persuasive force. Performance of that duty
a competent lawyer acting in good faith would regard the while maintaining confidences of the client, however, is quali-
course of action as having some substantial purpose other fied by the advocate’s duty of candor to the tribunal. Conse-
than delay. Realizing financial or other benefit from otherwise quently, although a lawyer in an adversary proceeding is not
improper delay in litigation is not a legitimate interest of the required to present an impartial exposition of the law or to
client. vouch for the evidence submitted in a cause, the lawyer must
not allow the tribunal to be misled by false statements of law
Rule 3.3. Candor toward the Tribunal or fact or evidence that the lawyer knows to be false.
(a) A lawyer shall not knowingly: Representations by a Lawyer. An advocate is responsible
(1) Make a false statement of fact or law to a for pleadings and other documents prepared for litigation, but
is usually not required to have personal knowledge of matters
tribunal or fail to correct a false statement of mate- asserted therein, for litigation documents ordinarily present
rial fact or law previously made to the tribunal by assertions by the client, or by someone on the client’s behalf,
the lawyer; and not assertions by the lawyer. Compare Rule 3.1. However,
(2) Fail to disclose to the tribunal legal authority an assertion purporting to be on the lawyer’s own knowledge,
in the controlling jurisdiction known to the lawyer as in an affidavit by the lawyer or in a statement in open
to be directly adverse to the position of the client 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
and not disclosed by opposing counsel; or reasonably diligent inquiry. There are circumstances where
(3) Offer evidence that the lawyer knows to be failure to make a disclosure is the equivalent of an affirmative
false. If a lawyer, the lawyer’s client, or a witness misrepresentation. The obligation prescribed in Rule 1.2 (d)
called by the lawyer, has offered material evi- not to counsel a client to commit or assist the client in commit-
dence and the lawyer comes to know of its falsity, ting a fraud applies in litigation. Regarding compliance with
Rule 1.2 (d), see the Commentary to that Rule. See also the
the lawyer shall take reasonable remedial mea- Commentary to Rule 8.4 (2).
sures, including, if necessary, disclosure to the Legal Argument. Legal argument based on a knowingly
tribunal. false representation of law constitutes dishonesty toward the
(b) A lawyer who represents a client in an adju- tribunal. A lawyer is not required to make a disinterested expo-
dicative proceeding and who knows that a person sition of the law, but must recognize the existence of pertinent
intends to engage, is engaging or has engaged legal authorities. Furthermore, as stated in subsection (a) (2),
an advocate has a duty to disclose directly adverse authority
in criminal or fraudulent conduct related to the in the controlling jurisdiction that has not been disclosed by
proceeding shall take reasonable remedial mea- the opposing party. The underlying concept is that legal argu-
sures, including, if necessary, disclosure to the ment is a discussion seeking to determine the legal premises
tribunal. properly applicable to the case.
41
Offering Evidence. Subsection (a) (3) requires that the See Rule 1.2 (d). Furthermore, unless it is clearly understood
lawyer refuse to offer evidence that the lawyer knows to be that the lawyer will act upon the duty to disclose the existence
false, regardless of the client’s wishes. This duty is premised of false evidence, the client can simply reject the lawyer’s
on the lawyer’s obligation as an officer of the court to prevent advice to reveal the false evidence and insist that the lawyer
the trier of fact from being misled by false evidence. A lawyer keep silent. Thus, the client could in effect coerce the lawyer
does not violate this Rule if the lawyer offers the evidence for into being a party to fraud on the court.
the purpose of establishing its falsity. Preserving Integrity of Adjudicative Process. Lawyers
If a lawyer knows that the client intends to testify falsely or have a special obligation to protect a tribunal against criminal
wants the lawyer to introduce false evidence, the lawyer should or fraudulent conduct that undermines the integrity of the adju-
seek to persuade the client that the evidence should not be dicative process, such as bribing, intimidating or otherwise
offered. If the persuasion is ineffective and the lawyer contin- unlawfully communicating with a witness, juror, court official
ues to represent the client, the lawyer must refuse to offer the or other participant in the proceeding, unlawfully destroying or
false evidence. If only a portion of a witness’ testimony will concealing documents or other evidence or failing to disclose
be false, the lawyer may call the witness to testify but may information to the tribunal when required by law to do so.
not elicit or otherwise permit the witness to present the testi- Thus, subsection (b) requires a lawyer to take reasonable
mony that the lawyer knows is false. remedial measures, including disclosure if necessary, when-
The duties stated in subsections (a) and (b) apply to all ever the lawyer knows that a person, including the lawyer’s
lawyers, including defense counsel in criminal cases. In some client, intends to engage, is engaging or has engaged in crimi-
jurisdictions, however, courts have required counsel to present nal or fraudulent conduct related to the proceeding. Nothing
the accused as a witness or to give a narrative statement if in Rule 3.3 (e) is meant to limit a lawyer’s obligation to take
the accused so desires, even if counsel knows that the testi- appropriate action after judgment has entered.
mony or statement will be false. The obligation of the advocate Duration of Obligation. A practical time limit on the obliga-
under the Rules of Professional Conduct is subordinate to tion to rectify false evidence or false statements of fact has
such requirements. to be established. The conclusion of the proceeding is a rea-
The prohibition against offering false evidence only applies sonably definite point for the termination of the obligation. In
if the lawyer knows that the evidence is false. A lawyer’s criminal and juvenile delinquency matters, the duty to correct
reasonable belief that evidence is false does not preclude its a newly discovered and material falsehood continues until
presentation to the trier of fact. A lawyer’s knowledge that the defendant or delinquent is discharged from custody or
evidence is false, however, can be inferred from the circum- released from judicial supervision, whichever occurs later. The
stances. See Rule 1.0 (g). Thus, although a lawyer should lawyer shall notify the tribunal that false evidence or false
resolve doubts about the veracity of testimony or other evi- statements of fact were made.
dence in favor of the client, the lawyer cannot ignore an obvi- Ex Parte Proceedings. Ordinarily, an advocate has the
ous falsehood. limited responsibility of presenting one side of the matters that
Because of the special protections historically provided a tribunal should consider in reaching a decision; the conflicting
criminal defendants, however, this Rule does not permit a position is expected to be presented by the opposing party.
lawyer to refuse to offer the testimony of such a client where However, in any ex parte proceeding, such as an application
the lawyer reasonably believes but does not know that the for a temporary restraining order, there is no balance of presen-
testimony will be false. Unless the lawyer knows the testimony tation by opposing advocates. The object of an ex parte pro-
will be false, the lawyer must honor the client’s decision to ceeding is nevertheless to yield a substantially just result. The
testify. judge has an affirmative responsibility to accord the absent
Remedial Measures. Having offered material evidence in party just consideration. The lawyer for the represented party
the belief that it was true, a lawyer may subsequently come has the correlative duty to make disclosures of material facts
to know that the evidence is false. Or, a lawyer may be sur- known to the lawyer and that the lawyer reasonably believes
prised when the lawyer’s client, or another witness called by are necessary to an informed decision.
the lawyer, offers testimony the lawyer knows to be false, Withdrawal. Normally, a lawyer’s compliance with the duty
either during the lawyer’s direct examination or in response of candor imposed by this Rule does not require that the lawyer
to cross-examination by the opposing lawyer. In such situa- withdraw from the representation of a client whose interests
tions or if the lawyer knows of the falsity of testimony elicited will be or have been adversely affected by the lawyer’s disclo-
from the client during a deposition, the lawyer must take rea- sure. The lawyer may, however, be required by Rule 1.16 (a)
sonable remedial measures. In such situations, the advocate’s to seek permission of the tribunal to withdraw if the lawyer’s
proper course is to remonstrate with the client confidentially, compliance with this Rule’s duty of candor results in such an
advise the client of the lawyer’s duty of candor to the tribunal extreme deterioration of the client-lawyer relationship that the
and seek the client’s cooperation with respect to the withdrawal lawyer can no longer competently represent the client. Also
or correction of the false statements or evidence. If that fails, see Rule 1.16 (b) for the circumstances in which a lawyer will
the advocate must take further remedial action. If withdrawal be permitted to seek a tribunal’s permission to withdraw. In
from the representation is not permitted or will not undo the connection with a request for permission to withdraw that is
effect of the false evidence, the advocate must make such premised on a client’s misconduct, a lawyer may reveal infor-
disclosure to the tribunal as is reasonably necessary to remedy mation relating to the representation only to the extent reason-
the situation, even if doing so requires the lawyer to reveal ably necessary to comply with this Rule or as otherwise
information that otherwise would be protected by Rule 1.6. It permitted by Rule 1.6.
is for the tribunal then to determine what should be done.
The disclosure of a client’s false testimony can result in Rule 3.4. Fairness to Opposing Party and
grave consequences to the client, including not only a sense Counsel
of betrayal but also loss of the case and perhaps a prosecution
for perjury. But the alternative is that the lawyer cooperate A lawyer shall not:
in deceiving the court, thereby subverting the truth-finding (1) Unlawfully obstruct another party’s access
process which the adversary system is designed to implement. to evidence or unlawfully alter, destroy or conceal
42
a document or other material having potential evi- terms permitted by law. The common law rule in most jurisdic-
dentiary value. A lawyer shall not counsel or assist 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
another person to do any such act; a contingent fee.
(2) Falsify evidence, counsel or assist a witness Subdivision (6) permits a lawyer to advise employees of a
to testify falsely, or offer an inducement to a wit- client to refrain from giving information to another party, for
ness that is prohibited by law; the employees may identify their interests with those of the
(3) Knowingly disobey an obligation under the client. See also Rule 4.2.
rules of a tribunal except for an open refusal based Rule 3.5. Impartiality and Decorum
on an assertion that no valid obligation exists; (Amended June 26, 2006, to take effect Jan. 1, 2007.)
(4) In pretrial procedure, make a frivolous dis- A lawyer shall not:
covery request or fail to make reasonably diligent (1) Seek to influence a judge, juror, prospective
effort to comply with a legally proper discovery juror or other official by means prohibited by law;
request by an opposing party; (2) Communicate ex parte with such a person
(5) In trial, allude to any matter that the lawyer during the proceeding unless authorized to do so
does not reasonably believe is relevant or that will by law or court order;
not be supported by admissible evidence, assert (3) Communicate with a juror or prospective
personal knowledge of facts in issue except when juror after discharge of the jury if:
testifying as a witness, or state a personal opinion (a) the communication is prohibited by law or
as to the justness of a cause, the credibility of a court order;
witness, the culpability of a civil litigant or the guilt (b) the juror has made known to the lawyer a
or innocence of an accused; or desire not to communicate; or
(6) Request a person other than a client to (c) the communication involves misrepresenta-
refrain from voluntarily giving relevant information tion, coercion, duress or harassment; or
to another party unless: (4) Engage in conduct intended to disrupt a
(A) The person is a relative or an employee or tribunal or ancillary proceedings such as deposi-
other agent of a client; and tions and mediations.
(B) The lawyer reasonably believes that the per- (P.B. 1978-1997, Rule 3.5.) (Amended June 26, 2006, to
son’s interests will not be adversely affected by take effect Jan. 1, 2007; amended June 29, 2007, to take
effect Jan. 1, 2008.)
refraining from giving such information. COMMENTARY: Many forms of improper influence upon
(7) Present, participate in presenting, or a tribunal are proscribed by criminal law. Others are specified
threaten to present criminal charges solely to in the ABA Model Code of Judicial Conduct, with which an
obtain an advantage in a civil matter. advocate should be familiar. A lawyer is required to avoid
(P.B. 1978-1997, Rule 3.4.) contributing to a violation of such provisions.
COMMENTARY: The procedure of the adversary system During a proceeding a lawyer may not communicate ex
contemplates that the evidence in a case is to be marshaled parte with persons serving in an official capacity in the proceed-
competitively by the contending parties. Fair competition in ing, such as judges, masters or jurors, unless authorized to
the adversary system is secured by prohibitions against do so by law or court order.
destruction or concealment of evidence, improperly influencing A lawyer may on occasion want to communicate with a
witnesses, obstructive tactics in discovery procedure, and juror or prospective juror after the jury has been discharged.
The lawyer may do so unless the communication is prohibited
the like.
by law or a court order but must respect the desire of the juror
Documents and other items of evidence are often essential
not to talk with the lawyer. The lawyer may not engage in
to establish a claim or defense. Subject to evidentiary privi-
improper conduct during the communication.
leges, the right of an opposing party, including the government, The advocate’s function is to present evidence and argu-
to obtain evidence through discovery or subpoena is an ment so that the cause may be decided according to law.
important procedural right. The exercise of that right can be Refraining from abusive or obstreperous conduct is a corollary
frustrated if relevant material is altered, concealed or of the advocate’s right to speak on behalf of litigants. A lawyer
destroyed. Applicable law in many jurisdictions makes it an may stand firm against abuse by a judge but should avoid
offense to destroy material for the purpose of impairing its reciprocation; the judge’s default is no justification for similar
availability in a pending proceeding or one whose commence- dereliction by an advocate. An advocate can present the
ment can be foreseen. Falsifying evidence is also generally a cause, protect the record for subsequent review and preserve
criminal offense. Subdivision (1) applies to evidentiary material professional integrity by patient firmness no less effectively
generally, including computerized information. Applicable law than by belligerence or theatrics.
may permit a lawyer to take temporary possession of physical
evidence of client crimes for the purpose of conducting a Rule 3.6. Trial Publicity
limited examination that will not alter or destroy material char-
acteristics of the evidence. In such a case, applicable law may
(a) A lawyer who is participating or has partici-
require the lawyer to turn the evidence over to the police or pated in the investigation or litigation of a matter
other prosecuting authority, depending on the circumstances. shall not make an extrajudicial statement that the
With regard to subdivision (2), it is not improper to pay a lawyer knows or reasonably should know will be
witness’ expenses or to compensate an expert witness on disseminated by means of public communication
43
and will have a substantial likelihood of materially (i) identity, residence, occupation and family status of the
prejudicing an adjudicative proceeding in the accused;
(ii) if the accused has not been apprehended, information
matter. necessary to aid in apprehension of that person;
(b) Notwithstanding subsection (a), a lawyer (iii) the fact, time and place of arrest; and
may make a statement that a reasonable lawyer (iv) the identity of investigating and arresting officers or
would believe is required to protect a client from agencies and the length of the investigation.
the substantial undue prejudicial effect of recent (5) There are, on the other hand, certain subjects which
publicity not initiated by the lawyer or the lawyer’s are more likely than not to have a material prejudicial effect
client. A statement made pursuant to this subsec- on a proceeding, particularly when they refer to a civil matter
triable to a jury, a criminal matter, or any other proceeding
tion shall be limited to such information as is nec- that could result in incarceration. These subjects relate to:
essary to mitigate the recent adverse publicity. (a) the character, credibility, reputation or criminal record
(c) No lawyer associated in a firm or govern- of a party, suspect in a criminal investigation or witness, or
ment agency with a lawyer subject to subsection the identity of a witness, or the expected testimony of a party
(a) shall make a statement prohibited by subsec- or witness;
tion (a). (b) in a criminal case or proceeding that could result in
(P.B. 1978-1997, Rule 3.6.) (Amended June 24, 2002, to incarceration, the possibility of a plea of guilty to the offense
take effect Jan. 1, 2003; amended June 26, 2006, to take or the existence or contents of any confession, admission, or
effect Jan. 1, 2007.) statement given by a defendant or suspect or that person’s
COMMENTARY: (1) It is difficult to strike a balance between refusal or failure to make a statement;
protecting the right to a fair trial and safeguarding the right of (c) the performance or results of any examination or test
free expression. Preserving the right to a fair trial necessarily or the refusal or failure of a person to submit to an examination
entails some curtailment of the information that may be dis- or test, or the identity or nature of physical evidence expected
seminated about a party prior to trial, particularly where trial to be presented;
by jury is involved. If there were no such limits, the result (d) any opinion as to the guilt or innocence of a defendant
would be the practical nullification of the protective effect of or suspect in a criminal case or proceeding that could result
the rules of forensic decorum and the exclusionary rules of in incarceration;
evidence. On the other hand, there are vital social interests (e) information that the lawyer knows or reasonably should
served by the free dissemination of information about events know is likely to be inadmissible as evidence in a trial and
having legal consequences and about legal proceedings them- that would, if disclosed, create a substantial risk of prejudicing
selves. The public has a right to know about threats to its an impartial trial; or
safety and measures aimed at assuring its security. It also (f) the fact that a defendant has been charged with a crime,
has a legitimate interest in the conduct of judicial proceedings, unless there is included therein a statement explaining that
particularly in matters of general public concern. Furthermore, the charge is merely an accusation and that the defendant is
the subject matter of legal proceedings is often of direct signifi- presumed innocent until and unless proven guilty.
cance in debate and deliberations over questions of public (6) Another relevant factor in determining prejudice is the
policy. nature of the proceeding involved. Criminal jury trials will be
(2) Special rules of confidentiality may validly govern pro- most sensitive to extrajudicial speech. Civil trials may be less
ceedings in juvenile, domestic relations and mental disability sensitive. Nonjury hearings and arbitration proceedings may
proceedings, and perhaps other types of litigation. Rule 3.4 be even less affected. The Rule will still place limitations on
(3) requires compliance with such Rules. prejudical comments in these cases, but the likelihood of preju-
(3) The Rule sets forth a basic general prohibition against dice may be different depending on the type of proceeding.
a lawyer making statements that the lawyer knows or should (7) Finally, extrajudicial statements that might otherwise
know will have a substantial likelihood of materially prejudicing raise a question under this Rule may be permissible when
an adjudicative proceeding. Recognizing that the public value they are made in response to statements made publicly by
of informed commentary is great and the likelihood of prejudice another party, another party’s lawyer, or third persons, where
to a proceeding by the commentary of a lawyer who is not a reasonable lawyer would believe a public response is
involved in the proceeding is small, the Rule applies only to required in order to avoid prejudice to the lawyer’s client. When
lawyers who are, or who have been involved in the investiga- prejudicial statements have been publicly made by others,
tion or litigation of a case, and their associates. responsive statements may have the salutary effect of less-
(4) Certain subjects would not ordinarily be considered to ening any resulting adverse impact on the adjudicative pro-
present a substantial likelihood of material prejudice, such as: ceeding. Such responsive statements should be limited to
(a) the claim, offense or defense involved and, except when contain only such information as is necessary to mitigate
prohibited by law, the identity of the persons involved; undue prejudice created by the statements made by others.
(b) information contained in a public record; (8) See Rule 3.8 (5) for additional duties of prosecutors in
(c) that an investigation of the matter is in progress; connection with extrajudicial statements about criminal pro-
(d) the scheduling or result of any step in litigation; ceedings.
(e) a request for assistance in obtaining evidence and infor-
mation necessary thereto; Rule 3.7. Lawyer as Witness
(f) a warning of danger concerning the behavior of a person (a) A lawyer shall not act as advocate at a trial
involved, when there is reason to believe that there exists the
likelihood of substantial harm to an individual or to the public
in which the lawyer is likely to be a necessary
interest; and witness unless:
(g) in a criminal case: in addition to subparagraphs (a) (1) The testimony relates to an uncontested
through (f): issue;
44
(2) The testimony relates to the nature and witness because the lawyer’s disqualification would work a
value of legal services rendered in the case; or substantial hardship on the client. Similarly, a lawyer who
might be permitted to simultaneously serve as an advocate
(3) Disqualification of the lawyer would work and a witness by subsection (a) (3) might be precluded from
substantial hardship on the client. doing so by Rule 1.9. The problem can arise whether the
(b) A lawyer may act as advocate in a trial in lawyer is called as a witness on behalf of the client or is called
which another lawyer in the lawyer’s firm is likely by the opposing party. Determining whether or not such a
to be called as a witness unless precluded from conflict exists is primarily the responsibility of the lawyer
doing so by Rule 1.7 or Rule 1.9. involved. If there is a conflict of interest, the lawyer must secure
(P.B. 1978-1997, Rule 3.7.) (Amended June 26, 2006, to the client’s informed consent, confirmed in writing. In some
take effect Jan. 1, 2007.) 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
COMMENTARY: Combining the roles of advocate and wit-
‘‘confirmed in writing’’ and Rule 1.0 (f) for the definition of
ness can prejudice the tribunal and the opposing party and can
also involve a conflict of interest between the lawyer and client. ‘‘informed consent.’’
Advocate-Witness Rule. The tribunal has proper objection Subsection (b) provides that a lawyer is not disqualified
when the trier of fact may be confused or misled by a lawyer from serving as an advocate because a lawyer with whom the
serving as both advocate and witness. The opposing party has lawyer is associated in a firm is precluded from doing so by
proper objection where the combination of roles may prejudice subsection (a). If, however, the testifying lawyer would also
that party’s rights in the litigation. A witness is required to be disqualified by Rule 1.7 or Rule 1.9 from representing the
testify on the basis of personal knowledge, while an advocate client in the matter, other lawyers in the firm will be precluded
is expected to explain and comment on evidence given by from representing the client by Rule 1.10 unless the client
others. It may not be clear whether a statement by an advo- gives informed consent under the conditions stated in Rule 1.7.
cate-witness should be taken as proof or as an analysis of
the proof. Rule 3.8. Special Responsibilities of a Pros-
To protect the tribunal, subsection (a) prohibits a lawyer ecutor
from simultaneously serving as advocate and necessary wit- The prosecutor in a criminal case shall:
ness except in those circumstances specified in subsections (1) Refrain from prosecuting a charge that the
(a) (1) through (a) (3). Subsection (a) (1) recognizes that if
the testimony will be uncontested, the ambiguities in the dual prosecutor knows is not supported by probable
role are purely theoretical. Subsection (a) (2) recognizes that cause;
where the testimony concerns the extent and value of legal (2) Make reasonable efforts to assure that the
services rendered in the action in which the testimony is accused has been advised of the right to, and the
offered, permitting the lawyers to testify avoids the need for procedure for obtaining, counsel and has been
a second trial with new counsel to resolve that issue. Moreover,
in such a situation the judge has firsthand knowledge of the
given reasonable opportunity to obtain counsel;
matter in issue; hence, there is less dependence on the adver- (3) Not seek to obtain from an unrepresented
sary process to test the credibility of the testimony. accused a waiver of important pretrial rights, such
Apart from these two exceptions, subsection (a) (3) recog- as the right to a preliminary hearing;
nizes that a balancing is required between the interests of the (4) Make timely disclosure to the defense of all
client and those of the tribunal and the opposing party. Whether evidence or information known to the prosecutor
the tribunal is likely to be misled or the opposing party is likely
to suffer prejudice depends on the nature of the case, the
that tends to negate the guilt of the accused or
importance and probable tenor of the lawyer’s testimony, and mitigates the offense, and, in connection with sen-
the probability that the lawyer’s testimony will conflict with that tencing, disclose to the defense and to the tribunal
of other witnesses. Even if there is risk of such prejudice, in all unprivileged mitigating information known to
determining whether the lawyer should be disqualified, due the prosecutor, except when the prosecutor is
regard must be given to the effect of disqualification on the relieved of this responsibility by a protective order
lawyer’s client. It is relevant that one or both parties could
reasonably foresee that the lawyer would probably be a wit-
of the tribunal; and
ness. The conflict of interest principles stated in Rules 1.7, (5) Exercise reasonable care to prevent investi-
1.9 and 1.10 have no application to this aspect of the problem. gators, law enforcement personnel, employees
Because the tribunal is not likely to be misled when a lawyer or other persons assisting or associated with the
acts as advocate in a trial in which another lawyer in the prosecutor in a criminal case from making an
lawyer’s firm will testify as a necessary witness, subsection extrajudicial statement that the prosecutor would
(b) permits the lawyer to do so except in situations involving
a conflict of interest.
be prohibited from making under Rule 3.6.
Conflict of Interest. In determining if it is permissible to (6) When a prosecutor knows of new and credi-
act as advocate in a trial in which the lawyer will be a necessary ble evidence creating a reasonable probability
witness, the lawyer must also consider that the dual role may that a convicted defendant did not commit an
give rise to a conflict of interest that will require compliance offense of which the defendant was convicted, the
with Rules 1.7 or 1.9. For example, if there is likely to be prosecutor shall, unless a court authorizes delay:
substantial conflict between the testimony of the client and
that of the lawyer, the representation involves a conflict of
(A) if the conviction was obtained outside the
interest that requires compliance with Rule 1.7. This would prosecutor’s jurisdiction, promptly disclose that
be true even though the lawyer might not be prohibited by evidence to a court and an appropriate author-
subsection (a) from simultaneously serving as advocate and ity, and
45
(B) if the conviction was obtained in the prose- Washington, 466 U.S. 668, 694, 105 S. Ct. 2052, 80 L. Ed.
cutor’s jurisdiction, promptly disclose that evi- 2d 674 (1984). The decision by a prosecutor to disclose infor-
mation to a defendant or an appropriate authority shall not be
dence to the defendant, and a court and an deemed a concession that, and shall not ethically foreclose the
appropriate authority. prosecutor from contesting before a factfinder or an appellate
(P.B. 1978-1997, Rule 3.8.) (Amended June 13, 2014, to tribunal that, the evidence is new or credible or that it creates
take effect Jan. 1, 2015.) a reasonable probability that the defendant did not commit
COMMENTARY: A prosecutor has the responsibility of a the offense.
minister of justice and not simply that of an advocate. This A prosecutor’s independent judgment, made in good faith,
responsibility carries with it specific obligations to see that that the new evidence is not of such nature as to trigger the
the defendant is accorded procedural justice and that guilt is obligations of subdivision (6), though subsequently determined
decided upon the basis of sufficient evidence. Precisely how to have been erroneous, does not constitute a violation of
far the prosecutor is required to go in this direction is a matter of
this Rule.
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
Rule 3.9. Advocate in Nonadjudicative Pro-
prolonged and careful deliberation by lawyers experienced in ceedings
both criminal prosecution and defense. See also Rule 3.3 A lawyer representing a client before a legisla-
(d), governing ex parte proceedings, among which grand jury tive body or administrative agency in a nonadjudi-
proceedings are included. Applicable law may require other
measures by the prosecutor and knowing disregard of those
cative proceeding shall disclose that the
obligations or a systematic abuse of prosecutorial discretion appearance is in a representative capacity and
could constitute a violation of Rule 8.4. shall conform to the provisions of Rules 3.3 (a)
Subdivision (3) does not apply to an accused appearing as through (c), 3.4 (1) through (3), and 3.5.
a self-represented party with the approval of the tribunal. Nor (P.B. 1978-1997, Rule 3.9.) (Amended June 26, 2006, to
does it forbid the lawful questioning of a suspect who has take effect Jan. 1, 2007.)
knowingly waived the rights to counsel and silence. COMMENTARY: In representation before bodies such as
The exception in subdivision (4) recognizes that a prosecu- legislatures, municipal councils, and executive and administra-
tor may seek an appropriate protective order from the tribunal tive agencies acting in a rule-making or policy-making capac-
if disclosure of information to the defense could result in sub- ity, lawyers present facts, formulate issues and advance
stantial harm to an individual or to the public interest. argument in the matters under consideration. The decision-
When a prosecutor knows of new and credible evidence making body, like a court, should be able to rely on the integrity
creating a reasonable probability that a person outside the of the submissions made to it. A lawyer appearing before
prosecutor’s jurisdiction was convicted of a crime that the such a body must deal with it honestly and in conformity with
person did not commit, subdivision (6) requires prompt disclo- applicable rules of procedure. See Rules 3.3 (a) through (c),
sure to a court and other appropriate authority, such as the 3.4 (a) through (c) and 3.5.
Office of the Chief Public Defender, the office of the Federal Lawyers have no exclusive right to appear before nonadju-
Defender or the chief prosecutor of the jurisdiction where the dicative bodies, as they do before a court. The requirements
conviction occurred. When disclosure is made to the chief of this Rule therefore may subject lawyers to regulations inap-
prosecutor of the jurisdiction, that prosecutor must then inde- plicable to advocates who are not lawyers. However, legisla-
pendently evaluate his or her own ethical obligations under tures and administrative agencies have a right to expect
this Rule with respect to the evidence. If the conviction was lawyers to deal with them as they deal with courts.
obtained in the prosecutor’s jurisdiction, subdivision (6) This Rule only applies when a lawyer represents a client
requires the prosecutor to promptly disclose the evidence to in connection with an official hearing or meeting of a govern-
the defendant and a court and other appropriate authority, mental agency or a legislative body to which the lawyer or the
such as the Office of the Chief Public Defender or the office lawyer’s client is presenting evidence or argument. It does not
of the Federal Defender. Disclosure to a court shall be by apply to representation of a client in a negotiation or other
written notice to the presiding judge of the jurisdiction in which
bilateral transaction with a governmental agency or in connec-
the conviction was obtained, or, where the conviction was in
tion with an application for a license or other privilege or the
federal court, to the chief United States District Court Judge.
client’s compliance with generally applicable reporting require-
Consistent with the objectives of Rules 4.2 and 4.3, disclosure
ments, such as the filing of income tax returns. Nor does it
to a represented defendant must be made through the defend-
apply to the representation of a client in connection with an
ant’s counsel. If a defendant is not represented, or if the prose-
investigation or examination of the client’s affairs conducted
cutor cannot determine if a defendant is represented,
disclosure to the Office of the Chief Public Defender or the by government investigators or examiners. Representation in
Office of the Federal Defender shall satisfy the requirement such matters is governed by Rules 4.1 through 4.4.
of notice to the defendant. The prosecutor may seek to delay
disclosure by means of a protective order or other appropriate TRANSACTIONS WITH PERSONS
measure to protect the safety of a witness, to secure the OTHER THAN CLIENTS
integrity of an on-going investigation, or other similar purpose.
Knowledge denotes the actual knowledge of the prosecutor Rule 4.1. Truthfulness in Statements to
who is determining the scope of his or her own ethical duty Others
to act. A ‘‘reasonable probability that the defendant did not In the course of representing a client a lawyer
commit an offense of which the defendant was convicted’’ is
‘‘a probability sufficient to undermine confidence in the out- shall not knowingly:
come,’’ as articulated in Brady v. Maryland, 373 U.S. 83, 87, (1) Make a false statement of material fact or
83 S. Ct. 1194, 10 L. Ed. 2d 215 (1963), and Strickland v. law to a third person; or
46
(2) Fail to disclose a material fact when disclo- been filed or will be filed, that lawyer may directly
sure is necessary to avoid assisting a criminal or communicate with the party only about matters
fraudulent act by a client, unless disclosure is outside the scope of the limited appearance with-
prohibited by Rule 1.6. out consulting with the party’s limited appear-
(P.B. 1978-1997, Rule 4.1.) (Amended June 26, 2006, to ance lawyer.
take effect Jan. 1, 2007.) (P.B. 1978-1997, Rule 4.2.) (Amended June 14, 2013, to
COMMENTARY: Misrepresentation. A lawyer is required take effect Oct. 1, 2013.)
to be truthful when dealing with others on a client’s behalf, COMMENTARY: This Rule does not prohibit communica-
but generally has no affirmative duty to inform an opposing
tion with a party, or an employee or agent of a party, concerning
party of relevant facts. A misrepresentation can occur if the
matters outside the representation. For example, the existence
lawyer incorporates or affirms a statement of another person
of a controversy between a government agency and a private
that the lawyer knows is false. Misrepresentations can also
party, or between two organizations, does not prohibit a lawyer
occur by partially true but misleading statements or omissions
for either from communicating with nonlawyer representatives
that are the equivalent of affirmative false statements. For
dishonest conduct that does not amount to a false statement of the other regarding a separate matter. Also, parties to a
or for misrepresentations by a lawyer other than in the course matter may communicate directly with each other and a lawyer
of representing a client, see Rule 8.4. having independent justification for communicating with the
Statements of Fact. This Rule refers to statements of fact. other party is permitted to do so. Communications authorized
Whether a particular statement should be regarded as one by law include, for example, the right of a party to a controversy
of fact can depend on the circumstances. Under generally with a government agency to speak with government officials
accepted conventions in negotiation, certain types of state- about the matter.
ments ordinarily are not taken as statements of material fact. In the case of an organization, this Rule prohibits communi-
Estimates of price or value placed on the subject of a transac- cations by a lawyer for one party concerning the matter in
tion and a party’s intentions as to an acceptable settlement representation with persons having a managerial responsibility
of a claim are ordinarily in this category, and so is the existence on behalf of the organization, and with any other person whose
of an undisclosed principal except where nondisclosure of the act or omission in connection with that matter may be imputed
principal would constitute fraud. Lawyers should be mindful to the organization for purposes of civil or criminal liability or
of their obligations under applicable law to avoid criminal and whose statement may constitute an admission on the part of
tortious misrepresentation. the organization. If an agent or employee of the organization
Crime or Fraud by Client. Under Rule 1.2 (d), a lawyer is represented in the matter by his or her own counsel, the
is prohibited from counseling or assisting a client in conduct consent by that counsel to a communication will be sufficient
that the lawyer knows is criminal or fraudulent. Subdivision for purposes of this Rule. (Compare Rule 3.4).
(2) states a specific application of the principle set forth in This Rule also covers any person, whether or not a party
Rule 1.2 (d) and addresses the situation where a client’s crime to a formal proceeding, who is represented by counsel con-
or fraud takes the form of a lie or misrepresentation. Ordinarily, cerning the matter in question.
a lawyer can avoid assisting a client’s crime or fraud by with-
drawing from the representation. Sometimes it may be neces- Rule 4.3. Dealing with Unrepresented
sary for the lawyer to give notice of the fact of withdrawal and Person
to disaffirm an opinion, document, affirmation or the like. In
extreme cases, substantive law may require a lawyer to dis- In dealing on behalf of a client with a person
close information relating to the representation to avoid being who is not represented by counsel, in whole or in
deemed to have assisted the client’s crime or fraud. If the part, a lawyer shall not state or imply that the
lawyer can avoid assisting a client’s crime or fraud only by lawyer is disinterested. When the lawyer knows
disclosing this information, then under subdivision (2) the law-
yer is required to do so, unless the disclosure is prohibited by or reasonably should know that the unrepresented
Rule 1.6. person misunderstands the lawyer’s role in the
matter, the lawyer shall make reasonable efforts
Rule 4.2. Communication with Person Rep- to correct the misunderstanding. The lawyer shall
resented by Counsel not give legal advice to an unrepresented person,
In representing a client, a lawyer shall not com- other than the advice to secure counsel, if the
municate about the subject of the representation lawyer knows or reasonably should know that the
with a party the lawyer knows to be represented interests of such a person are or have a reason-
by another lawyer in the matter, unless the lawyer able possibility of being in conflict with the inter-
has the consent of the other lawyer or is author- ests of the client.
ized by law to do so. An otherwise unrepresented (P.B. 1978-1997, Rule 4.3.) (Amended June 26, 2006, to
party for whom a limited appearance has been take effect Jan. 1, 2007; amended June 14, 2013, to take
filed pursuant to Practice Book Section 3-8 (b) is effect Oct. 1, 2013.)
considered to be unrepresented for purposes of COMMENTARY: An unrepresented person, particularly
one not experienced in dealing with legal matters, might
this Rule as to anything other than the subject
assume that a lawyer is disinterested in loyalties or is a disinter-
matter of the limited appearance. When a limited ested authority on the law even when the lawyer represents
appearance has been filed for the party, and a client. In order to avoid a misunderstanding, a lawyer will
served on the other lawyer, or the other lawyer is typically need to identify the lawyer’s client and, where neces-
otherwise notified that a limited appearance has sary, explain that the client has interests opposed to those of
47
the unrepresented person. For misunderstandings that some- the privilege status of a document or electronically stored
times arise when a lawyer for an organization deals with an information has been waived. Similarly, this Rule does not
unrepresented constituent, see Rule 1.13 (d). address the legal duties of a lawyer who receives a document
The Rule distinguishes between situations involving unrep- or electronically stored information that the lawyer knows or
resented persons whose interests may be adverse to those reasonably should know may have been inappropriately
of the lawyer’s client and those in which the person’s interests obtained by the sending person. For purposes of this Rule,
are not in conflict with the client’s. In the former situation, the ‘‘document or electronically stored information’’ includes, in
possibility that the lawyer will compromise the unrepresented addition to paper documents, e-mail and other forms of elec-
person’s interests is so great that the Rule prohibits the giving tronically stored information, including embedded data (com-
of any advice, apart from the advice to obtain counsel. Whether monly referred to as ‘‘metadata’’), that is subject to being read
a lawyer is giving impermissible advice may depend on the or put into readable form. Metadata in electronic documents
experience and sophistication of the unrepresented person, creates an obligation under this Rule only if the receiving
as well as the setting in which the behavior and comments lawyer knows or reasonably should know that the metadata
occur. This Rule does not prohibit a lawyer from negotiating was inadvertently sent to the receiving lawyer.
the terms of a transaction or settling a dispute with an unrepre- Some lawyers may choose to return a document or delete
sented person. So long as the lawyer has explained that the electronically stored information unread, for example, when
lawyer represents an adverse party and is not representing the lawyer learns before receiving it that it was inadvertently
the person, the lawyer may inform the person of the terms on sent. Where a lawyer is not required by applicable law to do
which the lawyer’s client will enter into an agreement or settle a so, the decision to voluntarily return such a document or delete
matter, prepare documents that require the person’s signature electronically stored information is a matter of professional
and explain the lawyer’s own view of the meaning of the docu- judgment ordinarily reserved to the lawyer. See Rules 1.2
ment or the lawyer’s view of the underlying legal obligations. and 1.4.
See Rule 3.8 for particular duties of prosecutors in dealing
with unrepresented persons. LAW FIRMS AND ASSOCIATIONS
Rule 4.4. Respect for Rights of Third Rule 5.1. Responsibilities of Partners, Man-
Persons agers, and Supervisory Lawyers
(a) In representing a client, a lawyer shall not (Amended June 26, 2006, to take effect Jan. 1, 2007.)
use means that have no substantial purpose other (a) A partner in a law firm, and a lawyer who
than to embarrass, delay, or burden a third per- individually or together with other lawyers pos-
son, or use methods of obtaining evidence that sesses comparable managerial authority in a law
violate the legal rights of such a person. firm, shall make reasonable efforts to ensure that
(b) A lawyer who receives a document or elec- the firm has in effect measures giving reasonable
tronically stored information relating to the repre- assurance that all lawyers in the firm conform to
sentation of the lawyer’s client and knows or the Rules of Professional Conduct.
reasonably should know that the document or (b) A lawyer having direct supervisory authority
electronically stored information was inadver- over another lawyer shall make reasonable efforts
tently sent shall promptly notify the sender. to ensure that the other lawyer conforms to the
(P.B. 1978-1997, Rule 4.4.) (Amended June 26, 2006, to Rules of Professional Conduct.
take effect Jan. 1, 2007; amended June 14, 2013, to take (c) A lawyer shall be responsible for another
effect Jan. 1, 2014.) lawyer’s violation of the Rules of Professional
COMMENTARY: Responsibility to a client requires a lawyer Conduct if:
to subordinate the interests of others to those of the client,
but that responsibility does not imply that a lawyer may disre- (1) The lawyer orders or, with knowledge of the
gard the rights of third persons. It is impractical to catalogue specific conduct, ratifies the conduct involved; or
all such rights, but they include legal restrictions on methods (2) The lawyer is a partner or has comparable
of obtaining evidence from third persons and unwarranted managerial authority in the law firm in which the
intrusions into privileged relationships, such as the client-law- other lawyer practices, or has direct supervisory
yer relationship.
authority over the other lawyer, and knows of the
Subsection (b) recognizes that lawyers sometimes receive
a document or electronically stored information that was misconduct at a time when its consequences can be
takenly sent or produced by opposing parties or their lawyers. avoided or mitigated but fails to take reasonable
A document or electronically stored information is inadvertently remedial action.
sent when it is accidentally transmitted, such as when an (P.B. 1978-1997, Rule 5.1.) (Amended June 26, 2006, to
e-mail or letter is misaddressed or a document or electronically take effect Jan. 1, 2007.)
stored information is accidentally included with information that COMMENTARY: Subsection (a) applies to lawyers who
was intentionally transmitted. If a lawyer knows or reasonably have managerial authority over the professional work of a firm.
should know that such a document or electronically stored See Rule 1.0 (d). This includes members of a partnership,
information was sent inadvertently, then this Rule requires the the shareholders in a law firm organized as a professional
lawyer to promptly notify the sender in order to permit that corporation, and members of other associations authorized to
person to take protective measures. Whether the lawyer is practice law; lawyers having comparable managerial authority
required to take additional steps, such as returning the docu- in a legal services organization or a law department of an
ment or electronically stored information, is a matter of law enterprise or government agency; and lawyers who have inter-
beyond the scope of these Rules, as is the question of whether mediate managerial responsibilities in a firm. Subsection (b)
48
applies to lawyers who have supervisory authority over the Rule 5.2. Responsibilities of a Subordinate
work of other lawyers in a firm. Lawyer
Subsection (a) requires lawyers with managerial authority
within a firm to make reasonable efforts to establish internal A lawyer is bound by the Rules of Professional
policies and procedures designed to provide reasonable Conduct notwithstanding that that lawyer acted at
assurance that all lawyers in the firm will conform to the Rules the direction of another person.
of Professional Conduct. Such policies and procedures include (P.B. 1978-1997, Rule 5.2.) (Amended June 26, 2006, to
those designed to detect and resolve conflicts of interest, iden- take effect Jan. 1, 2007.)
tify dates by which actions must be taken in pending matters, COMMENTARY: Although a lawyer is not relieved of
account for client funds and property and ensure that inexperi- responsibility for a violation by the fact that the lawyer acted
enced lawyers are properly supervised. at the direction of a supervisor, that fact may be relevant in
determining whether a lawyer had the knowledge required to
Other measures that may be required to fulfill the responsi-
render conduct a violation of the Rules. For example, if a
bility prescribed in subsection (a) can depend on the firm’s
subordinate filed a frivolous pleading at the direction of a
structure and the nature of its practice. In a small firm of
supervisor, the subordinate would not be guilty of a profes-
experienced lawyers, informal supervision and periodic review sional violation unless the subordinate knew of the document’s
of compliance with the required systems ordinarily will suffice. frivolous character.
In a large firm, or in practice situations in which difficult ethical When lawyers in a supervisor-subordinate relationship
problems frequently arise, more elaborate measures may be encounter a matter involving professional judgment as to ethi-
necessary. Some firms, for example, have a procedure cal duty, the supervisor may assume responsibility for making
whereby junior lawyers can make confidential referral of ethical the judgment. Otherwise a consistent course of action or posi-
problems directly to a designated senior partner or special tion could not be taken. If the question can reasonably be
committee. See Rule 5.2. Firms, whether large or small, may answered only one way, the duty of both lawyers is clear and
also rely on continuing legal education in professional ethics. they are equally responsible for fulfilling it. However, if the
In any event, the ethical atmosphere of a firm can influence question is reasonably arguable, someone has to decide upon
the conduct of all its members and the partners may not the course of action. That authority ordinarily reposes in the
assume that all lawyers associated with the firm will inevitably supervisor, and a subordinate may be guided accordingly. For
conform to the Rules. example, if a question arises whether the interests of two
Subsection (c) expresses a general principle of personal clients conflict under Rule 1.7, the supervisor’s reasonable
responsibility for acts of another. See also Rule 8.4 (1). resolution of the question should protect the subordinate pro-
Subsection (c) (2) defines the duty of a partner or other fessionally if the resolution is subsequently challenged.
lawyer having comparable managerial authority in a law firm,
as well as a lawyer who has direct supervisory authority over
Rule 5.3. Responsibilities regarding Non-
performance of specific legal work by another lawyer. Whether lawyer Assistance
a lawyer has supervisory authority in particular circumstances (Amended June 13, 2014, to take effect Jan. 1, 2015.)
is a question of fact. Partners and lawyers with comparable With respect to a nonlawyer employed or
authority have at least indirect responsibility for all work being retained by or associated with a lawyer:
done by the firm, while a partner or manager in charge of a
(1) A partner, and a lawyer who individually or
particular matter ordinarily also has supervisory responsibility
for the work of other firm lawyers engaged in the matter.
together with other lawyers possesses compara-
Appropriate remedial action by a partner or managing lawyer ble managerial authority in a law firm shall make
would depend on the immediacy of that lawyer’s involvement reasonable efforts to ensure that the firm has in
and the seriousness of the misconduct. A supervisor is effect measures giving reasonable assurance that
required to intervene to prevent avoidable consequences of the person’s conduct is compatible with the pro-
misconduct if the supervisor knows that the misconduct fessional obligations of the lawyer;
occurred. Thus, if a supervising lawyer knows that a subordi- (2) A lawyer having direct supervisory authority
nate misrepresented a matter to an opposing party in negotia-
tion, the supervisor as well as the subordinate has a duty to
over the nonlawyer shall make reasonable efforts
correct the resulting misapprehension. to ensure that the person’s conduct is compatible
Professional misconduct by a lawyer under supervision with the professional obligations of the lawyer; and
could reveal a violation of subsection (b) on the part of the (3) A lawyer shall be responsible for conduct
supervisory lawyer even though it does not entail a violation of such a person that would be a violation of the
of subsection (c) because there was no direction, ratification Rules of Professional Conduct if engaged in by a
or knowledge of the violation. lawyer if:
Apart from this Rule and Rule 8.4 (1), a lawyer does not (A) The lawyer orders or, with the knowledge
have disciplinary liability for the conduct of a partner, associate of the specific conduct, ratifies the conduct
or subordinate. Whether a lawyer may be liable civilly or crimi-
involved; or
nally for another lawyer’s conduct is a question of law beyond
the scope of these Rules. (B) The lawyer is a partner or has comparable
The duties imposed by this Rule on managing and supervis- managerial authority in the law firm in which the
ing lawyers do not alter the personal duty of each lawyer in person is employed, or has direct supervisory
a firm to abide by the Rules of Professional Conduct. See authority over the person, and knows of the con-
Rule 5.2 (a). duct at a time when its consequences can be
49
avoided or mitigated but fails to take reasonable Rule 5.4. Professional Independence of a
remedial action. Lawyer
(P.B. 1978-1997, Rule 5.3.) (Amended June 26, 2006, to
(a) A lawyer or law firm shall not share legal
COMMENTARY: Lawyers generally employ assistants in
fees with a nonlawyer, except that:
their practice, including secretaries, investigators, law student (1) An agreement by a lawyer with the lawyer’s
interns, and paraprofessionals. Such assistants, whether firm, partner, or associate may provide for the
employees or independent contractors, act for the lawyer in payment of money, over a reasonable period of
rendition of the lawyer’s professional services. A lawyer must time after the lawyer’s death, to the lawyer’s estate
give such assistants appropriate instruction and supervision or to one or more specified persons;
concerning the ethical aspects of their employment, particu-
larly regarding the obligation not to disclose information relat- (2) A lawyer who purchases the practice of a
ing to representation of the client, and should be responsible deceased, disabled or disappeared lawyer may,
for their work product. The measures employed in supervising pursuant to the provisions of Rule 1.17, pay to
nonlawyers should take account of the fact that they do not the estate or other representative of that lawyer
have legal training and are not subject to professional dis- the agreed upon purchase price; and
cipline.
(3) A lawyer or law firm may include nonlawyer
Subdivision (1) requires lawyers with managerial authority
within a law firm to make reasonable efforts to ensure that employees in a compensation or retirement plan,
the firm has in effect measures giving reasonable assurance even though the plan is based in whole or in part
that nonlawyers in the firm and nonlawyers outside the firm on a profit-sharing arrangement.
who work on firm matters act in a way compatible with the (b) A lawyer shall not form a partnership with a
professional obligations of the lawyer. See Commentary to nonlawyer if any of the activities of the partnership
Rule 1.1 and first paragraph of Commentary to Rule 5.1. Subdi-
vision (2) applies to lawyers who have supervisory authority
consist of the practice of law.
over such nonlawyers within or outside the firm. Subdivision (c) A lawyer shall not permit a person who rec-
(3) specifies the circumstances in which a lawyer is responsible ommends, employs, or pays the lawyer to render
for the conduct of such nonlawyers within or outside the firm legal services for another to direct or regulate the
that would be a violation of the Rules of Professional Conduct lawyer’s professional judgment in rendering such
if engaged in by a lawyer. legal services.
Nonlawyers Outside the Firm. A lawyer may use nonlaw-
yers outside the firm to assist the lawyer in rendering legal
(d) A lawyer shall not practice with or in the
services to the client. Examples include the retention of an form of a professional corporation or association
investigative or paraprofessional service, hiring a document authorized to practice law for a profit, if:
management company to create and maintain a database for (1) A nonlawyer owns any interest therein,
complex litigation, sending client documents to a third party except that a fiduciary representative of the estate
for printing or scanning, and using an Internet-based service of a lawyer may hold the stock or interest of the
to store client information. When using such services outside
the firm, a lawyer must make reasonable efforts to ensure that
lawyer for a reasonable time during adminis-
the services are provided in a manner that is compatible with tration;
the lawyer’s professional obligations. The extent of this obliga- (2) A nonlawyer is a corporate director or officer
tion will depend upon the circumstances, including the educa- thereof or occupies the position of similar respon-
tion, experience and reputation of the nonlawyer; the nature sibility in any form of association other than a
of the services involved; the terms of any arrangements con-
corporation; or
cerning the protection of client information; and the legal and
ethical environments of the jurisdictions in which the services (3) A nonlawyer has the right to direct or control
will be performed, particularly with regard to confidentiality. the professional judgment of a lawyer.
See also Rules 1.1 (competence), 1.2 (allocation of authority), (P.B. 1978-1997, Rule 5.4.) (Amended June 26, 2006, to
1.4 (communication with client), 1.6 (confidentiality), 5.4 (a) take effect Jan. 1, 2007.)
(professional independence of the lawyer), and 5.5 (a) (unau- COMMENTARY: The provisions of this Rule express tradi-
thorized practice of law). When retaining or directing a nonlaw- tional limitations on sharing fees. These limitations are to pro-
yer outside the firm, a lawyer should communicate directions tect the lawyer’s professional independence of judgment.
appropriate under the circumstances to give reasonable assur- Where someone other than the client pays the lawyer’s fee
ance that the nonlawyer’s conduct is compatible with the pro- or salary, or recommends employment of the lawyer, that
fessional obligations of the lawyer. arrangement does not modify the lawyer’s obligation to the
Where the client directs the selection of a particular nonlaw- client. As stated in subsection (c), such arrangements should
yer service provider outside the firm, the lawyer may need not interfere with the lawyer’s professional judgment.
to consult with the client to determine how the outsourcing This Rule also expresses traditional limitations on permit-
arrangement should be structured and who will be responsible ting a third party to direct or regulate the lawyer’s professional
for monitoring the performance of the nonlawyer services. judgment in rendering legal services to another. See also Rule
Unless the client expressly agrees that the client will be respon- 1.8 (f) (lawyer may accept compensation from a third party as
sible for monitoring the nonlawyer’s services, the lawyer will long as there is no interference with the lawyer’s independent
be responsible for monitoring the nonlawyer’s services. professional judgment and the client gives informed consent).
50
Rule 5.5. Unauthorized Practice of Law (e) A lawyer not admitted to practice in this
(a) A lawyer shall not practice law in a jurisdic- jurisdiction and authorized by the provisions of
tion in violation of the regulation of the legal pro- this Rule to engage in providing legal services on
fession in that jurisdiction, or assist another in a temporary basis in this jurisdiction is thereby
doing so. The practice of law in this jurisdiction is subject to the disciplinary rules of this jurisdiction
defined in Practice Book Section 2-44A. Conduct with respect to the activities in this jurisdiction.
described in subsections (c) and (d) in another (f) A lawyer desirous of obtaining the privileges
jurisdiction shall not be deemed the unauthorized set forth in subsections (c) (3) or (4): (1) shall
practice of law for purposes of this subsection (a). notify the statewide bar counsel as to each sepa-
(b) A lawyer who is not admitted to practice in rate matter prior to any such representation in
this jurisdiction, shall not: Connecticut, (2) shall notify the statewide bar
(1) except as authorized by law, establish an counsel upon termination of each such represen-
office or other systematic and continuous pres- tation in Connecticut, and (3) shall pay such fees
ence in this jurisdiction for the practice of law; or as may be prescribed by the Judicial Branch.
(2) hold out to the public or otherwise represent (P.B. 1978-1997, Rule 5.5.) (Amended June 28, 1999, to
that the lawyer is admitted to practice law in effect Jan. 1, 2003; amended June 29, 2007, to take effect
this jurisdiction. Jan. 1, 2008; amended June 30, 2008, to take effect Jan. 1,
(c) A lawyer admitted in another United States 2009; amended June 15, 2012, to take effect Jan. 1, 2013;
jurisdiction which accords similar privileges to amended June 13, 2014, to take effect Jan. 1, 2015.)
Connecticut lawyers in its jurisdiction, and pro- COMMENTARY: A lawyer may practice law only in a juris-
vided that the lawyer is not disbarred or sus- diction in which the lawyer is authorized to practice. A lawyer
may be admitted to practice law in a jurisdiction on a regular
pended from practice in any jurisdiction, may basis or may be authorized by court rule or order or by law
provide legal services on a temporary basis in this to practice for a limited purpose or on a restricted basis. Sub-
jurisdiction, that: section (a) applies to unauthorized practice of law by a lawyer,
(1) are undertaken in association with a lawyer whether through the lawyer’s direct action or by the lawyer’s
who is admitted to practice in this jurisdiction and assisting another person. For example, a lawyer may not assist
who actively participates in the matter; a person in practicing law in violation of the rules governing
professional conduct in that person’s jurisdiction.
(2) are in or reasonably related to a pending or
A lawyer may provide professional advice and instruction
potential proceeding before a tribunal in this or to nonlawyers whose employment requires knowledge of the
another jurisdiction, if the lawyer, or a person the law; for example, claims adjusters, employees of financial
lawyer is assisting, is authorized by law or order or commercial institutions, social workers, accountants and
to appear in such proceeding or reasonably persons employed in government agencies. Lawyers also may
expects to be so authorized; assist independent nonlawyers, such as paraprofessionals,
(3) are in or reasonably related to a pending or who are authorized by the law of a jurisdiction to provide
particular law-related services. In addition, a lawyer may coun-
potential mediation or other alternative dispute sel nonlawyers who wish to proceed as self-represented
resolution proceeding in this or another jurisdic- parties.
tion, with respect to a matter that is substantially Other than as authorized by law or this Rule, a lawyer who
related to, or arises in, a jurisdiction in which the is not admitted to practice generally in this jurisdiction violates
lawyer is admitted to practice and are not services subsection (b) (1) if the lawyer establishes an office or other
for which the forum requires pro hac vice admis- systematic and continuous presence in this jurisdiction for the
sion; or practice of law. Presence may be systematic and continuous
even if the lawyer is not physically present here. Such a lawyer
(4) are not within subdivisions (c) (2) or (c) (3) must not hold out to the public or otherwise represent that the
and arise out of or are substantially related to the lawyer is admitted to practice law in this jurisdiction. See also
legal services provided to an existing client of Rules 7.1 (a) and 7.5 (b). A lawyer not admitted to practice
the lawyer’s practice in a jurisdiction in which the in this jurisdiction who engages in repeated and frequent activi-
lawyer is admitted to practice. ties of a similar nature in this jurisdiction such as the prepara-
tion and/or recording of legal documents (loans and
(d) A lawyer admitted to practice in another mortgages) involving residents or property in this state may
jurisdiction, and not disbarred or suspended from be considered to have a systematic and continuous presence
practice in any jurisdiction, may provide legal ser- in this jurisdiction that would not be authorized by this Rule
vices in this jurisdiction that: and could, thereby, be considered to constitute unauthorized
(1) the lawyer is authorized to provide pursuant practice of law.
to Practice Book Section 2-15A and the lawyer is There are occasions in which a lawyer admitted to practice
in another United States jurisdiction, and not disbarred or
an authorized house counsel as provided in that
suspended from practice in any jurisdiction, may provide legal
section; or services on a temporary basis in this jurisdiction under circum-
(2) the lawyer is authorized by federal or other stances that do not create an unreasonable risk to the interests
law or rule to provide in this jurisdiction. of their clients, the public or the courts. Subsection (c) identifies
51
four such circumstances. The fact that conduct is not so identi- the services are with respect to a matter that is substantially
fied does not imply that the conduct is or is not authorized. related to, or arises out of, a jurisdiction in which the lawyer
With the exception of subdivisions (d) (1) and (d) (2), this Rule is admitted to practice. The lawyer, however, must obtain
does not authorize a lawyer to establish an office or other admission pro hac vice in the case of a court-annexed arbitra-
systematic and continuous presence in this jurisdiction without tion or mediation or otherwise if court rules or law so require.
being admitted to practice generally here. There is no single Subdivision (c) (4) permits a lawyer admitted in another
test to determine whether a lawyer’s services are provided on jurisdiction to provide certain legal services on a temporary
a ‘‘temporary basis’’ in this jurisdiction and may, therefore, be basis in this jurisdiction if they arise out of or are substantially
permissible under subsection (c). Services may be ‘‘tempo- related to the lawyer’s practice in a jurisdiction in which the
rary’’ even though the lawyer provides services in this jurisdic- lawyer is admitted but are not within subdivisions (c) (2) or
tion for an extended period of time, as when the lawyer is (c) (3). These services include both legal services and services
representing a client in a single lengthy negotiation or litigation. that nonlawyers may perform but that are considered the prac-
Subsection (c) applies to lawyers who are admitted to practice of law when performed by lawyers.
tice law in any United States jurisdiction, which includes the Subdivision (c) (3) requires that the services be with respect
District of Columbia and any state, territory or commonwealth to a matter that is substantially related to, or arises out of, a
of the United States. The word ‘‘admitted’’ in subsection (c) jurisdiction in which the lawyer is admitted. A variety of factors
contemplates that the lawyer is authorized to practice in the may evidence such a relationship. However, the matter,
jurisdiction in which the lawyer is admitted and excludes a although involving other jurisdictions, must have a significant
lawyer who, while technically admitted, is not authorized to connection with the jurisdiction in which the lawyer is admitted
practice, because, for example, the lawyer is in an inactive to practice. A significant aspect of the lawyer’s work might be
status. conducted in that jurisdiction or a significant aspect of the
Subdivision (c) (1) recognizes that the interests of clients matter may involve the law of that jurisdiction. The necessary
and the public are protected if a lawyer admitted only in another relationship might arise when the client’s activities and the
jurisdiction associates with a lawyer licensed to practice in resulting legal issues involve multiple jurisdictions. Subdivision
this jurisdiction. For this subdivision to apply, however, the (c) (4) requires that the services provided in this jurisdiction
lawyer admitted to practice in this jurisdiction must actively in which the lawyer is not admitted to practice be for (1) an
participate in and share responsibility for the representation existing client, i.e., one with whom the lawyer has a previous
of the client. relationship and not arising solely out of a Connecticut based
Lawyers not admitted to practice generally in a jurisdiction matter and (2) arise out of or be substantially related to the
may be authorized by law or order of a tribunal or an adminis- legal services provided to that client in a jurisdiction in which
trative agency to appear before the tribunal or agency. This the lawyer is admitted to practice. Without both, the lawyer is
authority may be granted pursuant to formal rules governing prohibited from practicing law in the jurisdiction in which the
admission pro hac vice or pursuant to informal practice of the lawyer is not admitted to practice.
tribunal or agency. Under subdivision (c) (2), a lawyer does Subdivision (d) (2) recognizes that a lawyer may provide
not violate this Rule when the lawyer appears before a tribunal legal services in a jurisdiction in which the lawyer is not
or agency pursuant to such authority. To the extent that a licensed when authorized to do so by federal or other law,
court rule or other law of this jurisdiction requires a lawyer which includes statute, court rule, executive regulation or judi-
who is not admitted to practice in this jurisdiction to obtain cial precedent.
admission pro hac vice before appearing before a tribunal or A lawyer who practices law in this jurisdiction pursuant to
administrative agency, this Rule requires the lawyer to obtain subsections (c) or (d) or otherwise is subject to the disciplinary
that authority. authority of this jurisdiction. See Rule 8.5 (a).
Subdivision (c) (2) also provides that a lawyer rendering In some circumstances, a lawyer who practices law in this
services in this jurisdiction on a temporary basis does not jurisdiction pursuant to subsections (c) or (d) may have to
violate this Rule when the lawyer engages in conduct in antici- inform the client that the lawyer is not licensed to practice law
pation of a proceeding or hearing in a jurisdiction in which the in this jurisdiction.
lawyer is authorized to practice law or in which the lawyer Subsections (c) and (d) do not authorize communications
reasonably expects to be admitted pro hac vice. Examples of advertising legal services in this jurisdiction by lawyers who
such conduct include meetings with the client, interviews of are admitted to practice in other jurisdictions. Whether and
potential witnesses, and the review of documents. Similarly, how lawyers may communicate the availability of their services
a lawyer admitted only in another jurisdiction may engage in this jurisdiction is governed by Rules 7.1 to 7.5.
in conduct temporarily in this jurisdiction in connection with
pending litigation in another jurisdiction in which the lawyer is Rule 5.6. Restrictions on Right to Practice
or reasonably expects to be authorized to appear, including A lawyer shall not participate in offering or
taking depositions in this jurisdiction.
When a lawyer has been or reasonably expects to be admit-
making:
ted to appear before a court or administrative agency, subdivi- (1) A partnership, shareholders, operating,
sion (c) (2) also permits conduct by lawyers who are associated employment, or other similar type of agreement
with that lawyer in the matter, but who do not expect to appear that restricts the right of a lawyer to practice after
before the court or administrative agency. For example, subor- termination of the relationship, except an
dinate lawyers may conduct research, review documents, and agreement concerning benefits upon retirement;
attend meetings with witnesses in support of the lawyer
responsible for the litigation.
or
Subdivision (c) (3) permits a lawyer admitted to practice (2) An agreement in which a restriction on the
law in another jurisdiction to perform services on a temporary lawyer’s right to practice is part of the settlement
basis in this jurisdiction if those services are in or reasonably of a client controversy.
related to a pending or potential mediation or other alternative (P.B. 1978-1997, Rule 5.6.) (Amended June 26, 2006, to
dispute resolution proceeding in this or another jurisdiction, if take effect Jan. 1, 2007.)
52
COMMENTARY: An agreement restricting the right of law- (1) Representing the client is likely to result in
yers to practice after leaving a firm not only limits their profes- violation of the Rules of Professional Conduct or
sional autonomy but also limits the freedom of clients to choose
a lawyer. Subdivision (1) prohibits such agreements except
other law;
for restrictions incident to provisions concerning retirement (2) Representing the client is likely to result in an
benefits for service with the firm. unreasonable financial burden on the lawyer; or
Subdivision (2) prohibits a lawyer from agreeing not to rep- (3) The client or the cause is so repugnant to
resent other persons in connection with settling a claim on the lawyer as to be likely to impair the client-lawyer
behalf of a client.
This Rule does not apply to prohibit restrictions that may
relationship or the lawyer’s ability to represent
be included in the terms of the sale of a law practice pursuant the client.
to Rule 1.17. (P.B. 1978-1997, Rule 6.2.)
COMMENTARY: A lawyer ordinarily is not obliged to accept
PUBLIC SERVICE a client whose character or cause the lawyer regards as repug-
nant. The lawyer’s freedom to select clients is, however, quali-
Rule 6.1. Pro Bono Publico Service fied. All lawyers have a responsibility to assist in providing pro
A lawyer should render public interest legal ser- bono publico service. See Rule 6.1. An individual lawyer fulfills
vice. A lawyer may discharge this responsibility this responsibility by accepting a fair share of unpopular mat-
ters or indigent or unpopular clients. A lawyer may also be
by providing professional services at no fee or a subject to appointment by a court to serve unpopular clients
reduced fee to persons of limited means or to or persons unable to afford legal services.
public service or charitable groups or organiza- Appointed Counsel. For good cause a lawyer may seek
tions, by service in activities for improving the law, to decline an appointment to represent a person who cannot
the legal system or the legal profession, and by afford to retain counsel or whose cause is unpopular. Good
financial support for organizations that provide cause exists if the lawyer could not handle the matter compe-
legal services to persons of limited means. tently, see Rule 1.1, or if undertaking the representation would
(P.B. 1978-1997, Rule 6.1.) result in an improper conflict of interest, for example, when
COMMENTARY: The ABA House of Delegates has formally the client or the cause is so repugnant to the lawyer as to be
acknowledged ‘‘the basic responsibility of each lawyer likely to impair the client-lawyer relationship or the lawyer’s
engaged in the practice of law to provide public interest legal ability to represent the client. A lawyer may also seek to decline
services’’ without fee, or at a substantially reduced fee in one an appointment if acceptance would be unreasonably burden-
or more of the following areas: poverty law, civil rights law, some, for example, when it would impose a financial sacrifice
public rights law, charitable organization representation and so great as to be unjust.
the administration of justice. This Rule expresses that policy An appointed lawyer has the same obligations to the client
but is not intended to be enforced through disciplinary process. as retained counsel, including the obligations of loyalty and
The rights and responsibilities of individuals and organiza- confidentiality, and is subject to the same limitations on the
tions in the United States are increasingly defined in legal client-lawyer relationship, such as the obligation to refrain from
terms. As a consequence, legal assistance in coping with the assisting the client in violation of the Rules.
web of statutes, rules and regulations is imperative for persons
of modest and limited means, as well as for the relatively well- Rule 6.3. Membership in Legal Services
to-do. Organization
The basic responsibility for providing legal services for those
unable to pay ultimately rests upon the individual lawyer, and A lawyer may serve as a director, officer or
personal involvement in the problems of the disadvantaged member of a legal services organization, apart
can be one of the most rewarding experiences in the life of a from the law firm in which the lawyer practices,
lawyer. Every lawyer, regardless of professional prominence notwithstanding that the organization serves per-
or professional workload, should find time to participate in
or otherwise support the provision of legal services to the
sons having interests adverse to a client of the
disadvantaged. The provision of free legal services to those lawyer. The lawyer shall not knowingly participate
unable to pay reasonable fees continues to be an obligation in a decision or action of the organization:
of each lawyer as well as the profession generally, but the (1) If participating in the decision or action would
efforts of individual lawyers are often not enough to meet the be incompatible with the lawyer’s obligations to a
need. Thus, it has been necessary for the profession and
government to institute additional programs to provide legal
client under Rule 1.7; or
services. Accordingly, legal aid offices, lawyer referral services (2) Where the decision or action could have a
and other related programs have been developed, and others material adverse effect on the representation of
will be developed by the profession and government. Every a client of the organization whose interests are
lawyer should support all proper efforts to meet this need for adverse to a client of the lawyer.
legal services. Law firms should act reasonably to enable and (P.B. 1978-1997, Rule 6.3.)
encourage all lawyers in the firm to provide the pro bono legal
COMMENTARY: Lawyers should be encouraged to support
services recommended by this Rule.
and participate in legal services organizations. A lawyer who
Rule 6.2. Accepting Appointments is an officer or a member of such an organization does not
thereby have a client-lawyer relationship with persons served
A lawyer shall not seek to avoid appointment by the organization. However, there is potential conflict
by a tribunal to represent a person except for good between the interests of such persons and the interests of the
cause, such as: lawyer’s clients. If the possibility of such conflict disqualified
53
a lawyer from serving on the board of a legal services organiza- Except as provided in this Rule, the Rules of Pro-
tion, the profession’s involvement in such organizations would fessional Conduct, including Rules 1.6 and 1.9
be severely curtailed.
(c), are applicable to the limited representation.
It may be necessary in appropriate cases to reassure a
client of the organization that the representation will not be
(c) Except as provided in subsection (a) (2),
affected by conflicting loyalties of a member of the board. Rule 1.10 is inapplicable to a representation gov-
Established, written policies in this respect can enhance the erned by this Rule.
credibility of such assurances. (Adopted June 26, 2006, to take effect Jan. 1, 2007.)
COMMENTARY: Legal services organizations, courts and
Rule 6.4. Law Reform Activities Affecting various nonprofit organizations have established programs
Client Interests through which lawyers provide short-term limited legal ser-
vices—such as advice or the completion of legal forms—that
A lawyer may serve as a director, officer or will assist persons to address their legal problems without
member of an organization involved in reform of further representation by a lawyer. In these programs, such
the law or its administration notwithstanding that as legal advice hotlines, advice only clinics or self-represented
the reform may affect the interests of a client of party counseling programs, a client-lawyer relationship is
established, but there is no expectation that the lawyer’s
the lawyer. When the lawyer knows that the inter- representation of the client will continue beyond the limited
ests of a client may be materially benefitted by a consultation. Such programs are normally operated under cir-
decision in which the lawyer participates, the law- cumstances in which it is not feasible for a lawyer to systemati-
yer shall disclose that fact but need not identify cally screen for conflicts of interest as is generally required
the client. before undertaking a representation. See, e.g., Rules 1.7,
(P.B. 1978-1997, Rule 6.4.) 1.9 and 1.10.
Because a lawyer who is representing a client in the circum-
COMMENTARY: Lawyers involved in organizations seek-
stances addressed by this Rule ordinarily is not able to check
ing law reform generally do not have a client-lawyer relation-
systematically for conflicts of interest, subsection (a) requires
ship with the organization. Otherwise, it might follow that a
compliance with Rules 1.7 or 1.9 (a) only if the lawyer knows
lawyer could not be involved in a bar association law reform that the representation presents a conflict of interest for the
program that might indirectly affect a client. See also Rule 1.2 lawyer, and with Rule 1.10 only if the lawyer knows that another
(b). For example, a lawyer specializing in antitrust litigation lawyer in the lawyer’s firm is disqualified by Rules 1.7 or 1.9
might be regarded as disqualified from participating in drafting (a) in the matter.
revisions of rules governing that subject. In determining the Because the limited nature of the services significantly
nature and scope of participation in such activities, a lawyer reduces the risk of conflicts of interest with other matters being
should be mindful of obligations to clients under other Rules, handled by the lawyer’s firm, subsection (b) provides that Rule
particularly Rule 1.7. A lawyer is professionally obligated to 1.10 is inapplicable to a representation governed by this Rule
protect the integrity of the program by making an appropriate except as provided by subsection (a) (2). Subsection (a) (2)
disclosure within the organization when the lawyer knows a requires the participating lawyer to comply with Rule 1.10 when
private client might be materially benefitted. 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
Rule 6.5. Nonprofit and Court-Annexed Lim- participation in a short-term limited legal services program will
ited Legal Services Programs not preclude the lawyer’s firm from undertaking or continuing
the representation of a client with interests adverse to a client
(a) A lawyer who, under the auspices of a pro- being represented under the program’s auspices. Nor will the
gram sponsored by a nonprofit organization or personal disqualification of a lawyer participating in the pro-
court, provides short-term limited legal services gram be imputed to other lawyers participating in the program.
to a client without expectation by either the lawyer If, after commencing a short-term limited representation in
or the client that the lawyer will provide continuing accordance with this Rule, a lawyer undertakes to represent
the client in the matter on an ongoing basis, Rules 1.7, 1.9
representation in the matter: (a) and 1.10 become applicable.
(1) is subject to Rules 1.7 and 1.9 (a) only if
the lawyer knows that the representation of the INFORMATION ABOUT LEGAL SERVICES
client involves a conflict of interest; and
(2) is subject to Rule 1.10 only if the lawyer Rule 7.1. Communications concerning a
Lawyer’s Services
knows that another lawyer associated with the
lawyer in a law firm is disqualified by Rule 1.7 or A lawyer shall not make a false or misleading
1.9 (a) with respect to the matter. communication about the lawyer or the lawyer’s
(b) A lawyer who provides short-term limited services. A communication is false or misleading
legal services pursuant to this Rule must secure if it contains a material misrepresentation of fact
the client’s informed consent to the limited scope or law, or omits a fact necessary to make the
of the representation. See Rule 1.2 (c). If a short- statement considered as a whole not materially
term limited representation would not be reason- misleading.
able under the circumstances, the lawyer may take effect Jan. 1, 2007.)
offer advice to the client but must also advise the COMMENTARY: This Rule governs all communications
client of the need for further assistance of counsel. about a lawyer’s services, including advertising permitted by
54
Rule 7.2. Whatever means are used to make known a lawyer’s number of the lawyer admitted in Connecticut
services, statements about them must be truthful. Statements, shall be displayed in bold print for fifteen seconds
even if literally true, that are misleading are also prohibited
by this Rule. A truthful statement is misleading if it omits a fact
or the duration of the commercial, whichever is
necessary to make the lawyer’s communication considered as less, and shall be prominent enough to be
a whole not materially misleading. A truthful statement is also readable.
misleading if there is a substantial likelihood that it will lead (e) Advertisements on the electronic media
a reasonable person to formulate a specific conclusion about such as television and radio may contain the same
the lawyer or the lawyer’s services for which there is no reason- factual information and illustrations as permitted
able factual foundation.
An advertisement that truthfully reports a lawyer’s achieve-
in advertisements in the print media.
ments on behalf of clients or former clients may be misleading (f) Every advertisement and written communi-
if presented so as to lead a reasonable person to form an cation that contains information about the lawyer’s
unjustified expectation that the same results could be obtained fee, including those indicating that the charging
for other clients in similar matters without reference to the of a fee is contingent on outcome, or that no fee
specific factual and legal circumstances of each client’s case. will be charged in the absence of a recovery, or
Similarly, an unsubstantiated comparison of the lawyer’s ser-
vices or fees with the services or fees of other lawyers may
that the fee will be a percentage of the recovery,
be misleading if presented with such specificity as would lead shall disclose whether and to what extent the cli-
a reasonable person to conclude that the comparison can be ent will be responsible for any court costs and
substantiated. The inclusion of an appropriate disclaimer or expenses of litigation. The disclosure concerning
qualifying language may preclude a finding that a statement court costs and expenses of litigation shall be in
is likely to create unjustified expectations or otherwise mislead the same print size and type as the information
the public.
See also Rule 8.4 (5) for the prohibition against stating or
regarding the lawyer’s fee and, if broadcast, shall
implying an ability to influence improperly a government appear for the same duration as the information
agency or official or to achieve results by means that violate regarding the lawyer’s fee. If the information
the Rules of Professional Conduct or other law. regarding the fee is spoken, the disclosure con-
cerning court costs and expenses of litigation shall
Rule 7.2. Advertising also be spoken.
(a) Subject to the requirements set forth in (g) A lawyer who advertises a specific fee or
Rules 7.1 and 7.3, a lawyer may advertise ser- range of fees for a particular service shall honor
vices through written, recorded or electronic com- the advertised fee or range of fees for at least
munication, including public media. ninety days unless the advertisement specifies a
(b) (1) A copy or recording of an advertisement shorter period; provided that, for advertisements
or communication shall be kept for three years in the yellow pages of telephone directories or
after its last dissemination along with a record other media not published more frequently than
of when and where it was used. An electronic annually, the advertised fee or range of fees shall
advertisement or communication shall be copied be honored for no less than one year following
once every three months on a compact disc or publication.
similar technology and kept for three years after (h) No lawyers shall directly or indirectly pay all
its last dissemination. or part of the cost of an advertisement by a lawyer
(2) A lawyer shall comply with the mandatory not in the same firm unless the advertisement
filing requirement of Practice Book Section 2-28A. discloses the name and address of the nonadver-
(c) A lawyer shall not give anything of value to tising lawyer, and whether the advertising lawyer
a person for recommending the lawyer’s services, may refer any case received through the adver-
except that a lawyer may: tisement to the nonadvertising lawyer.
(1) pay the reasonable cost of advertisements (i) The following information in advertisements
or communications permitted by this Rule; and written communications shall be presumed
(2) pay the usual charges of a not-for-profit or not to violate the provisions of Rule 7.1:
qualified lawyer referral service. A qualified lawyer (1) Subject to the requirements of Rule 7.3, the
referral service is a lawyer referral service that name of the lawyer or law firm, a listing of lawyers
has been approved by an appropriate regula- associated with the firm, office addresses and
tory authority; telephone numbers, office and telephone service
(3) pay for a law practice in accordance with hours, fax numbers, website and e-mail
Rule 1.17. addresses and domain names, and a designation
(d) Any advertisement or communication made such as ‘‘attorney’’ or ‘‘law firm.’’
pursuant to this Rule shall include the name of at (2) Date of admission to the Connecticut bar
least one lawyer admitted in Connecticut respon- and any other bars and a listing of federal courts
sible for its content. In the case of television adver- and jurisdictions where the lawyer is licensed to
tisements, the name, address and telephone practice.
55
(3) Technical and professional licenses granted going beyond specified facts about a lawyer, or against ‘‘undig-
by the state or other recognized licensing nified’’ advertising. Television, the Internet, and other forms
of electronic communication are now among the most powerful
authorities. media for getting information to the public, particularly persons
(4) Foreign language ability. of low and moderate income; prohibiting television, Internet,
(5) Fields of law in which the lawyer practices and other forms of electronic advertising, therefore, would
or is designated, subject to the requirements of impede the flow of information about legal services to many
Rule 7.4, or is certified pursuant to Rule 7.4A. sectors of the public. Limiting the information that may be
advertised has a similar effect and assumes that the bar can
(6) Prepaid or group legal service plans in which accurately forecast the kind of information that the public would
the lawyer participates. regard as relevant.
(7) Acceptance of credit cards. Neither this Rule nor Rule 7.3 prohibits communications
(8) Fee for initial consultation and fee schedule. authorized by law, such as notice to members of a class in
(9) A listing of the name and geographic location class action litigation.
Record of Advertising. Subsection (b) requires that a
of a lawyer or law firm as a sponsor of a public record of the content and use of advertising be kept in order
service announcement or charitable, civic or com- to facilitate enforcement of this Rule. It does not require that
munity program or event. advertising be subject to review prior to dissemination. Such
(10) Nothing in this Rule prohibits a lawyer or a requirement would be burdensome and expensive relative
law firm from permitting the inclusion in the law to its possible benefits, and may be of doubtful constitutionality.
directories intended primarily for the use of the Paying Others to Recommend a Lawyer. Except as per-
mitted under subsection (c) (1) through (c) (3), lawyers are
legal profession of such information as has tradi- not permitted to pay others for recommending the lawyer’s
tionally been included in these publications. services or for channeling professional work in a manner that
(j) Notwithstanding the provisions of subsection violates Rule 7.3. A communication contains a recommenda-
(d), a lawyer and service may participate in an tion if it endorses or vouches for a lawyer’s credentials, abili-
internet based client to lawyer matching service, ties, competence, character, or other professional qualities.
Subsection (c) (1), however, allows a lawyer to pay for advertis-
provided the service otherwise complies with the ing and communications permitted by this Rule, including the
Rules of Professional Conduct. If the service pro- costs of print directory listings, on-line directory listings, news-
vides an exclusive referral to a lawyer or law firm paper advertisements, television and radio airtime, domain
for a particular practice area in a particular geo- name registrations, sponsorship fees, advertisements,
graphical region, then the service must comply Internet-based advertisements, and group advertising. A law-
with subsection (d). yer may compensate employees, agents and vendors who are
engaged to provide marketing or client development services,
such as publicists, public relations personnel, business devel-
opment staff and website designers. See also Rule 5.3 (duties
of lawyers and law firms with respect to the conduct of nonlaw-
COMMENTARY: To assist the public in learning about and yers); Rule 8.4 (a) (duty to avoid violating the Rules through
obtaining legal services, lawyers should be allowed to make the acts of another).
known their services not only through reputation but also A lawyer may pay the usual charges of a legal service plan
through organized information campaigns in the form of adver- or a not-for-profit or qualified lawyer referral service. A legal
tising. Advertising involves an active quest for clients, contrary service plan is a prepaid or group legal service plan or a similar
to the tradition that a lawyer should not seek clientele. How- delivery system that assists people who seek to secure legal
ever, the public’s need to know about legal services can be representation. A lawyer referral service, on the other hand,
fulfilled in part through advertising. This need is particularly is any organization that holds itself out to the public as a lawyer
acute in the case of persons of moderate means who have referral service. Such referral services are understood by the
not made extensive use of legal services. The interest in public to be consumer oriented organizations that provide unbi-
expanding public information about legal services ought to ased referrals to lawyers with appropriate experience in the
prevail over considerations of tradition. Nevertheless, advertis- subject matter of the representation and afford other client
ing by lawyers entails the risk of practices that are misleading protections, such as complaint procedures or malpractice
or overreaching. insurance requirements. Consequently, this Rule only permits
This Rule permits public dissemination of information con- a lawyer to pay the usual charges of a not-for-profit or qualified
cerning a lawyer’s name or firm name, address, e-mail lawyer referral service. A qualified lawyer referral service is
address, website, and telephone number; the kinds of services one that is approved by an appropriate regulatory authority
the lawyer will undertake; the basis on which the lawyer’s as affording adequate protections for the public. See, e.g.,
fees are determined, including prices for specific services and the American Bar Association’s Model Supreme Court Rules
payment and credit arrangements; whether and to what extent Governing Lawyer Referral Services and Model Lawyer Refer-
the client will be responsible for any court costs and expenses ral and Information Service Quality Assurance Act (requiring
of litigation; lawyer’s foreign language ability; names of refer- that organizations that are identified as lawyer referral ser-
ences and, with their consent, names of clients regularly repre- vices: [i] permit the participation of all lawyers who are licensed
sented; and other information that might invite the attention and eligible to practice in the jurisdiction and who meet reason-
of those seeking legal assistance. able objective eligibility requirements as may be established
Questions of effectiveness and taste in advertising are mat- by the referral service for the protection of the public; [ii] require
ters of speculation and subjective judgment. Some jurisdic- each participating lawyer to carry reasonably adequate mal-
tions have had extensive prohibitions against television practice insurance; [iii] act reasonably to assess client satisfac-
advertising and other forms of advertising, against advertising tion and address client complaints; and [iv] do not make
56
referrals to lawyers who own, operate or are employed by the death or otherwise relates to an accident or disas-
referral service). ter involving the person to whom the communica-
A lawyer who accepts assignments or referrals from a legal
service plan or referrals from a lawyer referral service must
tion is addressed or a relative of that person,
act reasonably to assure that the activities of the plan or service unless the accident or disaster occurred more
are compatible with the lawyer’s professional obligations. See than forty days prior to the mailing of the communi-
Rule 5.3. Legal service plans and lawyer referral services may cation.
communicate with the public, but such communication must (c) Every written communication, as well as any
be in conformity with these Rules. Thus, advertising must not
be false or misleading, as would be the case if the communica-
communication by audio or video recording, or
tions of a group advertising program or a group legal services other electronic means, used by a lawyer for the
plan would mislead the public to think that it was a lawyer purpose of obtaining professional employment
referral service sponsored by a state agency or bar associa- from anyone known to be in need of legal services
tion. Nor could the lawyer allow in person, telephonic, or real- in a particular matter, must be clearly and promi-
time contacts that would violate Rule 7.3. nently labeled ‘‘Advertising Material’’ in red ink on
Rule 7.3. Solicitation of Clients the first page of any written communication and
the lower left corner of the outside envelope or
(a) A lawyer shall not initiate personal, live tele- container, if any, and at the beginning and ending
phone, or real-time electronic contact, including of any communication by audio or video recording
telemarketing contact, for the purpose of obtaining or other electronic means. If the written communi-
professional employment, except in the follow- cation is in the form of a self-mailing brochure or
ing circumstances: pamphlet, the label ‘‘Advertising Material’’ in red
(1) If the target of the solicitation is a close ink shall appear on the address panel of the bro-
friend, relative, former client or one whom the chure or pamphlet. Brochures solicited by clients
lawyer reasonably believes to be a client; or any other person need not contain such mark.
(2) Under the auspices of a public or charitable No reference shall be made in the communication
legal services organization; to the communication having any kind of approval
(3) Under the auspices of a bona fide political, from the Connecticut bar. Such written communi-
social, civic, fraternal, employee or trade organi- cations shall be sent only by regular United States
zation whose purposes include but are not limited mail, not by registered mail or other forms of
to providing or recommending legal services, if restricted delivery.
the legal services are related to the principal pur- (d) The first sentence of any written communi-
poses of the organization; cation concerning a specific matter shall be: ‘‘If
(4) If the target of the solicitation is a business you have already retained a lawyer for this matter,
organization, a not-for-profit organization or gov- please disregard this letter.’’
ernmental body and the lawyer seeks to provide (e) A written communication seeking employ-
services related to the organization. ment in a specific matter shall not reveal on the
(b) A lawyer shall not contact or send a written envelope, or on the outside of a self-mailing bro-
or electronic communication to any person for the chure or pamphlet, the nature of the legal matter.
purpose of obtaining professional employment if: (f) If a contract for representation is mailed with
(1) The lawyer knows or reasonably should the communication, the top of each page of the
know that the physical, emotional or mental state contract shall be marked ‘‘Sample’’ in bold letters
of the person makes it unlikely that the person in red ink in a type size one size larger than the
would exercise reasonable judgment in employing largest type used in the contract and the words
a lawyer; ‘‘Do Not Sign’’ in bold letters shall appear on the
(2) It has been made known to the lawyer that client signature line.
the person does not want to receive such commu- (g) Written communications shall be on letter-
nications from the lawyer; sized paper rather than legal-sized paper and
(3) The communication involves coercion, shall not be made to resemble legal pleadings or
duress, fraud, overreaching, harassment, intimi- other legal documents. This provision does not
dation or undue influence; preclude the mailing of brochures and pamphlets.
(4) The written communication concerns a spe- (h) If a lawyer other than the lawyer whose
cific matter and the lawyer knows or reasonably name or signature appears on the communication
should know that the person to whom the commu- will actually handle the case or matter, or if the
nication is directed is represented by a lawyer in case or matter will be referred to another lawyer
the matter; or or law firm, any written communication concerning
(5) The written or electronic communication a specific matter shall include a statement so
concerns an action for personal injury or wrongful advising the target of the solicitation.
57
(i) Notwithstanding the prohibitions in subsec- requirements of Rule 7.3 (c) are not applicable in those situa-
tion (a), a lawyer may participate with a prepaid tions. Also, nothing in this Commentary is intended to prohibit
a lawyer from participating in constitutionally protected activi-
or group legal service plan operated by an organi-
ties of public or charitable legal service organizations or bona
zation not owned or directed by the lawyer which fide political, social, civic, fraternal, employee or trade organi-
uses in-person or telephone contact to solicit zations whose purposes include providing or recommending
memberships or subscriptions for the plan from legal services to their members or beneficiaries.
persons who are not known to need legal services In determining whether a contact is permissible under Rule
in a particular matter covered by the plan. 7.3 (b), it is relevant to consider the time and circumstances
(P.B. 1978-1997, Rule 7.3.) (Amended June 26, 2006, to under which the contact is initiated. For example, a person
take effect Jan. 1, 2007; amended June 13, 2014, to take undergoing active medical treatment for traumatic injury is
effect Jan. 1, 2015.) unlikely to be in an emotional state in which reasonable judg-
COMMENTARY: A solicitation is a targeted communication ment about employing a lawyer can be exercised. Moreover,
initiated by the lawyer that is directed to a specific person and if after sending a letter or other communication to a member
that offers to provide, or can reasonably be understood as of the public as permitted by Rule 7.2 the lawyer receives no
offering to provide, legal services. In contrast, a lawyer’s com- response, any further effort to communicate with the person
munication typically does not constitute a solicitation if it is may violate the provisions of Rule 7.3 (b).
directed to the general public, such as through a billboard, The requirement in Rule 7.3 (c) that certain communications
an Internet banner advertisement, a website or a television be marked ‘‘Advertising Material’’ does not apply to communi-
commercial, or if it is in response to a request for information cations sent in response to requests of potential clients or
or is automatically generated in response to Internet searches. their spokespersons or sponsors. General announcements by
Unrestricted solicitation involves definite social harms. lawyers, including changes in personnel or office location, do
Among these are harassment, overreaching, provocation of not constitute communications soliciting professional employ-
nuisance litigation and schemes for systematic fabrication of ment from any person known to be in need of legal services
claims, all of which were experienced prior to adoption of within the meaning of this Rule.
restrictions on solicitation. Measures reasonably designed to This Rule is not intended to prohibit a lawyer from contacting
suppress these harms are constitutionally legitimate. At the representatives of organizations or groups that may be inter-
same time, measures going beyond realization of such objec- ested in establishing a group or prepaid legal plan for their
tives would appear to be invalid under relevant decisions of members, insureds, beneficiaries or other third parties for the
the United States Supreme Court. purpose of informing such entities of the availability of and
The potential for abuse inherent in direct in-person, live details concerning the plan or arrangement which the lawyer
telephone or real-time electronic solicitation justifies their pro- or lawyer’s firm is willing to offer. This form of communication
hibition, particularly since lawyers have alternative means of is not directed to people who are seeking legal services for
conveying necessary information to those who may be in need themselves. Rather, it is usually addressed to an individual
of legal services. In particular, communications can be mailed acting in a fiduciary capacity seeking a supplier of legal ser-
or transmitted by e-mail or other electronic means that do vices for others who may, if they choose, become prospective
not involve real-time contact and do not violate other laws clients of the lawyer. Under these circumstances, the activity
governing solicitations. These forms of communications and which the lawyer undertakes in communicating with such rep-
solicitations make it possible for the public to be informed
resentatives and the type of information transmitted to the
about the need for legal services, and about the qualifications
individual are functionally similar to and serve the same pur-
of available lawyers and law firms, without subjecting the public
pose as advertising permitted under Rule 7.2. Subsection (i)
to direct in-person, telephone or real-time electronic persua-
of this Rule would permit an attorney to participate with an
sion that may overwhelm a person’s judgment.
organization which uses personal contact to solicit members
The use of general advertising and written, recorded and
for its group or prepaid legal service plan, provided that the
electronic communications to transmit information from lawyer
personal contact is not undertaken by any lawyer who would
to the public, rather than direct in-person, live telephone, or
real-time electronic contact, will help to ensure that the infor- be a provider of legal services through the plan.
mation flows cleanly as well as freely. The contents of adver- Subsection (i) of this Rule permits a lawyer to participate
tisements and communications permitted under Rule 7.2 can with an organization that uses personal contact to solicit mem-
be permanently recorded so that they cannot be disputed and bers for its group or prepaid legal service plan, provided that
may be shared with others who know the lawyer. This potential the personal contact is not undertaken by any lawyer who
for informal review is itself likely to help guard against state- would be a provider of legal services through the plan. The
ments and claims that might constitute false and misleading organization must not be owned by or directed (whether as
communications, in violation of Rule 7.1. The contents of direct manager or otherwise) by any lawyer or law firm that partici-
in-person, live telephone, or real-time electronic contact can pates in the plan. For example, subsection (i) would not permit
be disputed and are not subject to a third-party scrutiny. Con- a lawyer to create an organization controlled directly or indi-
sequently, they are much more likely to approach (and occa- rectly by the lawyer and use the organization for the in-person
sionally cross) the dividing line between accurate or telephone solicitation of legal employment of the lawyer
representations and those that are false and misleading. through memberships in the plan or otherwise. The communi-
There is far less likelihood that a lawyer would engage in cation permitted by these organizations also must not be
abusive practices against a former client, or a person with directed to a person known to need legal services in a particular
whom the lawyer has a close personal or family relationship, or matter, but is to be designed to inform potential plan members
in situations in which the lawyer is motivated by considerations generally of another means of affordable legal services. Law-
other than the lawyer’s pecuniary gain. Nor is there a serious yers who participate in a legal service plan must reasonably
potential for abuse when the person contacted is a lawyer. ensure that the plan sponsors are in compliance with Rules
Consequently, the general prohibition in Rule 7.3 (a) and the 7.1, 7.2 and 7.3 (b). See 8.4 (a).
58
RULES OF PROFESSIONAL CONDUCT Rule 7.4A
Rule 7.4. Communication of Fields of lawyer was certified, the date of such certification
Practice and the date such certification expires.
(a) A lawyer may communicate the fact that the (c) A lawyer shall not state that he or she is a
lawyer does or does not practice in particular fields certified specialist if the lawyer’s certification has
of law. terminated, or if the statement is otherwise con-
(b) A lawyer admitted to engage in patent prac- trary to the terms of such certification.
tice before the United States Patent and Trade- (d) Certification as a specialist may not be attrib-
mark Office may use the designation ‘‘Patent uted to a law firm.
Attorney’’ or a substantially similar designation. (e) Lawyers may be certified as specialists in
(c) A lawyer engaged in admiralty practice may the following fields of law:
use the designation ‘‘Admiralty,’’ ‘‘Proctor in Admi- (1) Administrative law: The practice of law deal-
ralty’’ or a substantially similar designation. ing with states, their political subdivisions,
(d) A lawyer shall not state or imply that the regional and metropolitan authorities and other
lawyer is a specialist in a particular field of law public entities including, but not limited to, their
except as provided herein and in Rule 7.4A. rights and duties, financing, public housing and
(P.B. 1978-1997, Rule 7.4.) (Amended June 30, 2008, to urban development, the rights of public employ-
take effect Jan. 1, 2009.) ees, election law, school law, sovereign immunity,
COMMENTARY: This Rule permits a lawyer to indicate and constitutional law; practice before federal and
fields of practice in communications about the lawyer’s ser- state courts and governmental agencies.
vices. If a lawyer practices only in certain fields, or will not (2) Admiralty: The practice of law dealing with
accept matters except in such fields, the lawyer is permitted
so to indicate. A lawyer may indicate that the lawyer ‘‘concen-
all matters arising under the Carriage of Goods
trates in,’’ ‘‘focuses on,’’ or that the practice is ‘‘limited to’’ by Sea Act (COGSA), Harter Act, Jones Act, and
particular fields of practice as long as the statements are not federal and state maritime law including, but not
false or misleading in violation of Rule 7.1. However, the lawyer limited to, the carriage of goods, collision and
may not use the terms ‘‘specialist,’’ ‘‘certified,’’ ‘‘board-certi- other maritime torts, general average, salvage,
fied,’’ ‘‘expert’’ or any similar variation, unless the lawyer has limitation of liability, ship financing, ship subsidies,
been certified in accordance with Rule 7.4A.
the rights of injured sailors and longshoremen;
Recognition of specialization in patent matters is a matter
of long-established policy of the Patent and Trademark Office. practice before federal and state courts and gov-
Designation of admiralty practice has a long historical tradition ernmental agencies (including the Federal Mari-
associated with maritime commerce and the federal courts. time Commission).
(3) Antitrust: The practice of law dealing with
Rule 7.4A. Certification as Specialist all matters arising under the Sherman Act, Clayton
(a) Except as provided in Rule 7.4, a lawyer Act, Federal Trade Commission Act, Hart-Scott-
shall not state or imply that he or she is a specialist Rodino Antitrust Improvements Act and state anti-
in a field of law unless the lawyer is currently trust statutes including, but not limited to,
certified as a specialist in that field of law by a restraints of trade, unfair competition, monopoli-
board or other entity which is approved by the zation, price discrimination, restrictive practices;
Rules Committee of the superior court of this practice before federal and state courts and gov-
state. Among the criteria to be considered by the ernmental agencies.
Rules Committee in determining upon application (4) Appellate practice: The practice of law deal-
whether to approve a board or entity as an agency ing with all procedural and substantive aspects of
which may certify lawyers practicing in this state civil and criminal matters before federal and state
as being specialists, shall be the requirement that appeals courts including, but not limited to, argu-
the board or entity certify specialists on the basis ments and the submission of briefs.
of published standards and procedures which (1) (5) Business Bankruptcy: The practice of law
do not discriminate against any lawyer properly dealing with all aspects of the United States Bank-
qualified for such certification, (2) provide a rea- ruptcy Code when the debtor was engaged in
sonable basis for the representation that lawyers business before the institution of a Chapter 7, 9,
so certified possess special competence, and (3) or 11 proceeding. This includes, but is not limited
require redetermination of the special qualifica- to, business liquidations, business reorganiza-
tions of certified specialists after a period of not tions, and related adversary and contested pro-
more than five years. ceedings.
(b) Upon certifying a lawyer practicing in this (6) Child Welfare Law: The practice of law rep-
state as being a specialist, the board or entity resenting children, parents or the government in
that certified the lawyer shall notify the statewide all child protection proceedings including emer-
grievance committee of the name and juris num- gency, temporary custody, adjudication, disposi-
ber of the lawyer, the specialty field in which the tion, foster care, permanency planning,
59
Rule 7.4A RULES OF PROFESSIONAL CONDUCT
termination, guardianship, and adoption. Child (15) Elder law: The practice of law involving the
Welfare Law does not include representation in counseling and representation of older persons
private child custody and adoption disputes where and their representatives relative to the legal
the state is not a party. aspects of health and long term care planning
(7) Consumer Bankruptcy: The practice of law and financing; public benefits; alternative living
dealing with all aspects of the United States Bank- arrangements and attendant residents’ rights
ruptcy Code when the debtor was not engaged under state and federal law; special needs coun-
in business before the institution of a Chapter 7, seling; surrogate decision making; decision mak-
12, or 13 proceeding. This includes, but is not ing capacity; conservatorships; conservation,
limited to, liquidations, wage earner plans, family disposition, and administration of the estates of
farmers and related adversary and contested pro- older persons and the implementation of deci-
ceedings. sions of older persons and their representatives
(8) Civil rights and discrimination: The practice relative to the foregoing with due consideration
of law dealing with all matters arising under federal to the applicable tax consequences of an action,
and state law relating to proper treatment in the involving, when appropriate, consultation and col-
areas of, among others, public accommodations, laboration with professionals in related disci-
voting, employment, housing, administration of plines. Lawyers certified in elder law must be
welfare and social security benefits; practice capable of recognizing issues that arise during
before federal and state courts and governmen- counseling and representation of older persons or
tal agencies. their representatives with respect to the following:
(9) Civil trial practice: The practice of law deal- Abuse, neglect or exploitation of older persons;
ing with representation of parties before federal estate, trust, and tax planning; other probate mat-
or state courts in all noncriminal matters. ters. Elder law specialists must be capable of rec-
(10) Commercial transactions: The practice of ognizing the professional conduct and ethical
law dealing with all aspects of commercial paper, issues that arise during representation.
contracts, sales and financing, including, but not (16) Environmental: The practice of law dealing
limited to, secured transactions. with all aspects of the regulation of environmental
(11) Consumer claims and protection: The prac- quality by both federal and state governments;
tice of law dealing with all aspects of consumer control of air pollution, water pollution, noise pollu-
transactions including, but not limited to, sales tion, toxic substances, pesticides, and civilian
practices, credit transactions, secured transac- uses of nuclear energy; solid waste/resource
tions and warranties; all matters arising under the recovery; all matters arising under the National
Equal Credit Opportunity Act, the Fair Credit Environmental Policy Act, Clean Air Act, Federal
Reporting Act, the Magnuson-Moss Act, the Truth Water Pollution Control Act, Noise Control Act,
in Lending Act, state statutes such as the ‘‘Little Solid Waste Disposal Act, Toxic Substance Con-
FTC’’ acts, and other analogous federal and trol Act and other federal and state environmental
state statutes. statutes; practice before federal and state courts
(12) Corporate and business organizations: and governmental agencies.
The practice of law dealing with all aspects of the (17) Estate planning and probate: The practice
formation, operation and dissolution of corpora- of law dealing with all aspects of the analysis and
tions, partnerships (general and limited), agency planning for the conservation and disposition of
and other forms of business organizations. estates, giving due consideration to the applicable
(13) Corporate finance and securities: The tax consequences, both federal and state; the
practice of law dealing with all matters arising preparation of legal instruments in order to effec-
under the Securities Act of 1933, Securities tuate estate plans; administering estates, includ-
Exchange Act of 1934, Investment Advisors Act ing tax related matters, both federal and state.
(or the Federal Securities Code, if adopted) and (18) Family and matrimonial: The practice of
other federal and state securities statutes; financ- law dealing with all aspects of antenuptial and
ing corporate activities; mergers and acquisitions; domestic relationships, separation and divorce,
practice before the Securities and Exchange alimony and child support, distribution of assets,
Commission and state securities commissions. child custody matters and adoption, giving due
(14) Criminal: The practice of law dealing with consideration to the tax consequences, and court
the prosecution or representation of persons proceedings relating thereto.
accused of crimes at all stages of criminal pro- (19) Government contracts and claims: The
ceedings in federal or state courts including, but practice of law dealing with all aspects of the
not limited to, the protection of the accused’s con- negotiation and administration of contracts with
stitutional rights. federal and state governmental agencies.
60
RULES OF PROFESSIONAL CONDUCT Rule 7.4B
(20) Immigration and naturalization: The prac- residential dwellings when the client uses such
tice of law dealing with obtaining and retaining dwelling or expresses in writing the intent to use
permission to enter and remain in the United such dwelling as the client’s primary or other resi-
States including, but not limited to, such matters dence including, but not limited to, real estate
as visas, change of status, deportation and natu- conveyances, title searches and property trans-
ralization; representation of aliens before courts fers, leases, condominiums, cooperatives, and
and governmental agencies; protection of aliens’ other common interest communities, planned unit
constitutional rights. developments, mortgages, condemnation and
(21) International: The practice of law dealing eminent domain, zoning and land use planning,
with all aspects of the relations among states, property taxes, and determination of property
international business transactions, international rights.
taxation, customs and trade law and foreign and (B) Commercial Real Estate: The practice of
comparative law. law dealing with all aspects of real property trans-
(22) Labor: The practice of law dealing with actions except for residential real estate as
all aspects of employment relations (public and defined in subparagraph (A) of this subdivision,
private) including, but not limited to, unfair labor including, but not limited to, real estate convey-
practices, collective bargaining, contract adminis- ances, title searches and property transfers,
tration, the rights of individual employees and leases, condominiums, cooperatives and other
union members, employment discrimination; all common interest communities, planned unit
matters arising under the National Labor Rela- developments, mortgages, condemnation and
tions Act (Wagner Act), Labor Management Rela- eminent domain, zoning and land use planning,
tions Act (Taft-Hartley Act), Labor Management property taxes, real estate development and
Reporting and Disclosure Act (Landrum-Griffin financing (with due consideration to tax and secu-
Act), Fair Labor Standards Act, Title VII of The rities consequences) and determination of prop-
Civil Rights Act of 1964, Occupational Safety and erty rights.
Health Act (OSHA), Employee Retirement Income (27) Taxation: The practice of law dealing with
Security Act (ERISA), other federal statutes and all matters arising under the Internal Revenue
analogous state statutes; practice before the Code, Employee Retirement Income Security Act
National Labor Relations Board, analogous state (ERISA), state and local tax laws and foreign tax
boards, federal and state courts, and arbitrators. laws, including counseling with respect thereto;
(23) Military: The practice of law dealing with practice before federal and state courts and gov-
the presentation of parties before courts-martial ernmental agencies.
and other military tribunals in disputes arising (28) Workers’ Compensation: The practice of
under the uniform code of military justice; the rep- law dealing with the representation of parties
resentation of veterans and their dependents in before federal and state agencies, boards and
seeking government benefits due to them on courts in actions to determine eligibility for work-
account of military service; handling civil law prob- ers’ compensation, and disability.
lems of the military. (P.B. 1978-1997, Rule 7.4A.) (Amended June 20, 2005, to
(24) Natural Resources: The practice of law take effect Jan. 1, 2006; amended June 29, 2007, to take
effect Jan. 1, 2008; amended June 30, 2008, to take effect,
dealing with all aspects of the regulation of natural Jan. 1, 2009; amended June 13, 2014, to take effect Jan.
resources such as coal, oil, gas, minerals, water 1, 2015.)
and public lands; the rights and responsibilities
relating to the ownership and exploitation of such Rule 7.4B. Legal Specialization Screening
natural resources. Committee
(25) Patent, trademark and copyright: The prac- (a) The chief justice, upon recommendation of
tice of law dealing with all aspects of the registra- the Rules Committee of the superior court, shall
tion, protection and licensing of patents, appoint a committee of five members of the bar
trademarks or copyrights; practice before federal of this state which shall be known as the ‘‘Legal
and state courts in actions for infringement and Specialization Screening Committee.’’ The Rules
other actions; the prosecution of applications Committee of the superior court shall designate
before the United States Patent and Trademark one appointee as chair of the Legal Specialization
Office; counseling with regard to the law of unfair Screening Committee and another as vice chair
competition as it relates to patents, trademarks to act in the absence or disability of the chair.
and copyrights. (b) When the committee is first selected, two
(26) (A) Residential Real Estate: The practice of its members shall be appointed for a term of
of law dealing with all aspects of real property one year, two members for a term of two years,
transactions involving single one-to-four family and one member for a term of three years, and
61
Rule 7.4B RULES OF PROFESSIONAL CONDUCT
thereafter all regular terms shall be three years. the ability to further distribute an electronic copy for the consid-
Terms shall commence on July 1. In the event eration of Committee members will increase efficiency and
cut costs.
that a vacancy arises in this position before the
end of a term, the Chief Justice, upon recommen- Rule 7.5. Firm Names and Letterheads
dation of the Rules Committee of the superior
court, shall appoint a member of the bar of this (a) A lawyer shall not use a firm name, letter-
state to fill the vacancy for the balance of the term. head or other professional designation that vio-
The Legal Specialization Screening Committee lates Rule 7.1. A trade name may be used by a
shall act only with a concurrence of a majority of its lawyer in private practice if it does not imply a
members, provided, however, that three members connection with a government agency or with a
shall constitute a quorum. public or charitable legal services organization
(c) The Legal Specialization Screening Com- and is not otherwise in violation of Rule 7.1.
mittee shall have the power and duty to: (b) A law firm with offices in more than one
(1) Receive applications from boards or other jurisdiction may use the same name in each juris-
entities for authority to certify lawyers practicing diction, but identification of the lawyers in an office
in this state as being specialists in a certain area of the firm shall indicate the jurisdictional limita-
or areas of law. tions on those not licensed to practice in the juris-
(2) Investigate each applicant to determine diction where the office is located.
whether it meets the criteria set forth in Rule (c) The name of a lawyer holding a public office
7.4A (a). shall not be used in the name of a law firm, or in
(3) Submit to the Rules Committee of the supe- communications on its behalf, during any substan-
rior court a written recommendation, with reasons tial period in which the lawyer is not actively and
therefor, for approval or disapproval of each appli- regularly practicing with the firm.
cation, or for the termination of any prior approval (d) Lawyers may state or imply that they prac-
granted by the Rules Committee. tice in a partnership or other organization only
(4) Adopt regulations and develop forms neces- when that is the fact.
sary to carry out its duties under this section. The (P.B. 1978-1997, Rule 7.5.)
regulations and forms shall not become effective COMMENTARY: A firm may be designated by the names
until first approved by the Rules Committee of the of all or some of its members, by the names of deceased
members where there has been a continuing succession in
superior court.
the firm’s identity or by a trade name such as the ‘‘ABC Legal
(5) Consult with such persons deemed by the Clinic.’’ Although the United States Supreme Court has held
committee to be knowledgeable in the fields of that legislation may prohibit the use of trade names in profes-
law to assist it in carrying out its duties. sional practice, use of such names in law practice is acceptable
(P.B. 1978-1997, Rule 7.4B.) so long as it is not misleading. If a private firm uses a trade
name that includes a geographical name such as ‘‘Springfield
Rule 7.4C. Application by Board or Entity to Legal Clinic,’’ an express disclaimer that it is a public legal
Certify Lawyers as Specialists aid agency may be required to avoid a misleading implication.
Any board or entity seeking the approval of the It may be observed that any firm name including the name of
a deceased partner is, strictly speaking, a trade name. The
Rules Committee of the superior court for author- use of such names to designate law firms has proven a useful
ity to certify lawyers practicing in this state as means of identification. However, it is misleading to use the
being specialists in a certain field or fields of law name of a lawyer not associated with the firm or a predecessor
as set forth in Rule 7.4A (e), shall file an original of the firm.
and six copies of its application with the Legal With regard to subsection (d), lawyers sharing office facili-
Specialization Screening Committee pursuant to ties, but who are not in fact partners, may not denominate
Rule 7.4B on form JD-ES-63. The application themselves as, for example, ‘‘Smith and Jones,’’ for that title
materials shall be filed in a format prescribed by suggests partnership in the practice of law.
the Legal Specialization Screening Committee, MAINTAINING THE INTEGRITY OF
which may require them to be filed electronically. THE PROFESSION
take effect Jan. 1, 2009; amended June 12, 2015, to take Rule 8.1. Bar Admission and Disciplinary
HISTORY—2016: In 2016, ‘‘on form JD-ES-63’’ was added
Matters
to the first sentence after ‘‘Rule 7.4B.’’ Also in 2016, what is An applicant for admission to the bar, or a law-
now the second sentence was added. yer in connection with a bar admission application
AMENDMENT NOTE: The amendment to this rule gives or in connection with a disciplinary matter, shall
the Legal Specialization Screening Committee the option to
require that applications be filed electronically because appli- not:
cations are voluminous and are required to be filed in multiple (1) Knowingly make a false statement of mate-
copies for further distribution by the Judicial Branch. Having rial fact; or
62
(2) Fail to disclose a fact necessary to correct Rule 8.3. Reporting Professional Mis-
a misapprehension known by the person to have conduct
arisen in the matter, or knowingly fail to respond (a) A lawyer who knows that another lawyer has
to a lawful demand for information from an admis- committed a violation of the Rules of Professional
sions or disciplinary authority, except that this rule Conduct that raises a substantial question as to
does not require disclosure of information other- that lawyer’s honesty, trustworthiness or fitness
wise protected by Rule 1.6. as a lawyer in other respects, shall inform the
(P.B. 1978-1997, Rule 8.1.) appropriate professional authority. A lawyer may
COMMENTARY: The duty imposed by this Rule extends not condition settlement of a civil dispute involving
to persons seeking admission to the bar as well as to lawyers. allegations of improprieties on the part of a lawyer
Hence, if a person makes a material false statement in connec- on an agreement that the subject misconduct not
tion with an application for admission, it may be the basis for
subsequent disciplinary action if the person is admitted, and
be reported to the appropriate disciplinary
in any event may be relevant in a subsequent admission appli- authority.
cation. The duty imposed by this Rule applies to a lawyer’s (b) A lawyer who knows that a judge has com-
own admission or discipline as well as that of others. Thus, it mitted a violation of applicable rules of judicial
is a separate professional offense for a lawyer to knowingly conduct that raises a substantial question as to
make a misrepresentation or omission in connection with a the judge’s fitness for office shall inform the appro-
disciplinary investigation of the lawyer’s own conduct. Subdivi- priate authority.
sion (2) of this Rule also requires correction of any prior mis-
statement in the matter that the applicant or lawyer may have
(c) This Rule does not require disclosure of
made and affirmative clarification of any misunderstanding on information otherwise protected by Rule 1.6 or
the part of the admissions or disciplinary authority of which General Statutes § 51-81d (f) or obtained while
the person involved becomes aware. serving as a member of a bar association ethics
This Rule is subject to the provisions of the fifth amendment committee or the Judicial Branch Committee on
to the United States Constitution and corresponding provisions Judicial Ethics.
of state constitutions. A person relying on such a provision in (P.B. 1978-1997, Rule 8.3.) (Amended June 26, 2006, to
response to a question, however, should do so openly and take effect Jan. 1, 2007; amended June 30, 2008, to take
not use the right of nondisclosure as a justification for failure effect Aug. 1, 2008.)
to comply with this Rule. COMMENTARY: Self-regulation of the legal profession
A lawyer representing an applicant for admission to the requires that members of the profession initiate a disciplinary
bar, or representing a lawyer who is the subject of a disciplinary investigation when they know of a violation of the Rules of
inquiry or proceeding, is governed by the rules applicable to Professional Conduct. Lawyers have a similar obligation with
the client-lawyer relationship, including Rule 1.6 and, in some respect to judicial misconduct. An apparently isolated violation
cases, Rule 3.3. may indicate a pattern of misconduct that only a disciplinary
investigation can uncover. Reporting a violation is especially
Rule 8.2. Judicial and Legal Officials important where the victim is unlikely to discover the offense.
A report about misconduct is not required where it would
(a) A lawyer shall not make a statement that involve violation of Rule 1.6. However, a lawyer should encour-
the lawyer knows to be false or with reckless disre- age a client to consent to disclosure where prosecution would
gard as to its truth or falsity concerning the qualifi- not substantially prejudice the client’s interests.
cations or integrity of a judge, adjudicatory officer If a lawyer were obliged to report every violation of the
or public legal officer, or of a candidate for election Rules, the failure to report any violation would itself be a
professional offense. Such a requirement existed in many
or appointment to judicial or legal office. jurisdictions but proved to be unenforceable. This Rule limits
(b) A lawyer who is a candidate for judicial office the reporting obligation to those offenses that a self-regulating
shall comply with the applicable provisions of the profession must vigorously endeavor to prevent. A measure
Code of Judicial Conduct. of judgment is, therefore, required in complying with the provi-
(P.B. 1978-1997, Rule 8.2.) sions of this Rule. The term ‘‘substantial’’ refers to the seri-
ousness of the possible offense and not the quantum of
COMMENTARY: Assessments by lawyers are relied on in
evidence of which the lawyer is aware. A report should be
evaluating the professional or personal fitness of persons
made to the bar disciplinary agency unless some other agency,
being considered for election or appointment to judicial office
such as a peer review agency, is more appropriate in the
and to public legal offices, such as attorney general, prosecut-
circumstances. Similar considerations apply to the reporting
ing attorney and public defender. Expressing honest and can- of judicial misconduct.
did opinions on such matters contributes to improving the The duty to report professional misconduct does not apply
administration of justice. Conversely, false statements by a to a lawyer retained to represent a lawyer whose professional
lawyer can unfairly undermine public confidence in the admin- conduct is in question. Such a situation is governed by the
istration of justice. Rules applicable to the client-lawyer relationship.
When a lawyer seeks judicial office, the lawyer should be Information about a lawyer’s or judge’s misconduct or fit-
bound by applicable limitations on political activity. ness may be received by a lawyer in the course of that lawyer’s
To maintain the fair and independent administration of jus- participation in an approved lawyers or judges assistance pro-
tice, lawyers are encouraged to continue traditional efforts to gram. In that circumstance, providing for an exception to the
defend judges and courts unjustly criticized. reporting requirements of subsections (a) and (b) of this Rule
63
encourages lawyers and judges to seek treatment through when such actions are prejudicial to the administration of jus-
such a program. Conversely, without such an exception, law- tice. Legitimate advocacy respecting the foregoing factors
yers and judges may hesitate to seek assistance from these does not violate subdivision (4).
programs, which may then result in additional harm to their A lawyer may refuse to comply with an obligation imposed
professional careers and additional injury to the welfare of by law upon a good faith belief that no valid obligation exists.
clients and the public. The provisions of Rule 1.2 (d) concerning a good faith chal-
lenge to the validity, scope, meaning or application of the law
Rule 8.4. Misconduct apply to challenges of legal regulation of the practice of law.
Lawyers holding public office assume legal responsibilities
It is professional misconduct for a lawyer to: going beyond those of other citizens. A lawyer’s abuse of
(1) Violate or attempt to violate the Rules of public office can suggest an inability to fulfill the professional
Professional Conduct, knowingly assist or induce role of a lawyer. The same is true of abuse of positions of
another to do so, or do so through the acts of private trust, such as trustee, executor, administrator, guard-
another; ian, agent and officer, director or manager of a corporation or
other organization.
(2) Commit a criminal act that reflects adversely
on the lawyer’s honesty, trustworthiness or fitness Rule 8.5. Disciplinary Authority; Choice of
as a lawyer in other respects; Law
(3) Engage in conduct involving dishonesty, (Amended June 26, 2006, to take effect Jan. 1, 2007.)
fraud, deceit or misrepresentation; (a) Disciplinary Authority. A lawyer admitted to
(4) Engage in conduct that is prejudicial to the practice in this jurisdiction is subject to the disci-
administration of justice; plinary authority of this jurisdiction, regardless of
(5) State or imply an ability to influence improp- where the lawyer’s conduct occurs. A lawyer not
erly a government agency or official or to achieve admitted in this jurisdiction is also subject to the
results by means that violate the Rules of Profes- disciplinary authority of this jurisdiction if the law-
sional Conduct or other law; or yer provides or offers to provide any legal services
(6) Knowingly assist a judge or judicial officer in this jurisdiction. A lawyer may be subject to the
in conduct that is a violation of applicable rules disciplinary authority of both this jurisdiction and
of judicial conduct or other law. another jurisdiction for the same conduct.
(P.B. 1978-1997, Rule 8.4.) (Amended June 26, 2006, to (b) Choice of Law. In any exercise of the disci-
take effect Jan. 1, 2007.) plinary authority of this jurisdiction, the rules of
COMMENTARY: Lawyers are subject to discipline when professional conduct to be applied shall be as
they violate or attempt to violate the Rules of Professional
Conduct, knowingly assist or induce another to do so or do
follows:
so through the acts of another, as when they request or instruct (1) For conduct in connection with a matter
an agent to do so on the lawyer’s behalf. Subdivision (1), pending before a tribunal, the rules of the jurisdic-
however, does not prohibit a lawyer from advising a client tion in which the tribunal sits, unless the rules of
concerning action the client is legally entitled to take. the tribunal provide otherwise; and
Many kinds of illegal conduct reflect adversely on fitness (2) For any other conduct, the rules of the juris-
to practice law, such as offenses involving fraud and the diction in which the lawyer’s conduct occurred, or,
offense of wilful failure to file an income tax return. However,
some kinds of offenses carry no such implication. Traditionally,
if the predominant effect of the conduct is in a
the distinction was drawn in terms of offenses involving ‘‘moral different jurisdiction, the rules of that jurisdiction
turpitude.’’ That concept can be construed to include offenses shall be applied to the conduct. A lawyer shall not
concerning some matters of personal morality, such as adul- be subject to discipline if the lawyer’s conduct
tery and comparable offenses, which have no specific connec- conforms to the rules of a jurisdiction in which
tion to fitness for the practice of law. Although a lawyer is the lawyer reasonably believes the predominant
personally answerable to the entire criminal law, a lawyer effect of the lawyer’s conduct will occur.
should be professionally answerable only for offenses that (P.B. 1978-1997, Rule 8.5.) (Amended June 26, 2006, to
indicate lack of those characteristics relevant to law practice. take effect Jan. 1, 2007.)
Offenses involving violence, dishonesty, breach of trust, or COMMENTARY: Disciplinary Authority. It is longstanding
serious interference with the administration of justice are in law that the conduct of a lawyer admitted to practice in this
that category. A pattern of repeated offenses, even ones of jurisdiction is subject to the disciplinary authority of this jurisdic-
minor significance when considered separately, can indicate tion. Extension of the disciplinary authority of this jurisdiction
indifference to legal obligation. Counseling or assisting a client to other lawyers who provide or offer to provide legal services
with regard to conduct expressly permitted under Connecticut in this jurisdiction is for the protection of the citizens of this
law is not conduct that reflects adversely on a lawyer’s fitness jurisdiction. Reciprocal enforcement of a jurisdiction’s disciplin-
notwithstanding any conflict with federal or other law. Nothing ary findings and sanctions will further advance the purposes
in this commentary shall be construed to provide a defense of this Rule. See Rules 6 and 22, ABA Model Rules for Lawyer
to a presentment filed pursuant to Practice Book Section 2-41. Disciplinary Enforcement. A lawyer who is admitted pursuant
A lawyer who, in the course of representing a client, know- to Practice Book Sections 2-16 or 2-17 et seq. is subject to
ingly manifests by words or conduct, bias or prejudice based the disciplinary authority of this jurisdiction under Rule 8.5 (a)
upon race, sex, religion, national origin, disability, age, sexual and appoints an official to be designated by this court to receive
orientation or socioeconomic status, violates subdivision (4) service of process in this jurisdiction. The fact that the lawyer
64
is subject to the disciplinary authority of this jurisdiction may shall be subject to the rules of the jurisdiction in which the
be a factor in determining whether personal jurisdiction may lawyer’s conduct occurred, or, if the predominant effect of the
be asserted over the lawyer for civil matters. conduct is in another jurisdiction, the rules of that jurisdiction
Choice of Law. A lawyer may be potentially subject to shall be applied to the conduct. So long as the lawyer’s conduct
more than one set of rules of professional conduct which conforms to the rules of a jurisdiction in which the lawyer
impose different obligations. The lawyer may be licensed to reasonably believes the predominant effect will occur, the law-
practice in more than one jurisdiction with differing rules, or yer shall not be subject to discipline under this Rule.
may be admitted to practice before a particular court with rules When a lawyer’s conduct involves significant contacts with
that differ from those of the jurisdiction or jurisdictions in which more than one jurisdiction, it may not be clear whether the
the lawyer is licensed to practice. Additionally, the lawyer’s predominant effect of the lawyer’s conduct will occur in a
conduct may involve significant contacts with more than jurisdiction other than the one in which the conduct occurred.
one jurisdiction. So long as the lawyer’s conduct conforms to the rules of a
Subsection (b) seeks to resolve such potential conflicts. Its jurisdiction in which the lawyer reasonably believes the pre-
premise is that minimizing conflicts between rules, as well as dominant effect will occur, the lawyer shall not be subject to
uncertainty about which rules are applicable, is in the best discipline under this Rule. With respect to conflicts of interest,
interest of both clients and the profession (as well as the bodies in determining a lawyer’s reasonable belief under subsection
(b) (2), a written agreement between the lawyer and client
having authority to regulate the profession). Accordingly, it
that reasonably specifies a particular jurisdiction as within the
takes the approach of (i) providing that any particular conduct
scope of that paragraph may be considered if the agreement
of a lawyer shall be subject to only one set of rules of profes- was obtained with the client’s informed consent confirmed in
sional conduct, and (ii) making the determination of which set the agreement.
of rules applies to particular conduct as straightforward as If two admitting jurisdictions were to proceed against a
possible, consistent with recognition of appropriate regulatory lawyer for the same conduct, they should, applying this Rule,
interests of relevant jurisdictions. identify the same governing ethics rules. They should take all
Subsection (b) (1) provides that, as to a lawyer’s conduct appropriate steps to see that they do apply the same rule to
relating to a proceeding pending before a tribunal, the lawyer the same conduct, and in all events should avoid proceeding
shall be subject only to the rules of the jurisdiction in which against a lawyer on the basis of two inconsistent rules.
the tribunal sits unless the rules of the tribunal, including its The choice of law provision applies to lawyers engaged in
choice of law rule, provide otherwise. As to all other conduct, transnational practice, unless international law, treaties or
including conduct in anticipation of a proceeding not yet pend- other agreements between competent regulatory authorities
ing before a tribunal, subsection (b) (2) provides that a lawyer in the affected jurisdictions provide otherwise.
65
Preamble
Scope
Terminology
Application
Canons
Rules
Comments
For the Code of Judicial Conduct as it read prior their professional and personal lives by general
to 2011, see editions of the Practice Book prior ethical standards as well as by the law, which
to the 2011 edition. includes this Code, it is intended to assist judges
AMENDMENT NOTE: This is a major rewrite of the Code in maintaining the highest standards of profes-
of Judicial Conduct, adopted by the judges of the superior sional and personal conduct, as it affects their
court on June 21, 2010, the judges of the appellate court on judicial work.
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 SCOPE
Model Code adopted by the ABA in 2007. Our prior Code,
which was adopted with an effective date of October 1, 1974, (1) The Code of Judicial Conduct consists of
was based on the Model Code adopted by the ABA in 1972. four Canons, numbered Rules1 under each
In the early 1990s, the ABA adopted a revised Model Code; Canon, and Comments that generally follow and
however, the major changes in the Model Code were not explain each Rule. Scope and Terminology sec-
adopted by the judges of Connecticut. tions provide additional guidance in interpreting
PREAMBLE and applying the Code. An Application section
establishes when the various Rules apply to a
(1) An independent, fair and impartial judiciary judge.
is indispensable to our system of justice. The (2) The Canons state overarching principles of
United States legal system is based on the princi- judicial ethics that all judges must observe.
ple that an independent, impartial, and competent Although a judge may be disciplined hereunder
judiciary, composed of men and women of integ- only for violating a Rule, the Canons provide
rity, will interpret and apply the law that governs important guidance in interpreting the Rules.
our society. Thus, the judiciary plays a central role Where a Rule contains a permissive term, such
in preserving the principles of justice and the rule as ‘‘may’’ or ‘‘should,’’ the conduct being
of law. Inherent in all the Rules contained in this
addressed is committed to the sound personal
Code are the precepts that judges, individually
and professional discretion of the judge in ques-
and collectively, must respect and honor the judi-
tion, and no disciplinary action shall be taken for
cial office as a public trust and strive to maintain
action or inaction within the bounds of such dis-
and enhance confidence in the legal system.
(2) Judges should maintain the dignity of judicial cretion.
office at all times and avoid both impropriety and (3) The Comments that accompany the Rules
the appearance of impropriety in their professional serve two functions. First, they provide guidance
and personal lives. They should aspire at all times regarding the purpose, meaning, and proper
to conduct that ensures the greatest possible pub- application of the Rules. They contain explanatory
lic confidence in their independence, impartiality, material and, in some instances, provide exam-
integrity, and competence. ples of permitted or prohibited conduct. Com-
(3) The Code of Judicial Conduct establishes ments neither add to nor subtract from the binding
standards for the ethical conduct of judges in mat- obligations set forth in the Rules. Therefore, when
ters affecting the performance of their judicial a Comment contains the term ‘‘must,’’ it does not
duties and the fair and efficient operation of the mean that the Comment itself is binding or
courts or other tribunals on which they serve. enforceable; it signifies that the Rule in question,
Although it is not intended as an exhaustive guide 1
References herein to numbered Rules are to the Rules of
for the conduct of judges, who must be guided in this Code, unless stated otherwise.
66
properly understood, is obligatory as to the con- ‘‘De minimis,’’ in the context of interests per-
duct at issue. taining to disqualification of a judge, means an
(4) Second, the Comments identify aspirational insignificant interest that could not raise a reason-
goals for judges. To implement fully the principles able question regarding the judge’s impartiality.
of this Code as articulated in the Canons, judges See Rule 2.11.
should strive to exceed the standards of conduct ‘‘Domestic partner’’ means a person with whom
established by the Rules, holding themselves to another person maintains a household and an
the highest ethical standards and seeking to intimate relationship, other than a spouse. See
achieve those aspirational goals, thereby enhanc- Rules 2.11, 2.13, 3.13, and 3.14.
ing the dignity of the judicial office. ‘‘Economic interest’’ means ownership of more
(5) The Rules of the Code of Judicial Conduct than a de minimis legal or equitable interest.
are rules of reason that should be applied consis- Except for situations in which the judge partici-
tently with constitutional requirements, statutes, pates in the management of such a legal or equita-
other court rules, and decisional law, and with due ble interest, or the interest could be substantially
regard for all relevant circumstances. The Rules affected by the outcome of a proceeding before
should not be interpreted in such a way as to a judge, it does not include:
impinge on the essential independence of judges (1) an interest in the individual holdings within
in making judicial decisions. a mutual or common investment fund;
(6) Although these Rules are binding and (2) an interest in securities held by an educa-
enforceable, it is not contemplated that every tional, religious, charitable, fraternal, or civic orga-
transgression will necessarily result in the imposi- nization in which the judge or the judge’s spouse,
tion of discipline. Whether discipline should be domestic partner, parent, or child serves as a
imposed should be determined through a reason- director, an officer, an advisor, or other participant;
able and reasoned application of the Rules and (3) a deposit in a financial institution or deposits
should depend on factors such as the seriousness or proprietary interests the judge may maintain as
of the transgression, the facts and circumstances a member of a mutual savings association or
that existed at the time of the transgression, the credit union, or similar proprietary interests; or
extent of any pattern of improper activity, whether (4) an interest in the issuer of government secu-
there have been previous violations, and the effect rities held by the judge. See Rules 1.3, 2.11,
of the improper activity on the judicial system or and 3.2.
other persons. ‘‘Fiduciary’’ includes relationships such as
(7) The Code is not designed or intended as executor, administrator, trustee, or guardian. See
a basis for civil or criminal liability. Neither is it Rules 2.11, 3.2, and 3.8.
intended to be the basis for litigants to seek collat- ‘‘Impartial,’’ ‘‘impartiality,’’ and ‘‘impartially’’
eral remedies against each other or to obtain tacti- mean absence of bias or prejudice in favor of, or
cal advantages in proceedings before a court. against, particular parties or classes of parties, as
TERMINOLOGY well as maintenance of an open mind in consider-
ing issues that may come before a judge. See
As used in this Code, the following definitions Canons 1, 2, and 4, and Rules 1.2, 2.2, 2.10,
shall apply: 2.11, 2.13, 3.1, 3.12, 3.13, 4.1, and 4.2.
‘‘Appropriate authority’’ means the authority ‘‘Impending matter’’ is any matter a judge knows
having responsibility for taking corrective action is imminent or reasonably expects to be com-
in connection with the conduct or violation to be menced in the near future. See Rules 2.9, 2.10,
reported under Rules 2.14 and 2.15. 3.13, and 4.1.
‘‘Confidential’’ means information that is not ‘‘Impropriety’’ includes conduct that violates the
available to the public. Confidential information law or provisions of this Code and conduct that
may include, but is not limited to, information that undermines a judge’s independence, integrity, or
is sealed by statute, rule or court order or lodged impartiality. See Canon 1 and Rule 1.2.
with the court or communicated in camera. See ‘‘Independence’’ means a judge’s freedom from
Rule 3.5. influence or controls other than those established
‘‘Contribution’’ means both financial and in-kind by law. See Canons 1 and 4, and Rules 1.2, 3.1,
contributions, such as goods, professional or vol- 3.12, 3.13, and 4.2.
unteer services, advertising, and other types of ‘‘Integrity’’ means probity, fairness, honesty,
assistance, which, if obtained by the recipient uprightness, and soundness of character. See
otherwise, would require a financial expenditure. Canons 1 and 4 and Rules 1.2, 3.1, 3.12, 3.13,
See Rules 2.11, 3.7, and 4.1. and 4.2.
67
‘‘Knowingly,’’ ‘‘knowledge,’’ ‘‘known,’’ and ‘‘Spouse’’ means a person to whom one is

‘‘knows’’ mean actual knowledge of the fact in legally married or joined in a civil union. See Rules
question. A person’s knowledge may be inferred 2.11, 3.13, and 3.14.
from circumstances. See Rules 2.11, 2.15, 2.16, ‘‘Third degree of relationship’’ includes the fol-
3.2, 3.6, and 4.1. lowing persons: great-grandparent, grandparent,
‘‘Law’’ encompasses court rules as well as stat- parent, uncle, aunt, brother, sister, child, grand-
utes, constitutional provisions, decisional law, and child, great-grandchild, nephew, and niece. See
this Code. See Rules 1.1, 2.1, 2.2, 2.6, 2.7, 2.9, Rule 2.11.
3.1, 3.2, 3.4, 3.7, 3.9, 3.12, 3.13, 3.14, 3.15, 4.1,
APPLICATION
and 4.3.
The Application section establishes when and
‘‘Member of the judge’s family’’ means any rela-
to whom the various Rules apply.
tive of a judge related by consanguinity within the
third degree as determined by the common law, I. APPLICABILITY OF THIS CODE
a spouse or domestic partner or an individual (a) Except as provided in subsection (b), the
related to a spouse or domestic partner within provisions of the Code apply to all judges of the
the third degree as so determined, including an superior court, senior judges, judge trial referees,
individual in an adoptive relationship within the state referees, family support magistrates
third degree. See Rules 3.5, 3.7, 3.8, 3.10, and appointed pursuant to General Statutes § 46b-
3.11. 231 (f), and family support magistrate referees.
‘‘Member of a judge’s family residing in the (b) State referees and family support magistrate
judge’s household’’ means any member of the referees are not required to comply with Rules
judge’s family or other person treated by a judge 3.4 and 3.8.
as a member of the judge’s family, who resides in
II. TIME FOR COMPLIANCE
the judge’s household. See Rules 2.11 and 3.13.
A person to whom this Code becomes applica-
‘‘Pending matter’’ is a matter that has com-
ble shall comply immediately with its provisions,
menced. A matter continues to be pending
except that those judges to whom Rules 3.8
through any appellate process until final disposi-
(Appointments to Fiduciary Positions) and 3.11
tion. See Rules 2.9, 2.10, 3.13, and 4.1.
(Financial, Business, or Remunerative Activities)
‘‘Personally solicit’’ means a direct request apply shall comply with those Rules as soon as
made by a judge for financial support or in-kind reasonably possible, but in no event later than
services, whether made by letter, telephone, or one year after the Code becomes applicable to
any other means of communication. See Rule 4.1. the judge.
‘‘Political organization’’ means a political party COMMENT: If serving as a fiduciary when selected as
or other group sponsored by or affiliated with a judge, a new judge may, notwithstanding the prohibitions in
political party or candidate, the principal purpose Rule 3.8, continue to serve as fiduciary, but only for that period
of which is to further the election or appointment of time necessary to avoid serious adverse consequences to
of candidates for political office. See Rules 4.1 the beneficiaries of the fiduciary relationship and in no event
longer than one year. Similarly, if engaged at the time of
and 4.2. judicial selection in a business activity, a new judge may,
‘‘Public election’’ includes primary and general notwithstanding the prohibitions in Rule 3.11, continue in that
elections, partisan elections and nonpartisan activity for a reasonable period but in no event longer than
elections. See Rule 4.3. one year.
68
CODE OF JUDICIAL CONDUCT Rule 1.2

Canon Canon
1. A judge shall uphold and promote the independence, 3. A judge shall conduct the judge’s personal and extrajudi-
integrity, and impartiality of the judiciary, and shall cial activities to minimize the risk of conflict with the
avoid impropriety and the appearance of impropriety. obligations of judicial office.
Rule
Rule 3.1. Extrajudicial Activities in General
1.1. Compliance with the Law 3.2. Appearances before Governmental Bodies and Consul-
1.2. Promoting Confidence in the Judiciary tation with Government Officials
1.3. Avoiding Abuse of the Prestige of Judicial Office 3.3. Testifying as a Character Witness
3.4. Appointments to Governmental Positions
Canon 3.5. Use of Confidential Information
2. A judge shall perform the duties of judicial office impar- 3.6. Affiliation with Discriminatory Organizations
3.7. Participation in Educational, Religious, Charitable, Fra-
tially, competently, and diligently.
ternal, or Civic Organizations and Activities
3.8. Appointments to Fiduciary Positions
Rule
3.9. Service as Arbitrator or Mediator
2.1. Giving Precedence to the Duties of Judicial Office 3.10. Practice of Law
2.2. Impartiality and Fairness 3.11. Financial, Business, or Remunerative Activities
2.3. Bias, Prejudice, and Harassment 3.12. Compensation for Extrajudicial Activities
2.4. External Influences on Judicial Conduct or Judgment 3.13. Acceptance and Reporting of Gifts, Loans, Bequests,
2.5. Competence, Diligence, and Cooperation Benefits, or Other Things of Value
2.6. Ensuring the Right to Be Heard 3.14. Reimbursement of Expenses and Waivers of Fees or
2.7. Responsibility to Decide Charges
3.15. Reporting Requirements
2.8. Decorum, Demeanor, and Communication with Jurors
2.9. Ex Parte Communications Canon
2.10. Judicial Statements on Pending and Impending Cases 4. A judge shall not engage in political or campaign activity
that is inconsistent with the independence, integrity,
2.11. Disqualification
or impartiality of the judiciary.
2.12. Supervisory Duties Rule
2.13. Administrative Appointments 4.1. Political Activities of Judges in General
2.14. Disability and Impairment 4.2. Activities of Judges as Candidates for Reappointment or
2.15. Responding to Judicial and Lawyer Misconduct Elevation to Higher Judicial Office
2.16. Cooperation with Disciplinary Authorities 4.3. Activities of Judges Who Become Candidates for Pub-
lic Office
Canon 1. A Judge Shall Uphold and Pro- avoid impropriety and the appearance of impropri-
mote the Independence, Integrity, and ety. The test for appearance of impropriety is
Impartiality of the Judiciary, and Shall Avoid whether the conduct would create in reasonable
Impropriety and the Appearance of Impro- minds a perception that the judge violated this
priety. Code or engaged in other conduct that reflects
adversely on the judge’s honesty, impartiality,
Rule 1.1. Compliance with the Law temperament, or fitness to serve as a judge.
(Effective Jan. 1, 2011.)
A judge shall comply with the law. COMMENT: (1) Public confidence in the judiciary is eroded
(Effective Jan. 1, 2011.) by improper conduct and conduct that creates the appearance
COMMENT: This rule deals with the judge’s personal con- of impropriety as defined in this Rule. This principle applies
duct. A judge’s professional conduct in enforcing the law is to both the professional and personal conduct of a judge.
covered by Rule 2.2. When applying and interpreting the law, (2) A judge should expect to be the subject of public scrutiny
a judge sometimes may make good faith errors of fact or law. that might be viewed as burdensome if applied to other citizens
and must accept the restrictions imposed by the Code.
Errors of this kind do not violate this Rule.
(3) Conduct that compromises the independence, integrity,
and impartiality of a judge undermines public confidence in
Rule 1.2. Promoting Confidence in the the judiciary. Because it is not practicable to list all such con-
Judiciary duct, the Rule is necessarily cast in general terms.
(4) Judges may initiate or participate in activities that pro-
A judge shall act at all times in a manner that mote ethical conduct among judges and lawyers, support pro-
promotes public confidence in the independence, fessionalism within the judiciary and the legal profession, and
integrity, and impartiality of the judiciary and shall promote access to justice for all.
69
Rule 1.2 CODE OF JUDICIAL CONDUCT
(5) A judge may initiate or participate in community activities COMMENT: (1) To ensure impartiality and fairness to all
for the purpose of promoting public understanding of and confi- parties, a judge must be objective and open-minded.
dence in the administration of justice. In conducting such activi- (2) Although each judge comes to the bench with a unique
ties, the judge must act in a manner consistent with this Code. background and personal philosophy, a judge must interpret
and apply the law without regard to whether the judge approves
Rule 1.3. Avoiding Abuse of the Prestige of or disapproves of the law in question.
Judicial Office (3) When applying and interpreting the law, a judge some-
A judge shall not use or attempt to use the times may make good faith errors of fact or law. Errors of this
prestige of judicial office to advance the personal kind do not violate this Rule.
or economic interests of the judge or others or (4) It is not a violation of this Rule for a judge to make
reasonable accommodations to ensure self-represented liti-
allow others to do so. gants the opportunity to have their matters fairly heard.
COMMENT: (1) It is improper for a judge to use or attempt
to use his or her position to gain personal advantage or defer-
Rule 2.3. Bias, Prejudice, and Harassment
ential treatment of any kind. For example, it would be improper (a) A judge shall perform the duties of judicial
for a judge to allude to his or her judicial status to gain favorable office, including administrative duties, without bias
treatment in encounters with traffic officials. Similarly, a judge or prejudice.
must not use judicial letterhead to gain an advantage in con-
ducting his or her personal business. (b) A judge shall not, in the performance of
(2) A judge may provide a reference or recommendation judicial duties, by words or conduct, manifest bias
for an individual based on the judge’s personal knowledge. or prejudice or engage in harassment including,
The judge may use official letterhead if the judge indicates but not limited to, bias, prejudice, or harassment
that the reference is personal and if the use of the letterhead based on race, sex, gender, religion, national ori-
would not reasonably be perceived as an attempt to exert
pressure by reason of the judicial office.
gin, ethnicity, disability, age, sexual orientation,
(3) Judges may participate in the process of judicial selec- marital status, socioeconomic status, or political
tion by cooperating with appointing authorities and screening affiliation and shall not condone such conduct by
committees and by responding to inquiries from such entities court staff, court officials, or others subject to the
concerning the professional qualifications of a person being judge’s direction and control.
considered for judicial office. (c) A judge shall require lawyers in proceedings
(4) Special considerations arise when judges write or con-
tribute to publications of for-profit entities, whether related before the court to refrain from manifesting bias
or unrelated to the law. A judge should not permit anyone or prejudice or engaging in harassment, based
associated with the publication of such materials to exploit the on attributes including, but not limited to, race,
judge’s office in a manner that violates this Code or other sex, gender, religion, national origin, ethnicity, dis-
applicable law. In contracts for publication of a judge’s writing, ability, age, sexual orientation, marital status,
the judge should retain sufficient control over the advertising
to avoid such exploitation.
socioeconomic status, or political affiliation
against parties, witnesses, lawyers, or others.
Canon 2. A Judge Shall Perform the Duties (d) The restrictions of subsections (b) and (c)
of Judicial Office Impartially, Competently, do not preclude judges or lawyers from making
and Diligently. legitimate reference to the listed factors or similar
factors when they are relevant to an issue in a pro-
Rule 2.1. Giving Precedence to the Duties of ceeding.
Judicial Office (Effective Jan. 1, 2011.)
The duties of judicial office, as prescribed by COMMENT: (1) A judge who manifests bias or prejudice
law, shall take precedence over all of a judge’s in a proceeding impairs the fairness of the proceeding and
personal and extrajudicial activities. brings the judiciary into disrepute.
(Effective Jan. 1, 2011.) (2) Examples of manifestations of bias or prejudice include,
COMMENT: (1) To ensure that judges are available to fulfill but are not limited to, epithets; slurs; demeaning nicknames;
their judicial duties, judges must conduct their personal and negative stereotyping; attempted humor based on stereo-
extrajudicial activities in such a way as to minimize the risk of types; threatening, intimidating, or hostile acts; suggestions
conflicts that would result in disqualification. A judge’s personal of connections between race, ethnicity, or nationality and crimi-
extrajudicial activities shall not be conducted in such a way nality; and irrelevant references to personal characteristics.
as to interfere unduly with the duties of judicial office. See Even facial expressions and body language can convey to
Canon 3. parties and lawyers in the proceeding, jurors, the media, and
(2) Although it is not a duty of judicial office, judges are others an appearance of bias or prejudice. A judge must avoid
encouraged to initiate or participate in activities that promote conduct that may reasonably be perceived as prejudiced or
public understanding of and confidence in the justice system. biased.
(3) Harassment, as referred to in subsections (b) and (c),
Rule 2.2. Impartiality and Fairness
is verbal or physical conduct that denigrates or shows hostility
A judge shall uphold and apply the law and shall or aversion toward a person on bases such as race, sex,
perform all duties of judicial office fairly and impar- gender, religion, national origin, ethnicity, disability, age, sex-
tially. ual orientation, marital status, socioeconomic status, or politi-
(Effective Jan. 1, 2011.) cal affiliation.
70
(4) Sexual harassment includes, but is not limited to, sexual COMMENT: (1) The right to be heard is an essential compo-
advances, requests for sexual favors, and other verbal or nent of a fair and impartial system of justice. Substantive rights
physical conduct of a sexual nature that is unwelcome. of litigants can be protected only if procedures protecting the
right to be heard are observed.
Rule 2.4. External Influences on Judicial (2) The judge plays an important role in overseeing the
Conduct or Judgment settlement of disputes but should be careful that efforts to
(a) A judge shall not be swayed in the perfor- further settlements do not undermine any party’s right to be
mance of the judge’s judicial duties by public heard according to law. The judge should keep in mind the
effect that the judge’s participation in settlement discussions
clamor or fear of criticism. may have, not only on the judge’s own views of the case, but
(b) A judge shall not permit family, social, politi- also on the perceptions of the lawyers and the parties if the
cal, financial, or other interests or relationships to case remains with the judge after settlement efforts are unsuc-
influence the judge’s judicial conduct or judgment. cessful. Among the factors that a judge should consider when
(c) A judge shall not convey or permit others to deciding on appropriate settlement practices for a case are: (a)
convey the impression that any person or organi- whether the parties have requested or voluntarily consented
to a certain level of participation by the judge in settlement
zation is in a position to influence the judge’s judi- discussions, (b) whether the parties and their counsel are
cial conduct or judgment. relatively sophisticated in legal matters, (c) whether the case
(Effective Jan. 1, 2011.) will be tried by the judge or a jury, (d) whether the parties
COMMENT: An independent judiciary requires that judges participate with their counsel in settlement discussions, (e)
decide cases according to the law and facts, without regard whether any parties are unrepresented by counsel, and (f)
to whether particular laws or litigants are popular or unpopular whether the matter is civil or criminal.
with the public, the media, government officials, or the judge’s (3) Judges must be mindful of the effect settlement discus-
friends or family. The integrity of judicial decision making is sions can have, not only on their objectivity and impartiality,
undermined if it is based in whole or in part on inappropriate but also on the appearance of their objectivity and impartiality.
outside influences. Despite a judge’s best efforts, there may be instances when
Rule 2.5. Competence, Diligence, and Coop- information obtained during settlement discussions could influ-
ence a judge’s decision making during trial, and, in such
eration instances, the judge should consider whether disqualification
(a) A judge shall perform judicial and adminis- may be appropriate. See Rule 2.11 (a) (1).
trative duties competently and diligently.
(b) A judge shall cooperate with other judges Rule 2.7. Responsibility to Decide
and court officials in the administration of court A judge shall hear and decide matters assigned
business. to the judge, except when disqualification is
(Effective Jan. 1, 2011.) required by Rule 2.11 or other law.
COMMENT: (1) Competence in the performance of judicial (Effective Jan. 1, 2011.)
duties requires the legal knowledge, skill, thoroughness, and COMMENT: Judges must be available to decide the matters
preparation reasonably necessary to perform a judge’s that come before the court. Although there are times when
responsibilities of judicial office. disqualification is necessary to protect the rights of litigants
(2) A judge should seek the necessary docket time, court and preserve public confidence in the independence, integrity,
staff, expertise, and resources to discharge all adjudicative and impartiality of the judiciary, judges must be available to
and administrative responsibilities. decide matters that come before the courts. Unwarranted dis-
(3) Prompt disposition of the court’s business requires a
qualification may bring public disfavor to the court and to the
judge to devote adequate time to judicial duties, to be punctual
judge personally. The dignity of the court, the judge’s respect
in attending court and expeditious in determining matters
for fulfillment of judicial duties and a proper concern for the
under submission, and to take reasonable measures to ensure
burdens that may be imposed on the judge’s colleagues
that court officials, litigants, and their lawyers cooperate with
require that a judge not use disqualification to avoid cases
the judge to that end.
that present difficult, controversial, or unpopular issues.
(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
Rule 2.8. Decorum, Demeanor, and Commu-
or delay. A judge should monitor and supervise cases in ways nication with Jurors
that reduce or eliminate dilatory practices, avoidable delays, (a) A judge shall require order and decorum in
and unnecessary costs. proceedings before the court.
Rule 2.6. Ensuring the Right to Be Heard (b) A judge shall be patient, dignified, and cour-
(a) A judge shall accord to every person who teous to litigants, jurors, witnesses, lawyers, court
has a legal interest in a proceeding, or that per- staff, court officials, and others with whom the
son’s lawyer, the right to be heard according to judge deals in an official capacity and shall require
law. similar conduct of lawyers, court staff, court offi-
(b) A judge may encourage parties to a pro- cials, and others subject to the judge’s direction
ceeding and their lawyers to settle matters in dis- and control.
pute but shall not act in a manner that coerces (c) Although a judge may thank jurors for their
any party into settlement. willingness to serve, a judge shall not commend
(Effective Jan. 1, 2011.) or criticize jurors with respect to their verdict in a
71
case other than in an instruction, order or opinion (5) A judge may initiate, permit, or consider any
in a proceeding, if appropriate. ex parte communication when expressly author-
(Effective Jan. 1, 2011.) ized by law to do so.
COMMENT: (1) The duty to hear all proceedings with (b) If a judge inadvertently receives an unautho-
patience and courtesy is not inconsistent with the duty imposed rized ex parte communication bearing on the sub-
in Rule 2.5 to dispose promptly of the business of the court.
Judges can be efficient and businesslike while being patient
stance of a matter, the judge shall make provision
and deliberate. promptly to notify the parties of the substance of
(2) Commending or criticizing jurors for their verdict may the communication and provide the parties with
imply a judicial expectation in future cases and may impair a an opportunity to respond.
juror’s ability to be fair and impartial in a subsequent case. (c) A judge serving as a fact finder shall not
(3) A judge who is not otherwise prohibited by law from investigate facts in a matter independently and
doing so may meet with jurors who choose to remain after shall consider only the evidence presented and
trial but shall be careful to avoid discussion of the merits of any facts that may properly be judicially noticed.
the case.
(4) This rule does not purport to prevent a judge from
(d) A judge shall make reasonable efforts,
returning a jury for further deliberations if its verdict is insuffi- including providing appropriate supervision, to
cient in amount, inaccurate, inconsistent with the court’s ensure that this Rule is not violated by court staff,
instructions or otherwise improper in form or substance. court officials, and others subject to the judge’s
direction and control.
Rule 2.9. Ex Parte Communications (Effective Jan. 1, 2011.)
(a) A judge shall not initiate, permit, or consider COMMENT: (1) To the extent reasonably possible, all par-
ties or their lawyers shall be included in communications with
ex parte communications or consider other com- a judge.
munications made to the judge outside the pres- (2) Whenever the presence of a party or notice to a party
ence of the parties or their lawyers, concerning a is required by this Rule, it is the party’s lawyer, or if the party
pending or impending matter, except as follows: is unrepresented, the party, who is to be present or to whom
(1) When circumstances require it, ex parte notice is to be given.
(3) The proscription against communications concerning a
communication for scheduling, administrative, or proceeding includes communications with lawyers, law teach-
emergency purposes, which does not address ers, and other persons who are not participants in the proceed-
substantive matters, is permitted, provided: ing, except to the limited extent permitted by this Rule.
(A) the judge reasonably believes that no party (4) A judge may initiate, permit, or consider ex parte commu-
will gain a procedural, substantive, or tactical nications expressly authorized by law.
(5) A judge may consult with other judges on pending mat-
advantage as a result of the ex parte communica- ters but must avoid ex parte discussions of a case with judges
tion; and who are disqualified from hearing the matter and with judges
(B) the judge makes provision promptly to notify who have appellate jurisdiction over the matter.
all other parties of the substance of the ex parte (6) The prohibition against a judge investigating the facts
communication and gives the parties an opportu- in a matter extends to information available in all mediums,
including electronic. Nothing in this Rule is intended to relieve
nity to respond. a judge of the independent duty to investigate allegations of
(2) A judge may obtain the written advice of a juror misconduct. See State v. Santiago, 245 Conn. 301, 715
disinterested expert on the law applicable to a A.2d 1 (1998).
proceeding before the judge, if the judge gives (7) A judge may consult ethics advisory committees, outside
advance notice to the parties of the person to be counsel, or legal experts concerning the judge’s compliance
with this Code. Such consultations are not subject to the
consulted and the subject matter of the advice to restrictions of subsection (a) (2).
be solicited, and affords the parties a reasonable
opportunity to object and to respond to the notice Rule 2.10. Judicial Statements on Pending
and to the written advice received. and Impending Cases
(3) A judge may consult with court staff and (a) A judge shall not make any public statement
court officials whose functions are to aid the judge that might reasonably be expected to affect the
in carrying out the judge’s adjudicative responsi- outcome or to impair the fairness of a matter pend-
bilities, or with other judges, provided the judge ing or impending in any court or make any non-
makes reasonable efforts to avoid receiving fac- public statement that might substantially interfere
tual information that is not part of the record and with a fair trial or hearing.
does not abrogate the responsibility personally to (b) A judge shall not, in connection with cases,
decide the matter. controversies, or issues that are likely to come
(4) A judge may, with the consent of the parties, before the court, make pledges, promises, or com-
confer separately with the parties and their law- mitments that are inconsistent with the impartial
yers in an effort to settle matters pending before performance of the adjudicative duties of judi-
the judge. cial office.
72
(c) A judge may consult with other judges or judge to reach a particular result or rule in a partic-
court staff, court officials, and others subject to ular way in the proceeding or controversy.
the judge’s direction and control whose function (5) The judge:
is to aid the judge in carrying out the judge’s adju- (A) served as a lawyer in the matter in contro-
dicative responsibilities. However, a judge shall versy or was associated with a lawyer who partici-
require court staff, court officials, and others sub- pated substantially as a lawyer in the matter
ject to the judge’s direction and control to refrain during such association;
from making statements that the judge would be (B) served in governmental employment and in
prohibited from making by subsections (a) and (b). such capacity participated personally and sub-
(d) Notwithstanding the restrictions in subsec- stantially as a lawyer or public official concerning
tion (a), a judge may make public statements in the proceeding or has publicly expressed in such
the course of official duties, may explain court capacity an opinion concerning the merits of the
procedures, and may comment on any proceed- particular matter in controversy; or
ing in which the judge is a litigant in a personal (C) was a material witness concerning the
capacity. matter.
(Effective Jan. 1, 2011.) (b) A judge shall keep informed about the
COMMENT: (1) This Rule’s restrictions on judicial speech judge’s personal and fiduciary economic interests
are essential to the maintenance of the independence, integ-
rity, and impartiality of the judiciary.
and make a reasonable effort to keep informed
(2) This Rule does not prohibit a judge from commenting about the personal economic interests of the
on proceedings in which the judge is a litigant in a personal judge’s spouse or domestic partner and minor
capacity. In cases in which the judge is a litigant in an official children residing in the judge’s household.
capacity, such as a writ of mandamus, the judge must not (c) A judge subject to disqualification under this
comment publicly. Rule, other than for bias or prejudice under sub-
Rule 2.11. Disqualification section (a) (1), may ask the parties and their law-
yers to consider, outside the presence of the judge
(a) A judge shall disqualify himself or herself in and court personnel, whether to waive disqualifi-
any proceeding in which the judge’s impartiality cation, provided that the judge shall disclose on
might reasonably be questioned including, but not the record the basis of such disqualification. If,
limited to, the following circumstances: following the disclosure, the parties and lawyers
(1) The judge has a personal bias or prejudice agree, either in writing or on the record before
concerning a party or a party’s lawyer, or personal another judge, that the judge should not be dis-
knowledge of facts that are in dispute in the pro- qualified, the judge may participate in the pro-
ceeding. ceeding.
(2) The judge knows that the judge, the judge’s (d) Notwithstanding the foregoing, a judge may
spouse or domestic partner, or a person within contribute to a client security fund maintained
the third degree of relationship to either of them, under the auspices of the court, and such contri-
or the spouse or domestic partner of such a per- bution will not require that the judge disqualify
son is: himself or herself from service on such a client
(A) a party to the proceeding, or an officer, direc- security fund committee or from participation in a
tor, general partner, managing member, or trustee lawyer disciplinary proceeding or in any matter
of a party; concerning restitution or subrogation relating to
(B) acting as a lawyer in the proceeding; such a client security fund.
(C) a person who has more than a de minimis (e) A judge is not automatically disqualified from
interest that could be substantially affected by the sitting on a proceeding merely because a lawyer
proceeding; or or party to the proceeding has filed a lawsuit
(D) likely to be a material witness in the pro- against the judge or filed a complaint against the
ceeding. judge with the judicial review council. When the
(3) The judge knows that he or she, individually judge becomes aware that such a lawsuit or com-
or as a fiduciary, or the judge’s spouse, domestic plaint has been filed against him or her, the judge
partner, parent, or child, or any other member of shall, on the record, disclose that fact to the law-
the judge’s family residing in the judge’s house- yers and parties to the proceeding before such
hold, has an economic interest in the subject mat- judge and shall thereafter proceed in accordance
ter in controversy or in a party to the proceeding. with Practice Book Section 1-22 (b).
(4) The judge has made a public statement, (f) The fact that the judge was represented or
other than in a court proceeding, judicial decision, defended by the attorney general in a lawsuit that
or opinion that commits or appears to commit the arises out of the judge’s judicial duties shall not be
73
the sole basis for recusal by the judge in lawsuits the judge’s behalf or as the judge’s representative when such
where the attorney general appears. conduct would violate the Code if undertaken by the judge.
(Effective Jan. 1, 2011.) (2) Public confidence in the judicial system depends on
COMMENT: (1) Under this Rule, a judge is disqualified timely justice. To promote the efficient administration of justice,
whenever the judge’s impartiality might reasonably be ques- a judge with supervisory authority must take the steps needed
tioned, regardless of whether any of the specific provisions of to ensure that judges under his or her supervision administer
subsections (a) (1) through (5) apply. In many jurisdictions, their workloads promptly.
the term ‘‘recusal’’ is used interchangeably with the term ‘‘dis-
qualification.’’
Rule 2.13. Administrative Appointments
(2) A judge’s obligation not to hear or decide matters in (a) In making or facilitating administrative
which disqualification is required applies regardless of whether appointments, a judge:
a motion to disqualify is filed. (1) shall act impartially and on the basis of
(3) The rule of necessity may override the rule of disqualifi- merit; and
cation. For example, a judge might be required to participate
in judicial review of a judicial salary statute. In matters that
(2) shall avoid nepotism, favoritism, and unnec-
require immediate action, the judge must disclose on the essary appointments.
record the basis for possible disqualification and make reason- (b) A judge shall not approve compensation of
able efforts to transfer the matter to another judge as soon appointees beyond the fair value of services
as practicable. rendered.
(4) The fact that a lawyer in a proceeding is affiliated with (Effective Jan. 1, 2011.)
a law firm with which a relative of the judge is affiliated does not COMMENT: (1) Appointees of a judge include, but are
itself disqualify the judge. If, however, the judge’s impartiality not limited to, assigned counsel, officials such as referees,
might reasonably be questioned under subsection (a) or the commissioners, special masters, receivers, and guardians,
relative is known by the judge to have an interest in the law and personnel such as clerks, secretaries, and judicial mar-
firm that could be substantially affected by the proceeding shals. Consent by the parties to an appointment or an award
under subsection (a) (2) (C), the judge’s disqualification is of compensation does not relieve the judge of the obligation
required. prescribed by subsection (a).
(5) The Rule does not prevent a judge from relying on (2) Unless otherwise defined by law, nepotism is the
personal knowledge of historical or procedural facts acquired appointment or hiring of any relative within the third degree
as a result of presiding over the proceeding itself. of relationship of either the judge or the judge’s spouse or
(6) Subsection (d) is intended to make clear that the restric- domestic partner, or the spouse or domestic partner of
tions imposed by Dacey v. Connecticut Bar Assn., 184 Conn. such relative.
21, 441 A.2d 49 (1981), or any implications therefrom should
not be considered to apply to judges contributing to a client Rule 2.14. Disability and Impairment
security fund under the auspices of the court. A judge having a reasonable belief that the per-
AMENDMENT NOTE: Comment (7) to Rule 2.11 was formance of a lawyer or another judge is impaired
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 by drugs or alcohol or by a mental, emotional, or
not, however, adopted by the judges of the superior court. physical condition, shall take appropriate action,
(7) A justice of the supreme court or a judge of the appellate which may include notifying appropriate judicial
court is not disqualified from sitting on a proceeding merely authorities or a confidential referral to a lawyer or
because he or she previously practiced law with the law firm judicial assistance program.
or attorney who filed an amicus brief in the matter, or the (Effective Jan. 1, 2011.)
justice’s or judge’s spouse, domestic partner, parent, or child, COMMENT: (1) ‘‘Appropriate action’’ means action
or any other member of the justice’s or judge’s family residing intended and reasonably likely to help the judge or lawyer in
in his or her household is practicing or has practiced law with question address the problem. Depending on the circum-
such law firm or attorney. stances, appropriate action may include, but is not limited to,
speaking directly to the impaired person, notifying an individual
Rule 2.12. Supervisory Duties with supervisory responsibility over the impaired person, or
(a) A judge shall take reasonable measures to making a referral to an assistance program.
ensure that court staff, court officials, and others (2) Taking or initiating corrective action by way of notifying
judicial administrators or referral to an assistance program
subject to the judge’s direction and control act in may satisfy a judge’s responsibility under this Rule. Assistance
a manner consistent with the judge’s obligations programs have many approaches for offering help to impaired
under this Code. judges and lawyers, such as intervention, counseling, or refer-
(b) A judge with supervisory authority for the ral to appropriate health care professionals. Depending on the
performance of other judges shall take reasonable gravity of the conduct that has come to the judge’s attention,
however, the judge may be required to take other action, such
measures to ensure that those judges properly as reporting the impaired judge or lawyer to the appropriate
discharge their judicial responsibilities, including authority, agency, or body. See Rule 2.15.
the prompt disposition of matters before them. (3) A client security fund has been established to promote
(Effective Jan. 1, 2011.) public confidence in the judicial system and the integrity of the
COMMENT: (1) A judge is responsible for his or her own legal profession by, among other things, a lawyers assistance
conduct and for the conduct of others, such as staff, when program providing crisis intervention and referral assistance
those persons are acting at the judge’s direction or control. A to attorneys admitted to the practice of law in this state who
judge may not direct court personnel to engage in conduct on suffer from alcohol or other substance abuse problems or
74
gambling problems or who have behavioral health problems. communicating directly with the lawyer who may have commit-
See Practice Book Section 2-68. ted the violation or reporting the suspected violation to the
appropriate authority or other agency or body.
Rule 2.15. Responding to Judicial and Law-
yer Misconduct Rule 2.16. Cooperation with Disciplinary
Authorities
(a) A judge having knowledge that another
judge has committed a violation of this Code that (a) A judge shall cooperate and be candid and
raises a substantial question regarding the judge’s honest with judicial and lawyer disciplinary
honesty, trustworthiness, or fitness as a judge in agencies.
other respects shall take appropriate action (b) A judge shall not retaliate, directly or indi-
including informing the appropriate authority. rectly, against a person known or suspected to
have assisted or cooperated with an investigation
(b) A judge having knowledge that a lawyer has
of a judge or a lawyer.
committed a violation of the Rules of Professional (Effective Jan. 1, 2011.)
Conduct that raises a substantial question regard- COMMENT: Cooperation with investigations and proceed-
ing the lawyer’s honesty, trustworthiness, or fit- ings of judicial and lawyer discipline agencies, as required in
ness as a lawyer in other respects shall take subsection (a), instills confidence in judges’ commitment to the
appropriate action including informing the appro- integrity of the judicial system and the protection of the public.
priate authority. Canon 3. A Judge Shall Conduct the
(c) A judge who receives information indicating Judge’s Personal and Extrajudicial Activi-
a substantial likelihood that another judge has ties to Minimize the Risk of Conflict with the
committed a violation of this Code shall take Obligations of Judicial Office.
appropriate action.
(d) A judge who receives information indicating Rule 3.1. Extrajudicial Activities in General
a substantial likelihood that a lawyer has commit- A judge may engage in extrajudicial activities,
ted a violation of the Rules of Professional Con- except as prohibited by law. However, when
duct shall take appropriate action. engaging in extrajudicial activities, a judge shall
(e) A judge is not required to disclose informa- not:
tion gained by the judge while serving as a mem- (1) participate in activities that will interfere with
ber of a committee that renders assistance to ill the proper performance of the judge’s judicial
or impaired judges or lawyers or while serving as duties;
a member of a bar association professional ethics (2) participate in activities that will lead to fre-
committee or the Judicial Branch Committee on quent disqualification of the judge;
Judicial Ethics. (3) participate in activities that would appear to
(Effective Jan. 1, 2011.) a reasonable person to undermine the judge’s
COMMENT: (1) Taking appropriate action under the cir- independence, integrity, or impartiality;
cumstances to address known misconduct is a judge’s obliga- (4) engage in conduct that would appear to a
tion. Except as otherwise provided in subsection (e),
subsections (a) and (b) impose an obligation on the judge reasonable person to be coercive; or
to report to the appropriate disciplinary authority the known (5) make use of court premises, staff, statio-
misconduct of another judge or a lawyer that raises a substan- nery, equipment, or other resources, except for
tial question regarding the honesty, trustworthiness, or fitness incidental use or for activities that concern the
of that judge or lawyer. Ignoring or denying known misconduct law, the legal system, or the administration of jus-
among one’s judicial colleagues or members of the legal pro- tice, or unless such additional use is permitted
fession undermines a judge’s responsibility to participate in
by law.
efforts to ensure public respect for the justice system. This
Rule limits the reporting obligation to those offenses that an
COMMENT: (1) To the extent that time permits, and judicial
independent judiciary must vigorously endeavor to prevent.
independence and impartiality are not compromised, judges
(2) A judge who does not have actual knowledge that are encouraged to engage in appropriate extrajudicial activi-
another judge or a lawyer may have committed misconduct, ties. Judges are uniquely qualified to engage in extrajudicial
but receives information indicating a substantial likelihood of activities that concern the law, the legal system, and the admin-
such misconduct, is required to take appropriate action under istration of justice, such as by speaking, writing, teaching, or
subsections (c) and (d), except as otherwise provided in sub- participating in scholarly research projects. In addition, judges
section (e). Appropriate action may include, but is not limited are permitted and encouraged to engage in educational, reli-
to, communicating directly with the judge who may have vio- gious, charitable, fraternal or civic extrajudicial activities not
lated this Code, communicating with a supervising judge, or conducted for profit, even when the activities do not involve
reporting the suspected violation to the appropriate authority the law. See Rule 3.7.
or other agency or body. (2) Participation in both law related and other extrajudicial
(3) Similarly, actions to be taken in response to information activities helps integrate judges into their communities and
indicating that a lawyer has committed a violation of the Rules furthers public understanding of and respect for courts and
of Professional Conduct may include, but are not limited to, the judicial system.
75
(3) Discriminatory actions and expressions of bias or preju- of a person in a legal proceeding, except when
dice by a judge, even outside the judge’s official or judicial duly summoned.
actions, are likely to appear to a reasonable person to call (Effective Jan. 1, 2011.)
into question the judge’s integrity and impartiality. Examples COMMENT: A judge who, without being duly summoned,
include jokes or other remarks that demean individuals based testifies as a character witness abuses the prestige of judicial
on their race, sex, gender, religion, national origin, ethnicity, office to advance the interests of another. See Rule 1.3. Except
disability, age, sexual orientation, or socioeconomic status. in unusual circumstances where the demands of justice
For the same reason, a judge’s extrajudicial activities must require, a judge should discourage a party from requiring the
not be conducted in connection or affiliation with an organiza- judge to testify as a character witness.
tion that practices unlawful discrimination. See Rule 3.6.
(4) While engaged in permitted extrajudicial activities, Rule 3.4. Appointments to Governmental
judges must not coerce others or take action that would rea- Positions
sonably be perceived as coercive. For example, depending
on the circumstances, a judge’s solicitation of contributions or A judge shall not accept appointment to a gov-
memberships for an organization, even as permitted by Rule ernmental committee, board, commission, or
3.7 (a), might create the risk that the person solicited would other governmental position, unless it is one that
feel obligated to respond favorably or would do so to curry concerns the law, the legal system, or the adminis-
favor with the judge. tration of justice.
Rule 3.2. Appearances before Governmen- COMMENT: (1) Rule 3.4 implicitly acknowledges the value
tal Bodies and Consultation with Govern- of judges accepting appointments to entities that concern the
ment Officials law, the legal system, or the administration of justice. Even
in such instances, however, a judge should assess the appro-
A judge shall not appear voluntarily at a public priateness of accepting an appointment, paying particular
hearing before, or otherwise consult with, an exec- attention to the subject matter of the appointment and the
utive or a legislative body or official, except: availability and allocation of judicial resources, including the
judge’s time commitments, and giving due regard to the
(1) in connection with matters concerning the requirements of the independence and impartiality of the
law, the legal system, or the administration of judiciary.
justice; (2) A judge may represent his or her country, state, or
(2) in connection with matters about which the locality on ceremonial occasions or in connection with histori-
judge acquired knowledge or expertise in the cal, educational, or cultural activities. Such representation
does not constitute acceptance of a government position.
course of the judge’s judicial duties; or (3) This rule is intended to prohibit a judge from participation
(3) when the judge is acting in a matter involving in governmental committees, boards, commissions or other
the judge’s legal or economic interests or when governmental positions that make or implement public policy
the judge is acting in a fiduciary capacity. unless they concern the law, the legal system or the adminis-
(Effective Jan. 1, 2011.) tration of justice.
COMMENT: (1) Judges possess special expertise in mat-
ters of law, the legal system, and the administration of justice Rule 3.5. Use of Confidential Information
and may properly share that expertise with governmental bod- A judge shall not intentionally disclose or use
ies and executive or legislative branch officials. confidential information acquired in a judicial
(2) In appearing before governmental bodies or consulting capacity for any purpose unrelated to the judge’s
with government officials, judges must be mindful that they judicial duties unless the judge is acting on infor-
remain subject to other provisions of this Code, such as Rule
1.3, prohibiting judges from using the prestige of office to
mation necessary to protect the health or safety
advance their own or others’ interests; Rule 2.10, governing of the judge, a member of the judge’s family, court
public comment on pending and impending matters; and Rule personnel, a judicial officer or any other person if
3.1 (3), prohibiting judges from engaging in extrajudicial activi- consistent with other provisions of this Code.
ties that would appear to a reasonable person to undermine (Effective Jan. 1, 2011.)
the judge’s independence, integrity, or impartiality. COMMENT: In the course of performing judicial duties, a
(3) In general, it would be an unnecessary and unfair burden judge may acquire information of commercial or other value
to prohibit judges from appearing before governmental bodies that is unavailable to the public. The judge must not reveal or
or consulting with government officials on matters that are use such information for personal gain or for any purpose
likely to affect them as private citizens, such as zoning propos- unrelated to his or her judicial duties.
als affecting their real property. In engaging in such activities,
however, a judge should state affirmatively that the judge is Rule 3.6. Affiliation with Discriminatory
not acting in his or her official capacity and must otherwise Organizations
exercise caution to avoid using the prestige of judicial office. (a) A judge shall not hold membership in any
organization that practices unlawful discrimination
Rule 3.3. Testifying as a Character Witness on the basis of race, sex, gender, religion, national
A judge shall not testify as a character witness origin, ethnicity, physical or mental disability, or
in a judicial, administrative, or other adjudicatory sexual orientation. When a judge learns that an
proceeding or otherwise vouch for the character organization to which the judge belongs engages
76
in unlawful discrimination, the judge must resign (A) will be engaged in proceedings that would
immediately from the organization. ordinarily come before the judge; or
(b) A judge shall not use the benefits or facilities (B) will frequently be engaged in adversary pro-
of an organization if the judge knows or should ceedings in the court of which the judge is a mem-
know that the organization practices unlawful dis- ber or in any court subject to the appellate
crimination on one or more of the bases identified jurisdiction of the court of which the judge is a
in subsection (a). A judge’s attendance at an event member.
in a facility of an organization that the judge is not (b) A judge may encourage lawyers to provide
permitted to join is not a violation of this Rule pro bono publico legal services.
when the judge’s attendance is an isolated event (Effective Jan. 1, 2011.)
that could not reasonably be perceived as an COMMENT: (1) The activities permitted by subsection (a)
endorsement of the organization’s practices. generally include those sponsored by or undertaken on behalf
(Effective Jan. 1, 2011.) of public or private not-for-profit educational institutions and
other not-for-profit organizations, including law related, chari-
Rule 3.7. Participation in Educational, Reli- table, and other organizations.
gious, Charitable, Fraternal, or Civic Organi- (2) Even for law related organizations, a judge should con-
zations and Activities sider whether the membership and purposes of the organiza-
tion, or the nature of the judge’s participation in or association
(a) Subject to the requirements of Rule 3.1, a with the organization, would conflict with the judge’s obligation
judge may participate in activities sponsored by to refrain from activities that reflect adversely on a judge’s
organizations or governmental entities concerned independence, integrity, and impartiality.
with the law, the legal system, or the administra- (3) Mere attendance at an event, whether or not the event
tion of justice, and those sponsored by or on serves a fund-raising purpose, does not constitute a violation
behalf of educational, religious, charitable, frater- of subsection (a) (4). It is also generally permissible for a judge
nal, or civic organizations not conducted for profit to serve as an usher or a food server or preparer, or to perform
including, but not limited to, the following activities: similar functions, at fund-raising events sponsored by educa-
tional, religious, charitable, fraternal, or civic organizations.
(1) assisting such an organization or entity in Such activities are not solicitation and do not present an ele-
planning related to fund-raising and participating ment of coercion or abuse the prestige of judicial office.
in the management and investment of the organi- (4) Identification of a judge’s position in educational, reli-
zation’s or entity’s funds; gious, charitable, fraternal, or civic organizations on letterhead
(2) soliciting contributions for such an organiza- used for fund-raising or membership solicitation does not vio-
tion or entity, but only from members of the judge’s late this Rule. The letterhead may list the judge’s title or judicial
family, or from judges over whom the judge does office if comparable designations are used for other persons.
not exercise supervisory or appellate authority; (5) In addition to appointing lawyers to serve as counsel
for indigent parties in individual cases, a judge may promote
(3) soliciting membership for such an organiza- broader access to justice by encouraging lawyers to participate
tion or entity, even though the membership dues in pro bono publico legal services if, in doing so, the judge
or fees generated may be used to support the does not employ coercion or abuse the prestige of judicial
objectives of the organization or entity but only if office. Such encouragement may take many forms, including
the organization or entity is concerned with the providing lists of available programs, training lawyers to do
law, the legal system, or the administration of pro bono publico legal work, and participating in events recog-
nizing lawyers who have done pro bono publico work.
justice;
(4) appearing or speaking at, receiving an Rule 3.8. Appointments to Fiduciary Posi-
award or other recognition at, being featured on tions
the program of, and permitting his or her title to
be used in connection with an event of such an (a) A judge shall not accept appointment to
organization or entity, but if the event serves a serve in a fiduciary position, such as executor,
fund-raising purpose, the judge may participate administrator, trustee, guardian, attorney in fact,
only if the event concerns the law, the legal sys- or other personal representative, except for the
tem, or the administration of justice; estate, trust, or person of a member of the judge’s
(5) making recommendations to such a public family, and then only if such service will not inter-
or private fund-granting organization or entity in fere with the proper performance of judicial duties.
connection with its programs and activities but (b) A judge shall not serve in a fiduciary position
only if the organization or entity is concerned with if the judge as fiduciary will likely be engaged in
the law, the legal system, or the administration of proceedings that would ordinarily come before the
justice; and judge or if the estate, trust, or ward becomes
(6) serving as an officer, director, trustee, or involved in adversary proceedings in the court on
nonlegal advisor of such an organization or entity, which the judge serves or one under its appel-
unless it is likely that the organization or entity: late jurisdiction.
77
(c) A judge acting in a fiduciary capacity shall (1) interfere with the proper performance of judi-
be subject to the same restrictions on engaging in cial duties;
financial activities that apply to a judge personally. (2) lead to frequent disqualification of the judge;
(d) If a person who is serving in a fiduciary (3) involve the judge in frequent transactions or
position becomes a judge, he or she must comply continuing business relationships with lawyers or
with this Rule as soon as reasonably practicable other persons likely to come before the court on
but in no event later than one year after becoming which the judge serves; or
a judge. (4) result in violation of other provisions of
(Effective Jan. 1, 2011.) this Code.
COMMENT: A judge should recognize that other restric- (Effective Jan. 1, 2011.)
tions imposed by this Code may conflict with a judge’s obliga- COMMENT: (1) Judges are generally permitted to engage
tions as a fiduciary; in such circumstances, a judge should in financial activities, including managing real estate and other
resign as fiduciary. For example, serving as a fiduciary might investments for themselves or for members of their families.
require frequent disqualification of a judge under Rule 2.11 Participation in these activities, like participation in other extra-
because a judge is deemed to have an economic interest in judicial activities, is subject to the requirements of this Code.
shares of stock held by a trust if the amount of stock held is For example, it would be improper for a judge to spend so
more than de minimis. much time on business activities that it interferes with the
Rule 3.9. Service as Arbitrator or Mediator 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
A judge shall not act as an arbitrator or a media- appear in judicial robes in business advertising, or to conduct
tor or perform other judicial functions apart from his or her business or financial affairs in such a way that
the judge’s official duties unless expressly author- disqualification is frequently required. See Rules 1.3 and 2.11.
ized by law. (2) As soon as practicable without serious financial detri-
(Effective Jan. 1, 2011.) ment, the judge must divest himself or herself of investments
COMMENT: This Rule does not prohibit a judge from partici- and other financial interests that might require frequent dis-
pating in arbitration, mediation, or settlement conferences per- qualification or otherwise violate this Rule.
formed as part of official judicial duties. Rendering dispute
resolution services apart from those duties, whether or not for Rule 3.12. Compensation for Extrajudicial
economic gain, is prohibited unless it is expressly authorized Activities
by law. A judge may accept reasonable compensation
Rule 3.10. Practice of Law for extrajudicial activities permitted by law unless
Except as provided herein, a judge shall not such acceptance would appear to a reasonable
practice law. A judge may act as a self-repre- person to undermine the judge’s independence,
sented party and may, without compensation, give integrity, or impartiality.
legal advice to and draft or review documents for COMMENT: (1) A judge is permitted to accept honoraria,
a member of the judge’s family but is prohibited stipends, fees, wages, salaries, royalties, or other compensa-
from serving as the family member’s lawyer in tion for speaking, teaching, writing, and other extrajudicial
any forum. activities, provided the compensation is reasonable and com-
(Effective Jan. 1, 2011.) mensurate with the task performed. The judge should be mind-
COMMENT: A judge may act as a self-represented party ful, however, that judicial duties must take precedence over
in all legal matters, including matters involving litigation and other activities. See Rule 2.1.
matters involving appearances before or other dealings with (2) Compensation derived from extrajudicial activities may
governmental bodies. A judge must not use the prestige of be subject to public reporting. See Rule 3.15.
office to advance the judge’s personal or family interests. See
Rule 1.3. Rule 3.13. Acceptance and Reporting of
Rule 3.11. Financial, Business, or Remuner- Gifts, Loans, Bequests, Benefits, or Other
ative Activities Things of Value
(a) A judge may hold and manage investments (a) A judge shall not accept any gifts, loans,
of the judge and members of the judge’s family. bequests, benefits, or other things of value, if
(b) A judge shall not serve as an officer, director, acceptance is prohibited by law or would appear
manager, general partner or advisor of any busi- to a reasonable person to undermine the judge’s
ness entity except for: independence, integrity, or impartiality.
(1) a business closely held by the judge or mem- (b) Unless otherwise prohibited by law, or by
bers of the judge’s family; or subsection (a), a judge may accept the following
(2) a business entity primarily engaged in without publicly reporting such acceptance:
investment of the financial resources of the judge (1) items with little intrinsic value, such as
or members of the judge’s family. plaques, certificates, trophies, and greeting cards;
(c) A judge shall not engage in financial activi- (2) gifts, loans, bequests, benefits, or other
ties permitted under subsections (a) and (b) if things of value from friends, relatives, or other
they will: persons, including lawyers, whose appearance or
78
interest in a proceeding pending or impending (2) Gift giving between friends and relatives is a common
before the judge would in any event require dis- occurrence and ordinarily does not create an appearance of
impropriety or cause reasonable persons to believe that the
qualification of the judge under Rule 2.11; judge’s independence, integrity, or impartiality has been com-
(3) ordinary social hospitality; promised. In addition, when the appearance of friends or rela-
(4) commercial or financial opportunities and tives in a case would require the judge’s disqualification under
benefits, including special pricing and discounts, Rule 2.11, there would be no opportunity for a gift to influence
and loans from lending institutions in their regular the judge’s decision making. Subsection (b) (2) places no
course of business, if the same opportunities and restrictions on the ability of a judge to accept gifts or other
things of value from friends or relatives under these circum-
benefits or loans are made available on the same stances and does not require public reporting.
terms to similarly situated persons who are not (3) Businesses and financial institutions frequently make
judges; available special pricing, discounts, and other benefits, either
(5) rewards and prizes given to competitors or in connection with a temporary promotion or for preferred
participants in random drawings, contests, or customers, based on longevity of the relationship, volume of
other events that are open to persons who are business transacted, and other factors. A judge may freely
not judges; accept such benefits if they are available to the general public
or if the judge qualifies for the special price or discount
(6) scholarships, fellowships, and similar bene- according to the same criteria as are applied to persons who
fits or awards, if they are available to similarly are not judges. As an example, loans provided at generally
situated persons who are not judges, based on prevailing interest rates are not gifts, but a judge could not
the same terms and criteria; accept a loan from a financial institution at below-market inter-
(7) books, magazines, journals, audiovisual est rates unless the same rate was being made available to
materials, and other resource materials supplied the general public for a certain period of time or only to borrow-
ers with specified qualifications that the judge also possesses.
by publishers on a complimentary basis for official (4) Rule 3.13 applies only to acceptance of gifts or other
use; or things of value by a judge. Nonetheless, if a gift or other benefit
(8) gifts, awards, or benefits associated with the is given to the judge’s spouse, domestic partner, or member
business, profession, or other separate activity of the judge’s family residing in the judge’s household, it may
of a spouse, a domestic partner, or other family be viewed as an attempt to evade Rule 3.13 and influence
member of a judge residing in the judge’s house- the judge indirectly. Where the gift or benefit is being made
hold but that incidentally benefit the judge. primarily to such other persons, and the judge is merely an
incidental beneficiary, this concern is reduced. A judge should,
(c) Unless otherwise prohibited by law or by however, remind family and household members of the restric-
subsection (a), a judge may accept the following tions imposed on judges and urge them to take these restric-
items and must report such acceptance to the tions into account when making decisions about accepting
extent required by Rule 3.15: such gifts or benefits.
(1) gifts incident to a public testimonial;
(2) invitations to the judge and the judge’s Rule 3.14. Reimbursement of Expenses and
spouse, domestic partner, or guest to attend with- Waivers of Fees or Charges
out charge: (a) Unless otherwise prohibited by Rules 3.1
(A) an event associated with a bar related func- and 3.13 (a) or other law, a judge may accept
tion or other activity relating to the law, the legal reimbursement of necessary and reasonable
system, or the administration of justice; or expenses for travel, food, lodging, or other inci-
(B) an event associated with any of the judge’s dental expenses, or a waiver or partial waiver of
educational, religious, charitable, fraternal or civic fees or charges for registration, tuition, and similar
activities permitted by this Code, if the same invi- items, from sources other than the judge’s
tation is offered to nonjudges who are engaged employing entity, if the expenses or charges are
in similar ways in the activity as is the judge. associated with the judge’s participation in extra-
(Effective Jan. 1, 2011.) judicial activities permitted by this Code.
COMMENT: (1) Whenever a judge accepts a gift or other (b) Reimbursement of expenses for necessary
thing of value without paying fair market value, there is a risk travel, food, lodging, or other incidental expenses
that the benefit might be viewed as intended to influence the
judge’s decision in a case. Rule 3.13 imposes restrictions on
shall be limited to the actual costs reasonably
the acceptance of such benefits, according to the magnitude incurred by the judge or a reasonable allowance
of the risk. Subsection (b) identifies circumstances in which therefor and, when appropriate to the occasion,
the risk that the acceptance would appear to undermine the by the judge’s spouse, domestic partner, or guest.
judge’s independence, integrity, or impartiality is low and (c) A judge who accepts reimbursement of
explicitly provides that such items need not be publicly expenses or waivers or partial waivers of fees
reported. As the value of the benefit or the likelihood that the
source of the benefit will appear before the judge increases, or charges on behalf of the judge or the judge’s
the judge is either prohibited under subsection (a) from spouse, domestic partner, or guest shall publicly
accepting the gift, or required under subsection (c) to publicly report such acceptance as required by Rule 3.15.
report it. (Effective Jan. 1, 2011.)
79
COMMENT: (1) Educational, civic, religious, fraternal, and the amount of reimbursement or waiver, alone or
charitable organizations often sponsor meetings, seminars, in the aggregate with other reimbursements or
symposia, dinners, awards ceremonies, and similar events.
Judges are encouraged to attend educational programs, as
waivers received from the same source in the
both teachers and participants, in law related and academic same calendar year, does not exceed $250.
disciplines, in furtherance of their duty to remain competent (b) When public reporting is required by subsec-
in the law. Participation in a variety of other extrajudicial activity tion (a), a judge shall report the date, place, and
is also permitted and encouraged by this Code. nature of the activity for which the judge received
(2) Not infrequently, sponsoring organizations invite certain any compensation; the description of any gift,
judges to attend seminars or other events on a fee-waived or
partial-fee-waived basis and sometimes include reimburse-
loan, bequest, benefit, or other thing of value
ment for necessary travel, food, lodging, or other incidental accepted; and the source of reimbursement of
expenses. A judge’s decision whether to accept reimburse- expenses or waiver or partial waiver of fees or
ment of expenses or a waiver or partial waiver of fees or charges.
charges in connection with these or other extrajudicial activities (c) The public report required by subsection (a)
must be based on an assessment of all the circumstances. shall be made at least annually, except that for
Per diem allowances shall be reasonably related to the actual
costs incurred. The judge must undertake a reasonable inquiry
reimbursement of expenses and waiver or partial
to obtain the information necessary to make an informed judg- waiver of fees or charges, the report shall be made
ment about whether acceptance would be consistent with the within thirty days following the conclusion of the
requirements of this Code. event or program.
(3) A judge must assure himself or herself that acceptance (d) Reports made in compliance with this Rule
of reimbursement or fee waivers would not appear to a reason- shall be filed as public documents in the office of
able person to undermine the judge’s independence, integrity, the chief court administrator or other office desig-
or impartiality. The factors that a judge should consider when
deciding whether to accept reimbursement or a fee waiver for
nated by law.
attendance at a particular activity include:
(a) whether the sponsor is an accredited educational institu- Canon 4. A Judge Shall Not Engage in Politi-
tion or bar association rather than a trade association or a cal or Campaign Activity that is Inconsistent
for-profit entity;
(b) whether the funding comes largely from numerous con-
with the Independence, Integrity, or Impar-
tributors rather than from a single entity and is earmarked for tiality of the Judiciary.
programs with specific content;
(c) whether the content is related or unrelated to the subject Rule 4.1. Political Activities of Judges in
matter of litigation pending or impending before the judge or General
to matters that are likely to come before the judge; (a) Except as permitted by law, or by Rules 4.2
(d) whether the activity is primarily educational rather than and 4.3, a judge shall not:
recreational and whether the costs of the event are reasonable
and comparable to those associated with similar events spon-
(1) act as a leader in, or hold an office in, a
sored by the judiciary, bar associations, or similar groups; political organization;
(e) whether information concerning the activity and its fund- (2) make speeches on behalf of a political orga-
ing sources is available upon inquiry; nization;
(f) whether the sponsor or source of funding is generally (3) publicly endorse or oppose a candidate for
associated with particular parties or interests currently any public office;
appearing or likely to appear in the judge’s court, thus possibly (4) solicit funds for, pay an assessment to, or
requiring disqualification of the judge under Rule 2.11;
(g) whether differing viewpoints are presented; and
make a contribution to a political organization or
(h) whether a broad range of judicial and nonjudicial partici- a candidate for public office;
pants are invited, whether a large number of participants are (5) attend or purchase tickets for dinners or
invited, and whether the program is designed specifically for other events sponsored by a political organization
judges. or a candidate for public office;
(6) seek, accept, or use endorsements from a
Rule 3.15. Reporting Requirements political organization;
(a) A judge shall publicly report the amount or (7) knowingly, or with reckless disregard for the
value of: truth, make any false or misleading statement in
(1) compensation received for extrajudicial connection with the appointment or reap-
activities as permitted by Rule 3.12; pointment process;
(2) gifts and other things of value as permitted (8) make any statement that would reasonably
by Rule 3.13 (c), unless the value of such items, be expected to affect the outcome or impair the
alone or in the aggregate with other items received fairness of a matter pending or impending in any
from the same source in the same calendar year, court; or
does not exceed $250; and (9) in connection with cases, controversies, or
(3) reimbursement of expenses and waiver of issues that are likely to come before the court,
fees or charges permitted by Rule 3.14 (a), unless make pledges, promises, or commitments that are
80
inconsistent with the impartial performance of the regarding the identity, present position, experience, qualifica-
adjudicative duties of judicial office. tions, or judicial rulings of a judge. In other situations, false
or misleading allegations may be made that bear on a judge’s
(b) A judge shall take reasonable measures to integrity or fitness for judicial office. As long as the judge does
ensure that other persons do not undertake, on not violate subsections (a) (7), (a) (8), or (a) (9), the judge
behalf of the judge, any activities prohibited under may make a factually accurate public response. See Rule 2.10.
subsection (a). (8) Subject to subsection (a) (8), a judge is permitted to
(c) A judge should not engage in any other respond directly to false, misleading, or unfair allegations
political activity except on behalf of measures to made against him or her, although it is preferable for someone
improve the law, the legal system, or the adminis- else to respond if the allegations relate to a pending case.
(9) Subsection (a) (8) prohibits judges from making com-
tration of justice. ments that might impair the fairness of pending or impending
judicial proceedings. This provision does not restrict rulings,
COMMENT:
statements, or instructions by a judge that may appropriately
General Considerations affect the outcome of a matter.
(1) Even when subject to reappointment or when seeking
Pledges, Promises, or Commitments Inconsistent with
elevation to a higher office, a judge plays a role different from
Impartial Performance of the Adjudicative
that of a legislator or executive branch official. Rather than
Duties of Judicial Office
making decisions based on the expressed views or prefer-
ences of the public, a judge makes decisions based on the (10) The role of a judge is different from that of a legislator
law and the facts of every case. Therefore, in furtherance of or executive branch official. Sitting judges seeking reap-
this interest, judges must, to the greatest extent possible, be pointment or elevation must conduct themselves differently
free and appear to be free from political influence and political from persons seeking other offices. Narrowly drafted restric-
pressure. This Canon imposes narrowly tailored restrictions tions on the activities of judges provided in Canon 4 allow
on the political activities of all judges and sitting judges seeking judges to provide the appointing authority with sufficient infor-
reappointment or appointment to a higher judicial office. mation to permit it to make an informed decision.
Participation in Political Activities (11) Subsection (a) (9) makes applicable to judges the
prohibition that applies to judges in Rule 2.10 (b), relating to
(2) Public confidence in the independence and impartiality pledges, promises, or commitments that are inconsistent with
of the judiciary is eroded if judges are perceived to be subject the impartial performance of the adjudicative duties of judi-
to political influence. Although judges may register to vote as cial office.
members of a political party, they are prohibited by subsection (12) The making of a pledge, promise, or commitment is
(a) (1) from assuming leadership roles in political organi- not dependent on, or limited to, the use of any specific words
zations. or phrases; instead, the totality of the statement must be exam-
(3) Subsections (a) (2) and (a) (3) prohibit judges from ined to determine if a reasonable person would believe that
making speeches on behalf of political organizations or publicly the judge has specifically undertaken to reach a particular
endorsing or opposing candidates for public office, respec- result. Pledges, promises, or commitments must be contrasted
tively, to prevent them from abusing the prestige of judicial with statements or announcements of personal views on legal,
office to advance the interests of others. See Rule 1.3. political, or other issues, which are not prohibited. When mak-
(4) Although members of the families of judges are free to ing such statements, a judge should acknowledge the over-
engage in their own political activity, including running for arching judicial obligation to apply and uphold the law, without
public office, there is no ‘‘family exception’’ to the prohibition regard to his or her personal views.
in subsection (a) (3) against a judge publicly endorsing candi- (13) A judge may make promises related to judicial organi-
dates for public office. A judge must not become involved in, zation, administration, and court management, such as a
or publicly associated with, a family member’s political activity promise to dispose of a backlog of cases, start court sessions
or campaign for public office. To avoid public misunder- on time, or avoid favoritism in appointments and hiring. A judge
standing, judges should take, and should urge members of may also pledge to take action outside the courtroom, such
their families to take, reasonable steps to avoid any implication as working toward an improved jury selection system or advo-
that they endorse any family member’s candidacy or other cating for more funds to improve the physical plant and ameni-
political activity. ties of the courthouse.
(5) Judges retain the right to participate in the political pro- (14) Judges may receive questionnaires or requests for
cess as voters in both primary and general elections. interviews from the media and from issue advocacy or other
Statements and Comments Made By a Sitting Judge community organizations that seek to learn their views on
When Seeking Reappointment for disputed or controversial legal or political issues. Subsection
Judicial Office or Elevation to a (a) (13) does not specifically address judicial responses to
Higher Judicial Office such inquiries. Depending on the wording and format of such
questionnaires, judges’ responses might be viewed as
(6) Judges must be scrupulously fair and accurate in all pledges, promises, or commitments to perform the adjudica-
statements made by them. Subsection (a) (7) obligates judges tive duties of office other than in an impartial way. To avoid
to refrain from making statements that are false or misleading violating subsection (a) (13), therefore, judges who respond
or that omit facts necessary to make the communication con- to media and other inquiries should also give assurances that
sidered as a whole not materially misleading. they will keep an open mind and will carry out their adjudicative
(7) Judges are sometimes the subject of false, misleading, duties faithfully and impartially. Judges who do not respond
or unfair allegations made by third parties or the media. For may state their reasons for not responding, such as the danger
example, false or misleading statements might be made that answering might be perceived by a reasonable person
81
as undermining a judge’s independence or impartiality or that election, a judge shall resign from judicial office,
it might lead to frequent disqualification. See Rule 2.11. unless permitted by law to continue to hold judicial
Rule 4.2. Activities of Judges as Candidates office. A judge may continue to hold judicial office
for Reappointment or Elevation to Higher while being a candidate for election to or serving
Judicial Office as a delegate in a state constitutional convention.
A judge who is a candidate for reappointment (b) Upon becoming a candidate for an appoint-
or elevation to higher judicial office may: ive public office, a judge is not required to resign
(a) communicate with the appointing or confirm- from judicial office, provided that the judge com-
ing authority, including any selection, screening, plies with the other provisions of this Code.
or nominating commission or similar agency; and (Effective Jan. 1, 2011.)
(b) seek endorsements for the appointment COMMENT: (1) In campaigns for elective public office, can-
from any person or organization other than a parti- didates may make pledges, promises, or commitments related
san political organization, provided that such to positions they would take and ways they would act if elected
endorsement or the request therefor would not to office. Although appropriate in public campaigns, this man-
appear to a reasonable person to undermine the ner of campaigning is inconsistent with the role of a judge,
who must remain fair and impartial to all who come before
judge’s independence, integrity or impartiality. him or her. The potential for misuse of the judicial office and
COMMENT: (1) When seeking support or when communi- the political promises that the judge would be compelled to
cating directly with an appointing or confirming authority, a make in the course of campaigning for elective public office
judge must not make any pledges, promises, or commitments together dictate that a judge who wishes to run for such an
that are inconsistent with the impartial performance of the office must resign upon becoming a candidate.
adjudicative duties of the office. See Rule 4.1 (a) (9). (2) The ‘‘resign to run’’ rule set forth in subsection (a)
(2) It is never acceptable to seek an endorsement of an ensures that a judge cannot use the judicial office to promote
advocacy group or a group whose interests have or are likely his or her candidacy and prevents postcampaign retaliation
to come before the judge. from the judge in the event the judge is defeated in the election.
When a judge is seeking appointive public office, however,
Rule 4.3. Activities of Judges Who Become the dangers are not sufficient to warrant imposing the ‘‘resign
Candidates for Public Office to run’’ rule. However, the judge should be careful to avoid
(a) Upon becoming a candidate for an elective presiding over matters affecting the entity to which the judge
public office either in a party primary or a general is seeking public office.
82
CHAPTER AND SECTION HEADINGS OF THE RULES
SUPERIOR COURT—GENERAL PROVISIONS
CHAPTER 1 2-4A. —Records of Examining Committee

2-5. —Examination of Candidates for Admission
SCOPE OF RULES 2-5A. —Good Moral Character and Fitness to Practice
Sec. Law
1-1. Scope of Rules; Definitions 2-6. —Personnel of Examining Committee
1-2. Assignments to Take Precedence 2-7. Number of Times an Applicant May Sit for the
1-3. Divisions of Superior Court Examination
1-4. Family Division 2-8. Qualifications for Admission
1-5. Civil Division 2-9. Certification of Applicants Recommended for
1-6. Criminal Division Admission; Conditions of Admission
1-7. Housing Division (Only in Judicial Districts Speci- 2-10. Admission by Superior Court
fied by Statute) 2-11. Monitoring Compliance with Conditions of Admis-
1-8. Rules to Be Liberally Interpreted sion; Removal or Modification of Conditions
1-9. Publication of Rules; Effective Date 2-11A. Appeal from Decision of Bar Examining Commit-
1-9A. —Judiciary Committee; Placement of Rules Infor- tee concerning Conditions of Admission
mation on Judicial Branch Website 2-12. County Committees on Recommendations for
1-9B. —Emergency Powers of Rules Committee Admission
1-10. Possession of Electronic Devices in Court 2-13. Attorneys of Other Jurisdictions; Qualifications
Facilities and Requirements for Admission
1-10A. Definition of ‘‘Media’’ 2-14. —Action by Bar; Temporary License [Repealed]
1-10B. Media Coverage of Court Proceedings; In General 2-15. —Permanent License [Repealed]
1-11. Media Coverage of Criminal Proceedings 2-15A. —Authorized House Counsel
[Repealed] 2-16. —Attorney Appearing Pro Hac Vice
1-11A. Media Coverage of Arraignments 2-17. Foreign Legal Consultants; Licensing Require-
1-11B. Media Coverage of Civil Proceedings ments
1-11C. Media Coverage of Criminal Proceedings 2-18. —Filings to Become Foreign Legal Consultant
1-11D. Pilot Program to Increase Public Access to Child 2-19. —Scope of Practice of Foreign Legal Consultants
Protection Proceedings [Repealed] 2-20. —Disciplinary Provisions regarding Foreign
1-12. Court Opening Legal Consultants
1-13. Recess and Adjournment
2-21. —Affiliation of Foreign Legal Consultant with the
1-13A. Contempt
Bar of the State of Connecticut
1-14. —Criminal Contempt
2-22. Disposition of Fees for Admission to the Bar
1-15. —Who May Be Punished [Repealed]
2-23. Roll of Attorneys
1-16. —Summary Criminal Contempt
2-24. Notice by Attorney of Admission in Other Juris-
1-17. —Deferral of Proceedings
dictions
1-18. —Nonsummary Contempt Proceedings
2-25. Notice by Attorney of Disciplinary Action in
1-19. —Judicial Authority Disqualification in Nonsum-
Other Jurisdictions
mary Contempt Proceedings
1-20. —Where No Right to Jury Trial in Nonsummary 2-26. Notice by Attorney of Change in Address
Proceeding 2-27. Clients’ Funds; Lawyer Registration
1-21. —Nonsummary Judgment 2-28. Overdraft Notification
1-21A. —Civil Contempt 2-28A. Attorney Advertising; Mandatory Filing
1-22. Disqualification of Judicial Authority 2-28B. —Advisory Opinions
1-23. Motion for Disqualification of Judicial Authority 2-29. Grievance Panels
1-24. Record of Off-Site Judicial Proceedings 2-30. Grievance Counsel for Panels and Investigators
1-25. Actions Subject to Sanctions 2-31. Powers and Duties of Grievance Counsel
2-32. Filing Complaints against Attorneys; Action;
Time Limitation
CHAPTER 2 2-33. Statewide Grievance Committee
ATTORNEYS 2-34. Statewide Bar Counsel
2-34A. Disciplinary Counsel
Sec. 2-35. Action by Statewide Grievance Committee or
2-1. County Court Designations concerning Bar Reviewing Committee
Admission Process 2-36. Action by Statewide Grievance Committee on
2-2. Admission Request for Review
2-3. Examining Committee 2-37. Sanctions and Conditions Which May Be Imposed
2-4. —Regulations by Examining Committee by Committees
83
2-38. Appeal from Decision of Statewide Grievance 2-77. —Review of Status of Fund
Committee or Reviewing Committee Imposing 2-78. —Attorney’s Fee for Prosecuting Claim
Sanctions or Conditions 2-79. —Enforcement of Payment of Fee
2-39. Reciprocal Discipline 2-80. —Restitution by Attorney
2-40. Discipline of Attorneys Found Guilty of Serious 2-81. —Restitution and Subrogation
Crimes in Connecticut 2-82. Admission of Misconduct; Discipline by Consent
2-41. Discipline of Attorneys Found Guilty of Serious 2-83. Effective Dates
Crimes in Another Jurisdiction
2-42. Conduct Constituting Threat of Harm to Clients CHAPTER 3
2-43. Notice by Attorney of Alleged Misuse of Clients’
Funds and Garnishments of Lawyers’ Trust APPEARANCES
Accounts
2-44. Power of Superior Court to Discipline Attorneys Sec.
and to Restrain Unauthorized Practice 3-1. Appearance for Plaintiff on Writ or Complaint in
2-44A. Definition of the Practice of Law Civil and Family Cases
2-45. —Cause Occurring in Presence of Court 3-2. Time to File Appearance
2-46. Suspension of Attorneys Who Violate Support 3-3. Form and Signing of Appearance
Orders 3-4. Filing Appearance
2-47. Presentments and Unauthorized Practice of 3-5. Service of Appearances on Other Parties
Law Petitions 3-6. Appearances for Bail or Detention Hearing Only
2-47A. Disbarment of Attorney for Misappropriation of 3-7. Consequence of Filing Appearance
Funds 3-8. Appearance for Represented Party
2-47B. Restrictions on the Activities of Deactivated 3-9. Withdrawal of Appearance; Duration of
Attorneys Appearance
2-48. Designee to Prosecute Presentments 3-10. Motion to Withdraw Appearance
2-49. Restitution 3-11. Appearance for Several Parties
2-50. Records of Statewide Grievance Committee, 3-12. Change in Name, Composition or Membership of
Reviewing Committee and Grievance Panel a Firm or Professional Corporation
2-51. Costs and Expenses 3-13. When Creditor May Appear and Defend
2-52. Resignation and Waiver of Attorney Facing Disci- 3-14. Legal Interns
plinary Investigation 3-15. —Supervision of Legal Interns
2-53. Reinstatement after Suspension, Disbarment or 3-16. —Requirements and Limitations
Resignation 3-17. —Activities of Legal Intern
2-54. Publication of Notice of Reprimand, Suspension, 3-18. —Certification of Intern
Disbarment, Resignation, Placement on Inac- 3-19. —Legal Internship Committee
tive Status or Reinstatement 3-20. —Unauthorized Practice
2-55. Retirement of Attorney—Right of Revocation 3-21. —Out-of-State Interns
2-55A. Retirement of Attorney—Permanent
2-56. Inactive Status of Attorney CHAPTER 4
2-57. —Prior Judicial Determination of Incompetency or
Involuntary Commitment PLEADINGS
2-58. —No Prior Determination of Incompetency or Sec.
Involuntary Commitment 4-1. Form of Pleading
2-59. —Disability Claimed during Course of Disciplin- 4-2. Signing of Pleading
ary Proceeding 4-3. Filing and Endorsing Pleadings
2-60. —Reinstatement upon Termination of Disability 4-4. Electronic Filing
2-61. —Burden of Proof in Inactive Status Proceedings 4-5. Notice Required for Ex Parte Temporary
2-62. —Waiver of Doctor-Patient Privilege upon Appli- Injunctions
cation for Reinstatement 4-6. Page Limitations for Briefs, Memoranda of Law
2-63. Definition of Respondent and Reply Memoranda
2-64. Appointment of Attorney to Protect Clients’ and 4-7. Personal Identifying Information to Be Omitted or
Attorney’s Interests Redacted from Court Records in Civil and Fam-
2-65. Good Standing of Attorney ily Matters
2-66. Practice by Court Officials
2-67. Payment of Attorneys by Bank and Trust Com-
panies CHAPTER 5
2-68. Client Security Fund Established TRIALS
2-68A. —Crisis Intervention and Referral Assistance
2-69. —Definition of Dishonest Conduct Sec.
2-70. —Client Security Fund Fee 5-1. Trial Briefs
2-71. —Eligible Claims 5-2. Raising Questions of Law Which May Be the Sub-
2-72. —Client Security Fund Committee ject of an Appeal
2-73. —Powers and Duties of Client Security Fund Com- 5-3. Administering Oath
mittee 5-4. Examination of Witnesses
2-74. —Regulations of Client Security Fund Committee 5-5. Objections to Evidence; Interlocutory Questions;
2-75. —Processing Claims Exceptions Not Required
2-76. —Confidentiality 5-6. Reception of Evidence Objected to
84
5-7. Marking Exhibits 7-2. General Duties of Clerk

5-8. Interlocutory Matters 7-3. Financial Accounts
5-9. Citation of Opinion Not Officially Published 7-4. Daybook
[Repealed] 7-4A. Identification of Cases
5-10. Sanctions for Counsel’s Failure to Appear 7-4B. Motion to File Record under Seal
5-11. Testimony of Party or Child in Family Relations 7-4C. Lodging a Record
Matter When Protective Order, Restraining 7-5. Notice to Attorneys and Self-Represented Parties
Order, Standing Criminal Protective Order or 7-6. Filing of Papers
Standing Criminal Restraining Order Issued on 7-7. Custody of Files
7-8. Lost File or Pleading
Behalf of Party or Child
7-9. Completing Records
7-10. Retention and Destruction of Files and Records;
CHAPTER 6 Withdrawals, Dismissals, Satisfactions of
Judgment
JUDGMENTS 7-11. —Judgments on the Merits—Stripping and
Sec. Retention
6-1. Statement of Decision; When Required 7-12. —Actions Affecting the Title to Land
7-13. —Criminal/Motor Vehicle Files and Records
6-2. Judgment Files; Captions and Contents
7-14. —Reports from Adult Probation and Family
6-3. —Preparation; When; By Whom; Filing Division
6-4. —Signing of Judgment File 7-15. —Retention Ordered by Chief Court Administra-
6-5. —Notation of Satisfaction tor; Transfer to State Library
7-16. —Motion to Prevent Destruction of File
CHAPTER 7 7-17. Clerks’ Offices
7-18. Hospital, Psychiatric and Medical Records
CLERKS; FILES AND RECORDS 7-19. Issuing Subpoenas for Witnesses on Behalf of
Self-Represented Litigants
Sec. 7-20. Records of Short Calendar Matters
7-1. Dockets; Clerk’s Records 7-21. Removing Exhibits and Other Papers
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS
CHAPTER 8 9-7. Class Actions; Prerequisites to Class Actions

9-8. —Class Actions Maintainable
COMMENCEMENT OF ACTION 9-9. —Procedure for Class Certification and Manage-
ment of Class
Sec. 9-10. —Orders to Ensure Adequate Representation
8-1. Process 9-11. Executor, Administrator or Trustee of Express
8-2. Waiver of Court Fees and Costs Trust
8-3. Bond for Prosecution 9-12. Personal Representatives of Cocontractor
8-4. Certification of Financial Responsibility 9-13. Persons Liable on Same Instrument
8-5. Remedy for Failure to Give Bond 9-14. Defendants Alternately Liable
8-6. Bond Ordered by Judicial Authority 9-15. Assignee of Part Interest
8-7. Request to Furnish Bond 9-16. Assignment Pending Suit
8-8. Member of Community Defending to Give Bond 9-17. Unsatisfied Judgment against One Defendant
8-9. Bond by Nonresident in Realty Action 9-18. Addition or Substitution of Parties; Additional Par-
8-10. Surety Company Bond Acceptable ties Summoned in by Court
8-11. Action on Probate Bond; Endorsement of Writ 9-19. —Nonjoinder and Misjoinder of Parties
8-12. Renewal of Bond 9-20. —Substituted Plaintiff
9-21. —Counterclaim; Third Parties
CHAPTER 9 9-22. —Motion to Cite in New Parties
9-23. Suit by Real Party in Interest
PARTIES 9-24. Change of Name by Minor Child
9-25. Action on Bond to Municipal Officer
Sec.
9-1. Continuance for Absent or Nonresident Defendant CHAPTER 10
9-2. Defense by Garnishee; Continuance
9-3. Joinder of Parties and Actions; Interested Persons PLEADINGS
as Plaintiffs
9-4. —Joinder of Plaintiffs in One Action Sec.
9-5. —Consolidation of Actions 10-1. Fact Pleading
9-6. —Interested Persons as Defendants 10-2. Pleading Legal Effect
85
10-3. Allegations Based on Statutory Grounds; For- 10-60. —Amendment by Consent, Order of Judicial
eign Law Authority, or Failure to Object
10-4. Implied Duty 10-61. —Pleading after Amendment
10-5. Untrue Allegations or Denials 10-62. —Variance; Amendment
10-6. Pleadings Allowed and Their Order 10-63. —Amendment; Legal or Equitable Relief
10-7. Waiving Right to Plead 10-64. —Amendment Calling for Legal Relief; Jury Trial
10-8. Time to Plead 10-65. —Amending Contract to Tort and Vice Versa
10-9. Common Counts 10-66. —Amendment of Amount in Demand
10-10. Supplemental Pleadings; Counterclaims 10-67. —Amendment of Claim against Insolvent Estate
10-11. Impleading of Third Party by Defendant in Civil 10-68. Pleading Special Matters; Pleading Notice
Action 10-69. —Foreclosure Complaint; Pleading Encum-
10-12. Service of the Pleading and Other Papers; brances
Responsibility of Counsel or Self-Represented 10-70. —Foreclosure of Municipal Liens
Party: Documents and Persons to Be Served 10-71. —Action on Probate Bond
10-13. —Method of Service 10-72. —Action by Assignee of Chose in Action
10-14. —Proof of Service 10-73. —Pleading Charters
10-15. —Numerous Defendants 10-74. —Wrongful Sale; Wrongful Conversion
10-16. —Several Parties Represented by One Attorney 10-75. —Goods Sold; Variance
10-17. —Service by Indifferent Person 10-76. —Probate Appeals; Reasons of Appeal
10-18. Penalty for Failing to Plead 10-77. —Appeals from Commissioners
10-19. Implied Admissions 10-78. —Pleading Collateral Source Payments
10-20. Contents of Complaint 10-79. —Pleading Issues of Policy Limitations
10-21. Joinder of Causes of Action
10-22. —Transactions Connected with Same Subject CHAPTER 11
10-23. —Joinder of Torts
10-24. —Legal and Equitable Relief
MOTIONS, REQUESTS, ORDERS OF NOTICE,
10-25. Alternative Relief AND SHORT CALENDAR
10-26. Separate Counts Sec.
10-27. Claim for Equitable Relief 11-1. Form of Motion and Request
10-28. Interest and Costs Need Not Be Claimed 11-2. Definition of ‘‘Motion’’ and ‘‘Request’’
10-29. Exhibits as Part of Pleading 11-3. Motion for Misjoinder of Parties
10-30. Motion to Dismiss; Grounds 11-4. Applications for Orders of Notice
10-31. —Opposition; Date for Hearing Motion to Dismiss 11-5. Subsequent Orders of Notice; Continuance
10-32. —Waiver Based on Certain Grounds 11-6. Notice by Publication
10-33. —Waiver and Subject Matter Jurisdiction 11-7. Attestation; Publication; Proof of Compliance
10-34. —Further Pleading by Defendant 11-8. Orders of Notice Directed outside of the United
10-35. Request to Revise States of America
10-36. —Reasons in Request to Revise 11-9. Disclosure of Previous Applications
10-37. —Granting of and Objection to Request to Revise 11-10. Requirement That Memorandum of Law Be Filed
10-38. —Waiver of Pleading Revisions with Certain Motions
10-39. Motion to Strike; Grounds 11-11. Motions Which Delay the Commencement of the
10-40. —Opposition; Date for Hearing Motion to Strike Appeal Period or Cause the Appeal Period to
10-41. —Reasons in Motion to Strike [Repealed] Start Again
10-42. —Memorandum of Law—Motion and Objection 11-12. Motion to Reargue
[Repealed] 11-13. Short Calendar; Need for List; Case Assigned for
10-43. —When Memorandum of Decision Required on Trial; Reclaims
Motion to Strike 11-14. —Short Calendar; Frequency; Time; Lists
10-44. —Substitute Pleading; Judgment 11-15. —Short Calendar; Assignments Automatic
10-45. —Stricken Pleading Part of Another Cause or 11-16. —Continuances when Counsel’s Presence or Oral
Defense Argument Required
10-46. The Answer; General and Special Denial 11-17. —Transfers on Short Calendar
10-47. —Evasive Denials 11-18. —Oral Argument of Motions in Civil Matters
10-48. —Express Admissions and Denials to Be Direct 11-19. —Time Limit for Deciding Short Calendar Matters
and Specific 11-20. Closure of Courtroom in Civil Cases
10-49. —Suit by Corporation; Admission by General 11-20A. Sealing Files or Limiting Disclosure of Documents
Denial in Civil Cases
10-50. —Denials; Special Defenses 11-20B. —Documents Containing Personal Identifying
10-51. —Several Special Defenses Information
10-52. —Admissions and Denials in Special Defense 11-21. Motions for Attorney’s Fees
10-53. —Pleading Contributory Negligence
10-54. —Pleading of Counterclaim and Setoff CHAPTER 12
10-55. —Withdrawal of Action after Counterclaim
10-56. Subsequent Pleadings; Plaintiff’s Response to
TRANSFER OF ACTIONS
Answer Sec.
10-57. —Matter in Avoidance of Answer 12-1. Procedure for Transfer
10-58. —Pleadings Subsequent to Reply 12-2. Transfer of Action Filed in Wrong Location of Cor-
10-59. Amendments; Amendment as of Right by Plaintiff rect Court
86
12-3. Transmission of Files and Papers 14-6. Administrative Appeals Are Civil Actions
14-7. Administrative Appeals; Exceptions
CHAPTER 13 14-7A. —Administrative Appeals Brought Pursuant to
General Statutes § 4-183 et seq.; Appearances;
DISCOVERY AND DEPOSITIONS Records, Briefs and Scheduling
14-7B. Administrative Appeals from Municipal Land Use,
Sec.
Historic and Resource Protection Agencies;
13-1. Definitions
Records, Briefs and Scheduling; Withdrawal
13-2. Scope of Discovery; In General
or Settlement
13-3. —Materials Prepared in Anticipation of Litigation; 14-8. Certifying That Pleadings Are Closed
Statements of Parties; Privilege Log 14-9. Privileged Cases in Assignment for Trial
13-4. —Experts 14-10. Claims for Jury
13-5. —Protective Order 14-11. Pretrial; Assignment for Pretrial
13-6. Interrogatories; In General 14-12. —When Case Not Disposed of at Pretrial
14-13. —Pretrial Procedure
13-7. —Answers to Interrogatories 14-14. —Orders at Pretrial
13-8. —Objections to Interrogatories 14-15. Assignments for Trial in General
13-9. Requests for Production, Inspection and Examina- 14-16. Methods of Assigning Cases for Trial
tion; In General 14-17. Immediate Trial
13-10. —Responses to Requests for Production; 14-18. Cases Reached for Trial
14-19. Cases Marked Settled
Objections 14-20. Order of Trial
13-11. —Physical or Mental Examination 14-21. Clerk to Communicate with Counsel in Cases
13-11A. —Motion for Authorization to Obtain Protected Assigned for Week Certain
Health Information 14-22. Assignment for Trial on Motion of Garnishee
13-12. Disclosure of Amount and Provisions of Insurance 14-23. Motions to Continue or Postpone Case Assigned
Liability Policy for Trial
13-13. Disclosure of Assets in Cases in Which Prejudg- 14-24. Motion to Postpone; Absent Witness; Missing
ment Remedy Sought Evidence
14-25. Availability of Counsel for Trial
13-14. Order for Compliance; Failure to Answer or Com-
ply with Order CHAPTER 15
13-15. Continuing Duty to Disclose
13-16. Orders by Judge
TRIALS IN GENERAL; ARGUMENT BY
13-17. Disclosure before Court or Committee COUNSEL
13-18. Disclosures in Equity Sec.
13-19. Disclosure of Defense 15-1. Order of Trial
15-2. Separate Trials
13-20. Discovery Sought by Judgment Creditor 15-3. Motion in Limine
13-21. Discovery Outside the United States of America 15-4. Medical Evidence
13-22. Admission of Facts and Execution of Writings; 15-5. Order of Parties Proceeding at Trial
Requests for Admission 15-6. Opening Argument
13-23. —Answers and Objections to Requests for 15-7. Time Limit on Argument
15-8. Dismissal in Court Cases for Failure to Make Out
Admission
a Prima Facie Case
13-24. —Effect of Admission
13-25. —Expenses on Failure to Admit CHAPTER 16
13-26. Depositions; In General JURY TRIALS
13-27. —Notice of Deposition; General Requirements;
Special Notice; Nonstenographic Recording; Sec.
16-1. Deaf or Hearing Impaired Jurors
Production of Documents and Things; Deposi- 16-2. Challenge to Array
tion of Organization 16-3. Preliminary Proceedings in Jury Selection
13-28. —Persons before Whom Deposition Taken; Sub- 16-4. Disqualification of Jurors and Selection of Panel
poenas 16-5. Peremptory Challenges
16-6. Voir Dire Examination
13-29. —Place of Deposition 16-7. Juror Questions and Note Taking
13-30. —Deposition Procedure 16-8. Oath and Admonitions to Trial Jurors
13-31. —Use of Depositions in Court Proceedings 16-9. Questions of Law and Fact
13-32. Stipulations regarding Discovery and Deposition 16-10. Order by Judicial Authority for Jury Trial of Factual
Procedure Issues in Equitable Actions
13-33. Claim of Privilege or Protection after Production 16-11. Cases Presenting Both Legal and Equitable
Issues
16-12. View by Jury of Place or Thing Involved in Case
CHAPTER 14 16-13. Judgment of the Court
16-14. Communications between Parties and Jurors
DOCKETS, TRIAL LISTS, PRETRIALS AND 16-15. Materials to Be Submitted to Jury
ASSIGNMENT LISTS 16-16. Jury Deliberations
16-17. Jury Returned for Reconsideration
Sec. 16-18. Interrogatories to the Jury
14-1. Claim for Statutory Exemption or Stay by Reason 16-19. Reading of Statement of Amount in Demand or
of Bankruptcy Statement of Claim; Arguing Amount Recov-
14-2. Claim for Exemption from Docket Management erable
Program by Reason of Bankruptcy 16-20. Requests to Charge and Exceptions; Necessity for
14-3. Dismissal for Lack of Diligence 16-21. —Requests to Charge on Specific Claims
16-22. —Filing Requests
14-4. Maintenance of Case Records 16-23. —Form and Contents of Requests to Charge
14-5. Definition of Administrative Appeals 16-24. —Charge Conference
87
16-25. Modification of Instructions for Correction or Clari- 17-29. —Default Motion Not on Short Calendar
fication 17-30. Summary Process; Default and Judgment for Fail-
16-26. Other Instructions after Additional Instructions ure to Appear or Plead
16-27. Jury Request for Review of Testimony 17-31. Procedure where Party is in Default
16-28. Jury Request for Additional Instructions 17-32. Where Defendant is in Default for Failure to Plead
16-29. Deadlocked Jury 17-33. When Judgment May Be Rendered after a Default
16-30. Verdict; Return of Verdict 17-33A. Motions for Judgment of Foreclosure
16-31. —Acceptance of Verdict
17-34. Hearings in Damages; Notice of Defenses
16-32. —Poll of Jury after Verdict
16-33. —Discharge of Jury 17-35. —Requirements of Notice; Time
16-34. —Impeachment of Verdict 17-36. —Notice by Clerk
16-35. Motions after Verdict: Motions in Arrest of Judg- 17-37. —Notice of Defense to Be Specific
ment, to Set Aside Verdict, for Additur or Remitti- 17-38. —Amending Notice of Defense
tur, for New Trial, or for Collateral Source 17-39. —No Reply Allowed
Reduction 17-40. —Evidence to Reduce Damages
16-36. Motions to Reduce Verdict [Repealed] (Trans- 17-41. Relief Permissible on Default
ferred to Section 17-2A.) 17-42. Opening Defaults where Judgment Has Not
16-37. Reservation of Decision on Motion for Directed Been Rendered
Verdict 17-43. Opening Judgment upon Default or Nonsuit
16-38. Memorandum on Setting Verdict Aside 17-44. Summary Judgments; Scope of Remedy
17-45. —Proceedings upon Motion for Summary Judg-
CHAPTER 17 ment; Request for Extension of Time to
Respond
JUDGMENTS 17-46. —Form of Affidavits
17-47. —When Appropriate Documents Are Unavailable
Sec.
17-1. Judgments in General 17-48. —Affidavits Made in Bad Faith
17-2. Judgment on Verdict and Otherwise 17-49. —Judgment
17-2A. Motions to Reduce Verdict 17-50. —Triable Issue as to Damages Only
17-3. Remittitur where Judgment Too Large 17-51. —Judgment for Part of Claim
17-4. Setting Aside or Opening Judgments 17-52. Executions
17-4A. Motions for New Trial 17-53. Summary Process Executions
17-5. Record of Proceeding; Facts Supporting Judg- 17-54. Declaratory Judgment; Scope
ment to Appear on Record 17-55. —Conditions for Declaratory Judgment
17-6. Form of Finding 17-56. —Procedure for Declaratory Judgment
17-7. Special Finding; Request
17-57. —Costs in Declaratory Judgment
17-8. —Functions of Special Finding
17-9. —Form and Contents of Special Finding 17-58. —Declaratory Judgment Appealable
17-10. Modifying Judgment after Appeal 17-59. —Order of Priorities in Declaratory Judgment
17-11. Offer of Compromise by Defendant; How Made
17-12. —Acceptance of Defendant’s Offer CHAPTER 18
17-13. —Defendant’s Offer Not Accepted
17-14. Offer of Compromise by Plaintiff; How Made FEES AND COSTS
17-14A. —Alleged Negligence of Health Care Provider
17-15. —Acceptance of Plaintiff’s Offer Sec.
17-16. —Plaintiff’s Offer Not Accepted 18-1. Vouchers for Court Expenses
17-17. —Offer of Compromise and Acceptance Included 18-2. Costs on Appeal from Commissioners
in Record 18-3. Costs on Creditor’s Appeal
17-18. —Judgment where Plaintiff Recovers an Amount
18-4. Eminent Domain; Clerk’s Fees
Equal to or Greater than Offer
17-19. Procedure where Party Fails to Comply with Order 18-5. Taxation of Costs; Appeal
of Judicial Authority or to Appear for Trial 18-6. Costs on Writ of Error
17-20. Motion for Default and Nonsuit for Failure to 18-7. Costs on Interlocutory Proceedings
Appear 18-8. Jury Fee where More than One Trial
17-21. Defaults under Servicemembers Civil Relief Act 18-9. Nonresident Witnesses; Fees
17-22. Notice of Judgments of Nonsuit and Default for 18-10. Witness Fees in Several Suits
Failure to Enter an Appearance 18-11. Witness Not Called; Fees
17-23. Contract Actions to Pay a Definite Sum where 18-12. Costs where Several Issues
There is a Default for Failure to Appear; Limi- 18-13. Several Defendants; Costs
tations
18-14. Fees and Costs where Plaintiffs Join or Actions
17-24. —Promise to Pay Liquidated Sum
Are Consolidated
17-25. —Motion for Default and Judgment; Affidavit of
Debt; Military Affidavit; Bill of Costs; Debt 18-15. Costs where Both Legal and Equitable Issues
Instrument 18-16. Costs on Complaint and Counterclaim
17-26. —Order for Weekly Payments 18-17. Costs on Counterclaim
17-27. —Entry of Judgment 18-18. Costs for Exhibits
17-28. —Enforcement of Judgment 18-19. Proceedings before Judge; No Costs
88
CHAPTER 19 21-21. —Bond

21-22. —Discharge
REFERENCES 21-23. —Orders
21-24. —Reports
Sec.
19-1. Application of Chapter
19-2. Reference to Committee
CHAPTER 22
19-2A. Reference to Attorney Trial Referee UNEMPLOYMENT COMPENSATION
19-3. Reference to Judge Trial Referee
19-3A. Reference to Special Assignment Probate Judge Sec.
19-4. Attorney Trial Referees and Special Assignment 22-1. Appeal
Probate Judges; Time to File Report 22-2. Assignment for Hearing
19-5. Appointment of Committee or Referee 22-3. Finding
19-6. Effect of Reference 22-4. Correction of Finding; Motion to Correct Finding
19-7. Pleadings 22-5. —Evidence to Be Filed by Appellee
19-8. Report 22-6. —Motion to Correct by Appellee
19-9. Request for Finding 22-7. —Duty of Board on Motion to Correct
19-10. Alternative Report 22-8. —Claiming Error on Board’s Decision on Motion
19-11. Amending Report to Correct
19-12. Motion to Correct [Repealed] 22-9. Function of the Court
19-13. Exceptions to Report or Finding [Repealed]
19-14. Objections to Acceptance of Report
CHAPTER 23
19-15. Time to File Objections
19-16. Judgment on the Report MISCELLANEOUS REMEDIES AND
19-17. Function of the Court
19-18. Extensions of Time
PROCEDURES
19-19. Reference to Accountant Sec.
23-1. Arbitration; Confirming, Correcting or Vacating
CHAPTER 20 Award
23-2. Expedited Process Cases [Repealed]
HEARINGS IN CHAMBERS 23-3. —Placement on the Expedited Process Track
[Repealed]
Sec. 23-4. —Pleadings Allowed in Expedited Process Track
20-1. Procedure in Contested Matters Cases [Repealed]
20-2. Certifying Proceedings to Court 23-5. —Motions Allowed [Repealed]
20-3. Transfer of Hearings before Judges 23-6. —Discovery Allowed [Repealed]
20-4. Trial before Judge; Lodging File and Papers 23-7. —Discovery Procedure for Expedited Process
20-5. Lodging Papers in Cause Affecting Land Cases [Repealed]
20-6. Clerk Designated by Judge to Take Papers 23-8. —Certification That Pleadings Are Closed
[Repealed]
CHAPTER 21 23-9. —Case Management Conference for Expedited
Process Track Cases [Repealed]
RECEIVERS 23-10. —Transfer to Regular Docket [Repealed]
23-11. —Offers of Judgment [Repealed]
Sec. 23-12. —Trial of Cases on Expedited Process Track
21-1. Appointment of Temporary Receiver in Chambers [Repealed]
21-2. Permanent Receiver 23-13. Granting of Complex Litigation Status and
21-3. Appointments by Court Assignment
21-4. Receiver to Give Bond 23-14. —Powers of Judge Assigned in Complex Litiga-
21-5. Inventory tion Cases
21-6. Insolvent Estates to Be Liquidated 23-15. —Request for Complex Litigation Status
21-7. Presentation and Allowance of Claims; Presen- 23-16. Foreclosure of Mortgages
tation 23-17. —Listing of Law Days
21-8. —Allowance; Hearing 23-18. —Proof of Debt in Foreclosures
21-9. —Extensions of Time 23-19. —Motion for Deficiency Judgment
21-10. —Hearing before Action on Allowance 23-20. Review of Civil Contempt
21-11. Continuance of Business 23-21. Habeas Corpus
21-12. Reports where Business Continued 23-22. —The Petition
21-13. Semiannual Summary of Orders 23-23. —Return of Noncomplying Petition
21-14. Semiannual Accounts 23-24. —Preliminary Consideration of Judicial Authority
21-15. Orders in Chambers 23-25. —Waiver of Filing Fees and Costs of Service
21-16. Duty of Clerks 23-26. —Appointment of Counsel
21-17. Removal of Receivers 23-27. —Venue for Habeas Corpus
21-18. Ancillary Receivers 23-28. —Transfer of Habeas Corpus
21-19. Receiver of Rents; Applicability of Previous 23-29. —Dismissal
Sections 23-30. —The Return
21-20. —Appointment 23-31. —Reply to the Return
89
23-32. —Amendments
23-33. —Request for a More Specific Statement CHAPTER 24
23-34. —Summary Procedures for Habeas Corpus SMALL CLAIMS
Petitions
Sec.
23-35. —Schedule for Filing Pleadings 24-1. In General
23-36. —The Expanded Record 24-2. Allowable Actions
23-37. —Summary Judgment in Habeas Corpus 24-3. Institution of Actions; Electronic Filing
23-38. —Discovery in Habeas Corpus 24-4. Where Claims Shall Be Filed
23-39. —Depositions in Habeas Corpus 24-5. Venue
23-40. —Court Appearance in Habeas Corpus 24-6. Definition of ‘‘Plaintiff’’ and ‘‘Representative’’
23-41. —Motion for Leave to Withdraw Appearance of 24-7. What Constitutes File
Appointed Counsel 24-8. Institution of Small Claims Actions; Beginning of
23-42. —Judicial Action on Motion for Permission to With- Action
draw Appearance 24-9. —Preparation of Writ
23-43. Interpleader; Pleadings 24-10. —Service of Small Claims Writ and Notice of Suit
23-44. —Procedure in Interpleader 24-11. —Further Service of Claim [Repealed]
24-12. —Answer Date
23-45. Mandamus; Parties Plaintiff
24-13. —Alternative Method of Commencing Action
23-46. —Mandamus Complaint [Repealed]
23-47. —Mandamus in Aid of Pending Action 24-14. —Notice of Time and Place of Hearing
23-48. —Temporary Order of Mandamus 24-15. —Scheduling of Hearings; Continuances
23-49. —Pleadings in Mandamus 24-16. Answers; Requests for Time to Pay
23-50. Writs of Error 24-17. —Prohibition of Certain Filings
23-51. Petition to Open Parking or Citation Assessment 24-18. —Plaintiff to Inquire as to Answer Filed [Repealed]
23-52. Fact-Finding; Approval of Fact Finders 24-19. —Claim of Setoff or Counterclaim
23-53. —Referral of Cases to Fact Finders 24-20. —Amendment of Claim or Answer, Setoff or Coun-
terclaim; Motion to Dismiss
23-54. —Selection of Fact Finders; Disqualification
24-20A. —Request for Documents; Depositions
23-55. —Hearing in Fact-Finding 24-21. Transfer to Regular Docket
23-56. —Finding of Facts 24-22. Hearings in Small Claims Actions; Subpoenas
23-57. —Objections to Acceptance of Finding of Facts 24-23. —Procedure
23-58. —Action by Judicial Authority 24-24. Judgments in Small Claims; When Presence of
23-59. —Failure to Appear at Hearing the Plaintiff or Representative is Not Required
23-60. Arbitration; Approval of Arbitrators for Entry of Judgment
23-61. —Referral of Cases to Arbitrators 24-25. —Failure of the Defendant to Answer
23-62. —Selection of Arbitrators; Disqualification 24-26. —Failure of a Party to Appear before the Court
23-63. —Hearing in Arbitration when Required
24-27. —Dismissal for Failure to Obtain Judgment
23-64. —Decision of Arbitrator
24-28. —Finality of Judgments and Decisions
23-65. —Failure to Appear at Hearing before Arbitrator 24-29. —Decision in Small Claims; Time Limit
23-66. —Claim for Trial De Novo in Arbitration; Judgment 24-30. —Satisfying Judgment
23-67. Alternative Dispute Resolution 24-31. —Opening Judgment; Costs
23-68. Where Presence of Person May Be by Means of 24-32. Execution in Small Claims Actions
an Interactive Audiovisual Device 24-33. Costs in Small Claims
SUPERIOR COURT—PROCEDURE IN FAMILY MATTERS
CHAPTER 25 25-6. Parties and Appearances

25-7. Pleadings in General; Amendments to Complaint
GENERAL PROVISIONS or Application
Sec. 25-8. —Amendment; New Ground for Dissolution of
25-1. Definitions Applicable to Proceedings on Family Marriage or Civil Union
Matters 25-9. —Answer, Cross Complaint, Claims for Relief
25-2. Complaints for Dissolution of Marriage or Civil by Defendant
Union, Legal Separation, or Annulment 25-10. —Answer to Cross Complaint
25-2A. Premarital and Postnuptial Agreements 25-11. —Order of Pleadings
25-3. Action for Custody of Minor Child 25-12. Motion to Dismiss
25-4. Action for Visitation of Minor Child 25-13. —Grounds on Motion to Dismiss
25-5. Automatic Orders upon Service of Complaint or 25-14. —Waiver and Subject Matter Jurisdiction
Application 25-15. —Further Pleading by Defendant
25-5A. Automatic Orders upon Service of Petition for 25-16. Motion to Strike; In General
Child Support 25-17. —Date for Hearing
90
25-18. —Reasons 25-48. Dockets, Pretrials and Assignment for Disposition

25-19. —Memorandum of Law 25-49. Definitions
25-20. —When Memorandum of Decision Required 25-50. Case Management
25-21. —Substitute Pleading; Judgment 25-51. When Motion for Default for Failure to Appear
25-22. —Stricken Pleading Part of Another Cause or Does Not Apply
Defense 25-52. Failure to Appear for Scheduled Disposition
25-23. Motions, Requests, Orders of Notice, and Short 25-53. Reference of Family Matters
Calendar 25-54. Order of Trial; Argument by Counsel
25-24. Motions 25-55. Medical Evidence
25-25. Motion for Exclusive Possession 25-56. Production of Documents at Hearing or Trial
25-26. Modification of Custody, Alimony or Support 25-57. Affidavit concerning Children
25-27. Motion for Contempt 25-58. Reports of Dissolution of Marriage or Civil Union
25-28. Order of Notice and Annulment
25-29. Notice of Orders for Support or Alimony 25-59. Closure of Courtroom in Family Matters
25-30. Statements to Be Filed 25-59A. Sealing Files or Limiting Disclosure of Documents
25-31. Discovery and Depositions in Family Matters
25-32. Mandatory Disclosure and Production 25-59B. —Documents Containing Personal Identifying
25-32A. Discovery Noncompliance Information
25-32B. Discovery—Special Master 25-60. Evaluations, Studies, Family Services Mediation
25-33. Judicial Appointment of Expert Witnesses Reports and Family Services Conflict Resolu-
25-34. Procedure for Short Calendar tion Reports
25-35. Disclosure of Conference Recommendation 25-60A. Court-Ordered Private Evaluations
25-36. Motion for Decree Finally Dissolving Marriage or 25-61. Family Division
Civil Union after Decree of Legal Separation 25-62. Appointment of Guardian Ad Litem
25-37. —Notice and Hearing 25-62A. Appointment of Attorney for a Minor Child
25-38. Judgment Files 25-63. Right to Counsel in Family Civil Contempt Pro-
25-39. Miscellaneous Rules ceedings
25-40. Habeas Corpus in Family Matters; the Petition 25-64. —Waiver
25-41. —Preliminary Consideration 25-65. Family Support Magistrates; Procedure
25-42. —Dismissal [Repealed]
25-43. —The Return 25-66. Appeal from Decision of Family Support Magis-
25-44. —Reply to the Return trate [Repealed]
25-45. —Schedule for Filing Pleadings 25-67. Support Enforcement Services [Repealed]
25-46. —Summary Judgment as to Writ of Habeas 25-68. Right to Counsel in State Initiated Paternity
Corpus Actions
25-47. —Discovery 25-69. Social Services; Additional Duties
SUPERIOR COURT—PROCEDURE IN FAMILY SUPPORT

MAGISTRATE MATTERS
CHAPTER 25a 25a-15. Statements to Be Filed

25a-16. Opening Argument
FAMILY SUPPORT MAGISTRATE MATTERS 25a-17. Motion to Open Judgment of Paternity by Acknowl-
Sec. edgment
25a-1. Family Support Magistrate Matters; Procedure 25a-18. Modification of Alimony or Support
25a-2. Prompt Filing of Appearance 25a-19. Standard Disclosure and Production
25a-3. Withdrawal of Appearance; Duration of 25a-20. Medical Evidence
Appearance 25a-21. Experts
25a-4. Telephonic Hearings 25a-22. Interrogatories; In General
25a-5. Signing of Pleading 25a-23. Answers to Interrogatories
25a-6. Contents of Petition 25a-24. Requests for Production, Inspection and Examina-
25a-7. Automatic Orders upon Service of Petition tion; In General
25a-8. Order of Notice 25a-25. Order for Compliance; Failure to Answer or Com-
25a-9. Motions ply with Order
25a-10. —Motion to Cite in New Parties 25a-26. Continuing Duty to Disclose
25a-11. Answer to Cross Petition 25a-27. Depositions; In General
25a-12. Order of Pleadings 25a-28. —Place of Deposition
25a-13. Reclaims 25a-29. Appeal from Decision of Family Support Mag-
25a-14. —Continuances when Counsel’s Presence or Oral istrate
Argument Required 25a-30. Support Enforcement Services
91
SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERS
CHAPTER 26 CHAPTER 30
DEFINITIONS DETENTION
Sec. Sec.
26-1. Definitions Applicable to Proceedings on Juve- 30-1. Notice and Statement by Person Bringing Child to
nile Matters Detention [Repealed]
26-2. Persons in Attendance at Hearings 30-1A. Admission to Detention
26-3. Case Initiation; Electronic Filing 30-2. Release [Repealed]
30-2A. Family with Service Needs and Detention
CHAPTER 27 30-3. Advisement of Rights
30-4. Notice to Parents by Detention Personnel
RECEPTION AND PROCESSING OF 30-5. Detention Time Limitations
DELINQUENCY AND FAMILY WITH SERVICE 30-6. Basis for Detention
NEEDS COMPLAINTS OR PETITIONS 30-7. Place of Detention Hearings
30-8. Initial Order for Detention; Waiver of Hearing
Sec. 30-9. Information Allowed at Detention Hearing
27-1. Complaints; In General [Repealed] 30-10. Orders of a Judicial Authority after Initial Deten-
27-1A. Referrals for Nonjudicial Handling of Delin- tion Hearing
quency Complaints 30-11. Detention after Dispositional Hearing
27-2. —Insufficient Allegations in Complaints [Repealed]
27-3. —Sufficient Allegations in Complaints [Repealed]
27-4. Additional Offenses and Misconduct CHAPTER 30a
27-4A. Ineligibility for Nonjudicial Handling of Delin-
quency Complaint
DELINQUENCY AND FAMILY WITH SERVICE
27-5. Initial Interview for Delinquency Nonjudicial Han- NEEDS HEARINGS
dling Eligibility Sec.
27-6. Denial of Responsibility 30a-1. Initial Plea Hearing
27-7. —Written Statement of Responsibility 30a-1A. Family with Service Needs Preadjudication Con-
27-8. —Scheduling of Judicial Plea/Dispositional Hear- tinuance
ing [Repealed] 30a-2. Pretrial Conference
27-8A. Nonjudicial Supervision—Delinquency 30a-3. —Standards of Proof; Burden of Going Forward
27-9. Family with Service Needs Referrals 30a-4. Plea Canvass
30a-5. Dispositional Hearing
CHAPTER 28 30a-6. —Statement on Behalf of Victim
30a-6A. —Persons in Attendance at Hearings [Repealed]
DELINQUENCY AND FAMILY WITH SERVICE (Transferred to Section 26-2.)
NEEDS NONJUDICIAL SUPERVISION 30a-7. Recording of Hearings
30a-8. Records
[Repealed as of Jan. 1, 2003.] 30a-9. Appeals in Delinquency and Family with Service
Needs Proceedings
Sec.
28-1. Nonjudicial Supervision [Repealed] (Transferred to
Section 27-8A.) CHAPTER 31
DELINQUENCY AND FAMILY WITH SERVICE
CHAPTER 29 NEEDS HEARING
RECEPTION AND PROCESSING OF [Repealed as of Jan. 1, 2003.]
DELINQUENCY AND CHILD FROM FAMILY
WITH SERVICE NEEDS PETITIONS AND Sec.
DELINQUENCY INFORMATIONS 31-1. Adjudicatory Hearing; Actions by Judicial Author-
ity [Repealed]
Sec. 31-2. —Continuance for Pretrial Conference [Repealed]
29-1. Contents of Delinquency and Family with Service 31-3. —Burden of Going Forward [Repealed]
Needs Petitions or Delinquency Informations 31-4. —Physical Presence of Child [Repealed]
29-1A. Processing of Delinquency Petitions and Infor- 31-5. Dispositional Hearing; Factors to Be Considered by
mations Judicial Authority [Repealed]
29-1B. Processing of Family with Service Needs Petitions 31-6. —When Held; Evidence and Predispositional
29-2. Service of Petitions Study [Repealed]
92
31-7. —Availability of Predispositional Study to Counsel 32-6. Order of Temporary Custody; Application and
and Parties [Repealed] Sworn Statement [Repealed]
31-8. —Dispositional Plan Offered by Child or Parent 32-7. —Statement in Temporary Custody Order of
[Repealed] Respondent’s Rights and of Subsequent Hear-
31-9. —Statement on Behalf of Victim [Repealed] ing [Repealed]
31-10. Modification of Probation and Supervision 32-8. —Authority of Temporary Custodian [Repealed]
[Repealed] 32-9. —Emergency, Life-Threatening Medical Situa-
31-11. Take into Custody [Repealed] tions—Procedures [Repealed]
31-12. Physical and Mental Examinations [Repealed]
31-13. Mentally Ill Children [Repealed] CHAPTER 32a
RIGHTS OF PARTIES
CHAPTER 31a NEGLECTED, ABUSED AND UNCARED FOR
DELINQUENCY AND FAMILY WITH SERVICE CHILDREN AND TERMINATION OF
NEEDS MOTIONS AND APPLICATIONS PARENTAL RIGHTS
Sec.
Sec. 32a-1. Right to Counsel and to Remain Silent
31a-1. Motions and Amendments 32a-2. Hearing Procedure; Subpoenas
31a-1A. Continuances and Advancements 32a-3. Standards of Proof
31a-2. Motion for Bill of Particulars 32a-4. Child or Youth Witness
31a-3. Motion to Dismiss 32a-5. Consultation with Child or Youth
31a-4. Motion to Suppress 32a-6. Interpreter
31a-5. Motion for Judgment of Acquittal 32a-7. Records
31a-6. Motion for Transfer of Venue 32a-8. Use of Confidential Alcohol or Drug Abuse Treat-
31a-7. Motion in Limine ment Records as Evidence
31a-8. Motion for Sequestration 32a-9. Competency of Parent
31a-9. Severance of Offenses
31a-10. Trial Together on Petitions or Informations CHAPTER 33
31a-11. Motion for New Trial
31a-12. Motion to Transfer to Adult Criminal Docket HEARINGS CONCERNING NEGLECTED,
31a-13. Take into Custody Order UNCARED FOR AND DEPENDENT CHILDREN
31a-13A. Temporary Custody Order—Family with Service AND TERMINATION OF PARENTAL RIGHTS
Needs Petition
31a-14. Physical and Mental Examinations [Repealed as of Jan. 1, 2003.]
31a-15. Mentally Ill Children Sec.
31a-16. Discovery 33-1. Adjudicatory Hearing; Actions by Judicial Author-
31a-17. Disclosure of Defenses in Delinquency Pro- ity [Repealed]
ceedings 33-2. —Continuance for Case Status Conference
31a-18. Modification of Probation and Supervision [Repealed]
31a-19. Motion for Extension of Delinquency Commitment; 33-3. —Evidence [Repealed]
Motion for Review of Permanency Plan 33-4. —Burden of Proceeding [Repealed]
31a-19A. Motion for Extension or Revocation of Family with 33-5. Dispositional Hearing; Evidence and Social Study
Service Needs Commitment; Motion for Review [Repealed]
of Permanency Plan 33-6. —Availability of Social Study to Counsel and Par-
31a-20. Petition for Violation of Family with Service Needs ties [Repealed]
Post-Adjudicatory Orders 33-7. —Dispositional Plan Offered by Respondents
31a-21. Petition for Child from a Family with Service Needs [Repealed]
at Imminent Risk 33-8. Protective Supervision—Conditions and Modifica-
tion [Repealed]
33-9. Extension Petitions [Repealed]
CHAPTER 32 33-10. Revocation of Commitments [Repealed]
33-11. Modifications [Repealed]
NEGLECTED, UNCARED FOR AND 33-12. Coterminous Petitions [Repealed]
DEPENDENT CHILDREN AND TERMINATION 33-13. Transfer from Probate Court of Petitions for
OF PARENTAL RIGHTS Removal of Parent as Guardian [Repealed]
[Repealed as of Jan. 1, 2003.] CHAPTER 33a

Sec. PETITIONS FOR NEGLECT, UNCARED FOR,
32-1. Initiation of Judicial Proceeding; Contents of Peti- DEPENDENCY AND TERMINATION OF
tions and Summary of Facts [Repealed] PARENTAL RIGHTS: INITIATION OF
32-2. —Summons Accompanying Petitions [Repealed] PROCEEDINGS, ORDERS OF TEMPORARY
32-3. —Venue [Repealed]
32-4. —Identity or Location of Parent Unknown
CUSTODY AND PRELIMINARY HEARINGS
[Repealed] Sec.
32-5. —Address of Person Entitled to Personal Service 33a-1. Initiation of Judicial Proceeding; Contents of Peti-
Unknown [Repealed] tions and Summary of Facts
93
33a-2. Service of Summons, Petitions and Ex Parte CHAPTER 35

Orders
33a-3. Venue GENERAL PROVISIONS
33a-4. Identity or Location of Respondent Unknown
33a-5. Address of Person Entitled to Personal Service [Repealed as of Jan. 1, 2003.]
Unknown Sec.
33a-6. Order of Temporary Custody; Ex Parte Orders and 35-1. Petitions, Motions and Amendments [Repealed]
Orders to Appear 35-2. Continuances and Advancements [Repealed]
33a-7. Preliminary Order of Temporary Custody or First 35-3. Discovery [Repealed]
Hearing; Actions by Judicial Authority 35-4. Appeal [Repealed]
33a-8. Emergency, Life-Threatening Medical Situa- 35-5. Recording of Testimony; Records [Repealed]
tions—Procedures
CHAPTER 35a
CHAPTER 34
HEARINGS CONCERNING NEGLECTED,
RIGHTS OF PARTIES ABUSED AND UNCARED FOR CHILDREN AND
[Repealed as of Jan. 1, 2003.] TERMINATION OF PARENTAL RIGHTS
Sec.
Sec.
35a-1. Adjudication upon Acceptance of Admission or
34-1. Right to Counsel and to Remain Silent [Repealed]
Written Plea of Nolo Contendere
34-2. Hearing Procedure; Subpoenas [Repealed]
35a-1A. Record of the Case
34-3. Standards of Proof [Repealed]
35a-1B. Exclusion of Unnecessary Persons from
34-4. Child Witness [Repealed]
Courtroom
35a-2. Case Status Conference or Judicial Pretrial
CHAPTER 34a 35a-3. Coterminous Petitions
35a-4. Motions to Intervene
PLEADINGS, MOTIONS AND DISCOVERY 35a-5. Notice and Right to Be Heard
NEGLECTED, ABUSED AND UNCARED FOR 35a-6. Post-Disposition Role of Former Guardian
CHILDREN AND TERMINATION OF 35a-6A. Consolidation
PARENTAL RIGHTS 35a-7. Evidence
35a-7A. Adverse Inference
Sec. 35a-8. Burden of Proceeding
34a-1. Motions, Requests and Amendments 35a-9. Dispositional Hearing; Evidence and Social Study
34a-2. Short Calendar—Frequency 35a-10. Availability of Social Study to Counsel and Parties
34a-3. Short Calendar—Assignments Automatic 35a-11. Dispositional Plan Offered by Respondents
34a-4. Short Calendar—Continuances When Counsel’s 35a-12. Protective Supervision—Conditions and Modifi-
Presence or Oral Argument Required cation
34a-5. Continuances and Advancements 35a-12A. Motions for Transfer of Guardianship
34a-6. Pleadings Allowed and Their Order 35a-13. Findings as to Continuation in the Home, Efforts to
34a-7. Waiving Right to Plead Prevent Removal
34a-8. Time to Plead 35a-14. Motions for Review of Permanency Plan
34a-9. Motion to Dismiss 35a-14A. Revocation of Commitment
34a-10. Grounds of Motion to Dismiss 35a-15. Reunification Efforts—Aggravating Factors
34a-11. Waiver Based on Certain Grounds 35a-16. Modifications
34a-12. Waiver and Subject Matter Jurisdiction 35a-17. Motions to Review Plan for Child Whose Parents’
34a-13. Further Pleading by Respondent or Child Rights Have Been Terminated [Repealed]
34a-14. Response to Summary of Facts 35a-18. Opening Default
34a-15. Motion to Strike 35a-19. Transfer from Probate Court of Petitions for
34a-16. Reasons in Motion to Strike Removal of Parent as Guardian or Termination
34a-17. Memorandum of Law—Motion and Objection of Parental Rights
34a-18. When Memorandum of Decision Required on 35a-20. Motions for Reinstatement of Parent or Former
Motion to Strike Legal Guardian as Guardian or Modification of
34a-19. Substitute Pleading; Judgment Guardianship Post-Disposition
34a-20. Discovery 35a-21. Appeals in Child Protection Matters
34a-21. Court-Ordered Evaluations 35a-22. Where Presence of Person May Be by Means of an
34a-22. Motion for Contempt Interactive Audiovisual Device
34a-23. Motion for Emergency Relief 35a-23. Child’s Hearsay Statement; Residual Exception
94
SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERS
CRIMINAL PRETRIAL RELEASE
Sec.
PROCEDURE PRIOR TO APPEARANCE 38-1. Release from Custody; Superior Court Arrest War-
Sec. rant where Appearance before Clerk Required
38-2. Release Following Any Other Arrest; Release by
36-1. Arrest by Warrant; Issuance
Law Enforcement Officers
36-2. —Affidavit in Support of Application, Filing, Dis- 38-3. —Release by Bail Commissioner
closure 38-4. —Release by Judicial Authority
36-3. —Contents of Warrant 38-5. —Release by Correctional Officials
36-4. —Direction by Judicial Authority for Use of 38-6. Appearance after Release
Summons 38-7. Cash Bail
36-5. —Execution and Return of Warrant 38-8. Ten Percent Cash Bail
36-6. —Cancellation of Warrant 38-9. Real Estate Bond
36-7. Summons; Form of Summons and Complaint 38-10. Factors to Be Considered by the Judicial Authority
36-8. —Issuance of Summons by Prosecuting Authority in Release Decision [Repealed]
in Lieu of Arrest Warrant 38-11. Request for Judicial Determination of Release
38-12. Attorneys Not Allowed to Give Bonds
36-9. —Service of Summons
38-13. Bail Modification; In General
36-10. —Failure to Respond to Summons 38-14. —Motion of Parties for Bail Modification
36-11. Information and Complaint; Use 38-15. —Application of Bail Commissioner
36-12. —Issuance of Information 38-16. —Application of Surety
36-13. —Form of Information 38-17. —Hearing on Motion or Application for Modification
36-14. —Former Conviction in Information of Bail
36-15. —Filing and Availability of Information 38-18. —Review of Detention Prior to Arraignment, Trial
or Sentencing
36-16. Amendments; Minor Defects
38-19. Violation of Conditions of Bail; Order to Appear
36-17. —Substantive Amendment before Trial 38-20. —Sanctions for Violation of Conditions of Release
36-18. —Substantive Amendment after Commencement 38-21. —Forfeiture of Bail and Rearrest Warrant
of Trial 38-22. Rebate of Forfeited Bonds
36-19. —Request by Defendant for Essential Facts 38-23. Discharge of Surety’s Obligation
36-20. —Continuance Necessitated by Amendment
36-21. Joinder of Offenses in Information CHAPTER 39
36-22. Joinder of Defendants
DISPOSITION WITHOUT TRIAL
CHAPTER 37 Sec.
39-1. Procedure for Plea Discussions; In General
ARRAIGNMENT 39-2. —Discussions with Defendant
39-3. —Role of Defense Counsel
Sec. 39-4. —Subject Matter of Discussion
37-1. Arraignment; Timing 39-5. Plea Agreements; Upon Plea of Guilty or Nolo Con-
37-2. —Information and Materials to Be Provided to the tendere
Defendant Prior to Arraignment 39-6. —Alternate Agreements
39-7. —Notice of Plea Agreement
37-3. —Advisement of Constitutional Rights 39-8. —Sentencing after Acceptance of Plea Agreement
37-4. —Collective Statement Advising of Constitutional 39-9. —Continuance for Sentencing
Rights 39-10. —Rejection of Plea Agreement
37-5. —Reference to Public Defender; Investigation of 39-11. Disposition Conference; Assignment of Jury Cases
Indigency 39-12. —Effect of Previous Plea Discussions on Disposi-
37-6. —Appointment of Public Defender tion Conference
37-7. Pleas; In General 39-13. —Attendance at Disposition Conference
37-8. —Plea of Guilty or Nolo Contendere 39-14. —Nature of Disposition Conference; In General
39-15. —Inability to Reach Agreement
37-9. —Plea of Not Guilty
39-16. —Notice of Agreement to Judicial Authority
37-10. —Taking of Plea when Information in Two Parts 39-17. —Effect of Disposition Conference
37-11. —Notice to Defendant when Information in Two 39-18. Plea of Guilty or Nolo Contendere; Entering
Parts 39-19. —Acceptance of Plea; Advice to Defendant
37-12. Defendant in Custody; Determination of Probable 39-20. —Ensuring That the Plea is Voluntary
Cause 39-21. —Factual Basis for Plea
95
39-22. Pleading to Other Offenses after Guilty Finding 40-34. —Scope of Order for Nontestimonial Evidence
39-23. Previous Offender; Plea to Second Part 40-35. —Contents of Order
39-24. Record of Proceedings regarding Guilty Pleas 40-36. —Service of Order
39-25. Inadmissibility of Rejected Guilty Pleas 40-37. —Implementation of Order
39-26. Withdrawal of Plea; When Allowed 40-38. —Obtaining Nontestimonial Evidence from
39-27. —Grounds for Allowing Plea Withdrawal Defendant upon Motion of Defendant
39-28. —Effect of Plea Withdrawal 40-39. —Comparing Nontestimonial Evidence
39-29. Nolle Prosequi
40-40. Protective Orders; Relief
39-30. —Objection by Defendant to Nolle Prosequi
39-31. —Effect of Nolle Prosequi 40-41. —Grounds for Protective Order
39-32. —Dismissal 40-42. —In Camera Proceedings
39-33. Miscellaneous Dispositions 40-43. —Excision as Protective Order
40-44. Depositions; Grounds
40-45. —Failure to Appear for Deposition
CHAPTER 40
40-46. —Use of Deposition
DISCOVERY AND DEPOSITIONS 40-47. —Notice and Person Taking Deposition
40-48. —Protective Order Prior to Deposition
Sec. 40-49. —Manner of Taking Deposition
40-1. Discovery in General; Regulating Discovery 40-50. —Scope of Examination at Deposition
40-2. —Good Faith Efforts and Subpoenas 40-51. —Objections at Depositions
40-3. —Continuing Obligation to Disclose
40-52. —Protective Order during Deposition
40-4. —Limitations on Requests or Motions
40-5. —Failure to Comply with Disclosure 40-53. —Return of Deposition
40-6. —Discovery Performance 40-54. —Right of Defendant to Be Present and Repre-
40-7. —Procedures for Disclosure sented at Deposition
40-8. —Objection to Disclosure 40-55. —Waiver of Presence and Failure to Appear at
40-9. —Presence during Tests and Experiments Deposition
40-10. —Custody of Materials 40-56. —Definition of Unavailable
40-11. Disclosure by the Prosecuting Authority 40-57. —Taking and Use in Court of Deposition by
40-12. Discretionary Disclosure Directed to Prosecuting Agreement
Authority 40-58. —Expenses of Deposition and Copies
40-13. Names of Witnesses; Prior Record of Witnesses;
Statements of Witnesses
40-13A. Law Enforcement Reports, Affidavits and CHAPTER 41
Statements
40-14. Information Not Subject to Disclosure by Prosecut- PRETRIAL MOTIONS
ing Authority
Sec.
40-15. Disclosure of Statements; Definition of Statement
40-16. Request for Recess by Defendant upon Receipt 41-1. Pretrial Motion Practice; Exclusive Procedures
of Statement 41-2. —Matters to Be Raised by Motion
40-17. Defense of Mental Disease or Defect or Extreme 41-3. —Pretrial Motions and Requests
Emotional Disturbance; Notice by Defendant 41-4. —Failure to Raise Defense, Objection or Request
40-18. —Notice by Defendant of Intention to Use Expert 41-5. —Time for Making Pretrial Motions or Requests
Testimony regarding Mental State; Filing 41-6. —Form and Manner of Making Pretrial Motions
Reports of Exam 41-7. —Hearing and Ruling on Pretrial Motions
40-19. —Prosecutorial Motion for Psychiatric Exami- 41-8. Motion to Dismiss
nation 41-9. —Restriction on Motion to Dismiss
40-20. —Failure of Expert to Submit Report
41-10. —Defects Not Requiring Dismissal
40-21. Defense of Alibi; Notice by Defendant
40-22. —Notice by Prosecuting Authority concerning 41-11. —Remedies for Minor Defects Not Requiring Dis-
Alibi Defense missal
40-23. —Continuing Duty of Parties to Disclose regarding 41-12. Motion to Suppress
Alibi Defense 41-13. —Return and Suppression of Seized Property
40-24. —Exceptions 41-14. —Suppression of Intercepted Communications
40-25. —Inadmissibility of Withdrawn Alibi 41-15. —Time for Filing Motion to Suppress
40-26. Disclosure by the Defendant; Information and 41-16. —Effect on Seized Property of Granting Motion
Materials Discoverable by the Prosecuting 41-17. —Particular Judicial Authority May Not Hear
Authority as of Right Motion
40-27. Discretionary Disclosure Directed to Defendant 41-18. Severance of Offenses
40-28. Derivative Evidence 41-19. Trial Together of Informations
40-29. Protective Orders Requested by Defendant
41-20. Bill of Particulars; Time for Filing
40-30. Admissibility at Time of Trial
40-31. Information Not Subject to Disclosure by Defendant 41-21. —Content of Bill
40-32. Obtaining Nontestimonial Evidence from 41-22. —Furnishing of Bill
Defendant 41-23. Transfer of Prosecution; Grounds
40-33. —Emergency Procedure regarding Nontestimo- 41-24. —Time for Motion to Transfer
nial Evidence 41-25. —Proceedings on Transfer
96
TRIAL PROCEDURE SENTENCING, JUDGMENT, AND APPEAL
Sec.
42-1. Jury Trials; Right to Jury Trial and Waiver Sec.
42-2. —Two Part Information 43-1. Posttrial Release Following Appeal by Prosecut-
42-3. —Size of Jury ing Authority
42-4. —Challenge to Array 43-2. Posttrial Release Following Conviction
42-5. —Disqualification of Jurors and Selection of Panel 43-3. Presentence Investigation and Report; Waiver;
42-6. —View by Jury of Place or Thing Involved in Case Alternative Incarceration and Plan
42-7. —Communications between Judicial Authority 43-4. —Scope of Investigation or Assessment
and Jury 43-5. —Participation of Defense Counsel in Report Prep-
42-8. —Communications between Parties and Jurors aration
42-9. —Juror Questions and Note Taking 43-6. —Period of Continuance to Complete Report
42-10. Selection of Jury; Deaf or Hearing Impaired Jurors
43-7. —Persons Receiving Report
42-11. —Preliminary Proceedings in Jury Selection
42-12. —Voir Dire Examination 43-8. —Prohibition against Making Copies
42-13. —Peremptory Challenges 43-9. —Use and Disclosure of Reports
42-14. —Oath and Admonitions to Trial Jurors 43-10. Sentencing Hearing; Procedures to Be Followed
42-15. Motion in Limine 43-11. —Role at Sentencing of Prosecuting Authority
42-16. Requests to Charge and Exceptions; Necessity for 43-12. —Role of Prosecuting Authority at Sentencing
42-17. —Filing Requests when There Was a Plea Agreement
42-18. —Form and Contents of Requests to Charge 43-13. —Familiarization with Report by Defense Counsel
42-19. —Charge Conference
43-14. —Correction of Report Indicated by Defense
42-20. Submission for Verdict; Role of Judicial Authority
Counsel
in Trial
42-21. Jury Deliberations 43-15. —Undisclosed Plea Agreement
42-22. Sequestration of Jury 43-16. —Submission of Supplementary Documents by
42-23. Materials to Be Submitted to Jury Defense Counsel
42-24. Modification of Instructions for Correction or Clarifi- 43-17. Payment of Fines; Inquiry concerning Ability
cation 43-18. —Incarceration for Failure to Pay
42-25. —Other Instructions after Additional Instructions 43-19. —Payment and Satisfaction
42-26. Jury Requests for Review of Testimony 43-20. —Mittimus
42-27. Jury Requests for Additional Instructions 43-21. Reduction of Definite Sentence
42-28. Deadlocked Jury
43-22. Correction of Illegal Sentence
42-29. Verdict; Return of Verdict
42-30. —Acceptance of Verdict 43-23. Sentence Review; Appearance of Counsel
42-31. —Poll of Jury after Verdict 43-24. —Time for Filing Application for Sentence Review
42-32. —Discharge of Jury 43-25. —Preparation of Documents by Clerk
42-33. —Impeachment of Verdict 43-26. —Additional Material for Sentence Review
42-34. Trial without Jury 43-27. —Hearing on Sentence Review Application
42-35. Order of Parties Proceeding at Trial 43-28. —Scope of Review
42-36. Sequestration of Witnesses
42-37. Time Limits in Argument 43-29. Revocation of Probation
42-38. Order of Proceeding of Defendants 43-29A. Notice of Motions to Modify or Enlarge Conditions
42-39. Judicial Appointment of Expert Witnesses of Probation or Conditional Discharge or Termi-
42-40. Motions for Judgment of Acquittal; In General nate Conditions of Probation or Conditional Dis-
42-41. —At Close of Prosecution’s Case charge
42-42. —At Close of Evidence 43-30. Notification of Right to Appeal
42-43. Motion for Mistrial; For Prejudice to Defendant 43-31. Stay of Imprisonment upon Appeal
42-44. —For Prejudice to State 43-32. Stay of Probation upon Appeal
42-45. Jury’s Inability to Reach Verdict 43-33. Appointment of Initial Counsel for Appeal by Indi-
42-46. Control of Judicial Proceedings; Restraint of Dis- gent Defendant
ruptive Defendant
42-47. —Removal of Disruptive Defendant 43-34. Attorney’s Finding That Appeal is Wholly Frivolous;
42-48. —Cautioning Parties and Witnesses Request by Initial Counsel to Withdraw
42-49. Closure of Courtroom in Criminal Cases 43-35. —Submission of Brief
42-49A. Sealing or Limiting Disclosure of Documents in 43-36. —Finding That Appeal is Frivolous
Criminal Cases 43-37. —Finding That Appeal is Not Frivolous
42-50. Motion for Judgment of Acquittal; After Mistrial 43-38. —Disqualification of Presiding Judge
42-51. —Upon Verdict of Guilty 43-39. Speedy Trial; Time Limitations
42-52. —Time for Filing Motion for Judgment of Acquittal
43-40. —Excluded Time Periods in Determining Speedy
42-53. Motion for New Trial; In General
42-54. —Time for Filing Motion for New Trial Trial
42-55. —Time for Filing Motion for New Trial Based on 43-41. —Motion for Speedy Trial; Dismissal
Newly Discovered Evidence 43-42. —Definition of Commencement of Trial
42-56. Motion in Arrest of Judgment 43-43. —Waiver of Speedy Trial Provisions
97
CHAPTER 44 44-14. —Assignments for Plea in Judicial District Court

Location
GENERAL PROVISIONS 44-15. —Scheduling at Entry of Plea
44-16. —Scheduling from Trial List
44-17. —Motion to Advance
Sec. 44-18. —Continuances
44-1. Right to Counsel; Appointment in Specific 44-19. Reference to Judge Trial Referee
Instances 44-20. Appointment of Guardian Ad Litem
44-2. —Appointment in Other Instances 44-21. Infractions and Violations; When Treated as an
44-3. —Waiver of Right to Counsel Offense
44-4. —Standby Counsel for Defendant Self-Repre- 44-22. —Form of Summons and Complaint for Infractions
sented and Violations
44-5. —Role of Standby Counsel 44-23. —When Custody Not Required
44-6. —Standby Counsel for Disruptive Defendant 44-24. —When Custody Required
44-25. —Plea of Nolo Contendere to Infraction or Violation
44-7. Presence of Defendant; Attire of Incarcerated 44-26. —Pleas of Not Guilty to Infraction or Violation
Defendant or Witness 44-27. —Hearing of Infractions, Violations to Which Not
44-8. —When Presence of Defendant is and is Not Guilty Plea Filed
Required at Trial and Sentencing 44-28. —Location of Infractions Bureau and Role of Clerks
44-9. —Obtaining Presence of Unexcused Defendant at 44-29. —Powers of Centralized Infractions Bureau
Trial or Sentencing 44-30. —Hearing by Magistrates of Infractions and Certain
44-10. —Where Presence of Defendant Not Required Motor Vehicle Violations
44-10A. —Where Presence of Defendant May Be by Means 44-31. Motion to Quash Subpoena Pursuant to Inquiry into
of an Interactive Audiovisual Device Commission of Crime
44-11. Docketing and Scheduling in General of Criminal 44-32. Fees and Expenses; Return of Subpoenas
44-33. —Indigent Witnesses
Cases
44-34. —Fees for Witnesses
44-12. —Control of Scheduling 44-35. —Officer’s Fees on Extradition; Habeas Corpus
44-13. —Scheduling for Proceedings before Trial; Contin- 44-36. —Fee on Motion to Open Certain Judgments
uances 44-37. Definition of Terms
CHAPTER 60 61-2. Appeal of Judgment on Entire Complaint, Counter-

claim or Cross Complaint
GENERAL PROVISIONS RELATING TO 61-3. Appeal of Judgment on Part of Complaint, Counter-
APPELLATE RULES AND claim or Cross Complaint That Disposes of All
APPELLATE REVIEW Claims in that Pleading Brought by or against
One or More Parties
Sec. 61-4. Appeal of Judgment That Disposes of At Least One
60-1. Rules to Be Liberally Interpreted Cause of Action While Not Disposing of Either
60-2. Supervision of Procedure (Applicable to appeals (1) An Entire Complaint, Counterclaim or Cross
filed before July 1, 2013.) Complaint, or (2) All the Causes of Action in a
60-2. Supervision of Procedure (Applicable to appeals Pleading Brought by or against a Party
filed on or after July 1, 2013.) 61-5. Deferring Appeal until Judgment Rendered That
60-3. Suspension of the Rules Disposes of Case for All Purposes and as to All
60-4. Definitions (Applicable to appeals filed before July Parties
1, 2013.) 61-6. Appeal of Judgment or Ruling in Criminal Case
60-4. Definitions (Applicable to appeals filed on or after
61-7. Joint and Consolidated Appeals (Applicable to
July 1, 2013.)
appeals filed before July 1, 2013.)
60-5. Review by the Court; Plain Error; Preservation of
Claims 61-7. Joint and Consolidated Appeals (Applicable to
appeals filed on or after July 1, 2013.)
60-6. Appellate Jurists Sitting as Superior Court Judges
60-7. Electronic Filing; Payment of Fees 61-8. Cross Appeals
60-8. Exemption from Electronic Filing; Payment of Fees 61-9. Decisions Subsequent to Filing of Appeal;
60-9. Security for Costs Amended Appeals (Applicable to appeals filed
before July 1, 2013.)
61-9. Decisions Subsequent to Filing of Appeal;
CHAPTER 61 Amended Appeals (Applicable to appeals filed
REMEDY BY APPEAL on or after July 1, 2013.)
61-10. Responsibility of Appellant to Provide Adequate
Sec. Record for Review (Applicable to appeals filed
61-1. Right of Appeal before July 1, 2013.)
98
61-10. Responsibility of Appellant to Provide Adequate CHAPTER 64

Record for Review (Applicable to appeals filed
on or after July 1, 2013.) PROCEDURE CONCERNING MEMORANDUM
61-11. Stay of Execution in Noncriminal Cases OF DECISION
61-12. Discretionary Stays
61-13. Stay of Execution in Criminal Case Sec.
61-14. Review of Order concerning Stay; When Stay May 64-1. Statement of Decision by Trial Court; When
Be Requested from Court Having Appellate Required; How Stated; Contents
Jurisdiction 64-2. Exceptions to Section 64-1
61-15. Stay of Execution in Death Penalty Case
61-16. Notice of (1) Bankruptcy Filing, (2) Disposition of CHAPTER 65
Bankruptcy Case and (3) Order of Bankruptcy
Court Granting Relief from Automatic Stay TRANSFER OF CASES
Sec.
CHAPTER 62 65-1. Transfer of Cases by Supreme Court (Applicable
to appeals filed before July 1, 2013.)
CHIEF JUDGE, APPELLATE CLERK AND 65-1. Transfer of Cases by Supreme Court (Applicable
DOCKET: GENERAL ADMINISTRATIVE to appeals filed on or after July 1, 2013.)
MATTERS 65-2. Motion for Transfer from Appellate Court to
Supreme Court
Sec. 65-3. Transfer of Petitions for Review of Bail Orders from
62-1. Chief Judge Appellate Court to Supreme Court
62-2. Clerk 65-4. Transfer of Matters Brought to Wrong Court
62-3. Entry of Cases
62-4. Case to Remain on Docket of Trial Court CHAPTER 66
62-5. Changes in Parties
62-6. Signature on Papers MOTIONS AND OTHER PROCEDURES
62-7. Matters of Form; Filings; Certification to Counsel
(Applicable to appeals filed before July 1, 2013.) Sec.
62-7. Matters of Form; Filings; Delivery and Certification 66-1. Extension of Time
to Counsel of Record (Applicable to appeals filed 66-2. Motions, Petitions and Applications; Supporting
on or after July 1, 2013.) Memoranda
66-2A. Supreme Court Briefs on Compact Disc; Hyperlink-
62-8. Names of Counsel; Appearance
ing [Repealed]
62-8A. Attorneys of Other Jurisdictions Participating Pro
66-3. Motion Procedures and Filing
Hac Vice on Appeal
66-4. Hearings on Motions
62-9. Withdrawal of Appearance 66-5. Motion for Rectification; Motion for Articulation
62-9A. Hybrid Representation; Removal or Substitution of (Applicable to appeals filed before July 1, 2013.)
Counsel in Criminal and Habeas Corpus Appeals 66-5. Motion for Rectification; Motion for Articulation
62-10. Files to Be Available to Parties (Applicable to appeals filed on or after July 1,
62-11. Files and Records Not to Be Removed 2013.)
66-6. Motion for Review; In General
CHAPTER 63 66-7. Motion for Review of Motion for Rectification of
Appeal or Articulation (Applicable to appeals filed
FILING THE APPEAL; WITHDRAWALS before July 1, 2013.)
66-7. Motion for Review of Motion for Rectification of
Sec. Appeal or Articulation (Applicable to appeals filed
63-1. Time to Appeal on or after July 1, 2013.)
63-2. Expiration of Time Limitations; Counting Days 66-8. Motion to Dismiss
63-3. Filing of Appeal
63-3A. Appeals in E-Filed Cases [Repealed] CHAPTER 67
63-4. Additional Papers to Be Filed by Appellant and
Appellee when Filing Appeal (Applicable to BRIEFS
Sec.
63-4. Additional Papers to Be Filed by Appellant and
67-1. Brief and Appendix (Applicable to appeals filed
Appellee when Filing Appeal (Applicable to
67-1. Brief and Appendix (Applicable to appeals filed on
63-5. Fees [Repealed]
or after July 1, 2013.)
63-6. Waiver of Fees, Costs and Security—Civil Cases 67-2. Format; Copies; Electronic Briefing Requirement
63-7. Waiver of Fees, Costs and Security—Criminal (Applicable to appeals filed before July 1, 2013.)
Cases 67-2. Format of Briefs and Appendices; Copies; Elec-
63-8. Ordering and Filing of Paper Transcripts tronic Briefing Requirement (Applicable to
63-8A. Electronic Copies of Transcripts appeals filed on or after July 1, 2013.)
63-9. Filing Withdrawals of Appeals or Writs of Error 67-3. Page Limitations; Time for Filing Briefs (Applicable
63-10. Preargument Conferences to appeals filed before July 1, 2013.)
99
67-3. Page Limitations; Time for Filing Briefs and Appen- 68-7. Record Filing (Applicable to appeals filed before
dices (Applicable to appeals filed on or after July July 1, 2013.)
1, 2013.) 68-7. Record Filing [Repealed only as to appeals filed on
67-4. The Appellant’s Brief; Contents and Organization or after July 1, 2013.]
(Applicable to appeals filed before July 1, 2013.) 68-8. Supplements (Applicable to appeals filed before
67-4. The Appellant’s Brief; Contents and Organization July 1, 2013.)
(Applicable to appeals filed on or after July 1, 68-8. Supplements [Repealed only as to appeals filed on
2013.) or after July 1, 2013.]
67-5. The Appellee’s Brief; Contents and Organization
(Applicable to appeals filed before July 1, 2013.) 68-9. Evidence Not to Be Included in Record (Applicable
67-5. The Appellee’s Brief; Contents and Organization
(Applicable to appeals filed on or after July 1, 68-9. Evidence Not to Be Included in Record [Repealed
2013.) only as to appeals filed on or after July 1, 2013.]
67-6. Statutory (§ 53a-46b) Review of Death Sentences 68-10. Record in Administrative Appeals; Exceptions
67-7. The Amicus Curiae Brief (Applicable to appeals filed before July 1, 2013.)
67-8. The Appendix (Applicable to appeals filed before 68-10. Record in Administrative Appeals; Exceptions
July 1, 2013.) [Repealed only as to appeals filed on or after July
67-8. The Appendix; Contents and Organization (Appli- 1, 2013.] (Transferred as of July 1, 2013, to Sec-
cable to appeals filed on or after July 1, 2013.) tion 67-8A.)
67-8A. The Appendix in Administrative Appeals; Excep- 68-11. Decision to Be Part of Record (Applicable to
tions (Applicable to appeals filed on or after July appeals filed before July 1, 2013.)
1, 2013.) (Transferred from Section 68-10.) 68-11. Decision to Be Part of Record [Repealed only as to
67-9. Citation of Unreported Decisions (Applicable to appeals filed on or after July 1, 2013.]
67-9. Citation of Unreported Decisions [Repealed only as
to appeals filed on or after July 1, 2013.] CHAPTER 69
67-10. Citation of Supplemental Authorities after Brief Is
Filed ASSIGNMENT OF CASES FOR ARGUMENT
67-11. Table of Authorities; Citation of Cases
67-12. Stay of Briefing Obligations upon Filing of Certain Sec.
Motions after Appeal Is Filed 69-1. Docket
67-13. Briefs in Family and Juvenile Matters and Other 69-2. Cases Ready for Assignment (Applicable to
Matters involving Minor Children appeals filed before July 1, 2013.)
69-2. Cases Ready for Assignment (Applicable to
CHAPTER 68 appeals filed on or after July 1, 2013.)
69-3. Time for Assignments; Order of Assignment
CASE FILE
Sec. CHAPTER 70
68-1. Responsibilities of Clerk of the Trial Court regarding
Copying Case File and Additions to Case File ARGUMENTS AND MEDIA COVERAGE OF
Made after Appeal Is Filed; Exhibits and Lodged
Records (Applicable to appeals filed on or after
COURT PROCEEDINGS
July 1, 2013.) Sec.
68-2. Record Preparation (Applicable to appeals filed
before July 1, 2013.) 70-1. Oral Argument; Videoconferencing of Oral Argu-
ment in Certain Cases (Applicable to appeals
68-2. Record Preparation [Repealed only as to appeals
filed before July 1, 2013.)
filed on or after July 1, 2013.]
68-3. Record Contents (Applicable to appeals filed 70-1. Oral Argument; Videoconferencing of Oral Argu-
before July 1, 2013.) ment in Certain Cases (Applicable to appeals
68-3. Record Contents [Repealed only as to appeals filed filed on or after July 1, 2013.)
on or after July 1, 2013.] 70-2. Submission without Oral Argument on Request of
68-4. Record Format (Applicable to appeals filed before Parties
July 1, 2013.) 70-3. Order of Argument
68-4. Record Format [Repealed only as to appeals filed 70-4. Time Allowed for Oral Argument; Who May Argue
on or after July 1, 2013.] 70-5. Points to Be Argued
68-5. Record where More than One Appeal (Applicable 70-6. Reconsideration when Court Evenly Divided
68-5. Record where More than One Appeal [Repealed 70-7. Appellate Court Consideration En Banc and Rear-
only as to appeals filed on or after July 1, 2013.] gument En Banc
68-6. Record where Several Cases Present Same Ques- 70-8. Special Sessions
tion (Applicable to appeals filed before July 1, 70-9. Coverage of Court Proceedings by Cameras and
2013.) Electronic Media
68-6. Record where Several Cases Present Same Ques- 70-10. Cameras and Electronic Media; Coverage of
tion [Repealed only as to appeals filed on or after Supreme and Appellate Court Proceedings by
July 1, 2013.] News Media [Repealed]
100
APPELLATE JUDGMENTS AND OPINIONS APPEALS FROM COUNCIL ON PROBATE
JUDICIAL CONDUCT
Sec.
71-1. Appellate Judgment Files Sec.
71-2. Costs Included in Judgments 75-1. Appeals by Respondent Judge from Decision of
71-3. Motion to Reconsider Costs Council on Probate Judicial Conduct
71-4. Opinions; Rescripts; Notice; Official Release Date 75-2. Papers to Be Filed [Repealed]
71-5. Motions for Reconsideration; Motions for Recon- 75-3. Costs and Security Not Required [Repealed]
sideration En Banc 75-4. Decision of Council; Remand by Supreme Court
71-6. Stay of Proceedings 75-5. Parties
71-7. Stays of Execution Pending Decision by United 75-6. Applicability of Rules
States Supreme Court
CHAPTER 76
CHAPTER 72
APPEALS IN WORKERS’ COMPENSATION
WRITS OF ERROR CASES
Sec. Sec.
72-1. Writs of Error; In General 76-1. Applicability of Rules
72-2. Form 76-2. Filing Appeal
72-3. Applicable Procedure (Applicable to appeals filed 76-3. Record; Preparation of Case File; Exhibits (Appli-
before July 1, 2013.) cable to appeals filed before July 1, 2013.)
72-3. Applicable Procedure (Applicable to appeals filed 76-3. Preparation of Case File; Exhibits (Applicable to
on or after July 1, 2013.) appeals filed on or after July 1, 2013.)
72-4. Applicability of Rules 76-4. Fees and Costs
76-5. Reservation of Question from Compensation
CHAPTER 73 Review Board
76-5A. Procedure Upon Acceptance of Reservation
RESERVATIONS 76-6. Definitions
Sec. CHAPTER 77
73-1. Procedure; Form (Applicable to appeals filed
before July 1, 2013.) PROCEDURES CONCERNING COURT
73-1. Reservation of Questions from the Superior Court
to the Supreme Court or Appellate Court; Con-
CLOSURE AND SEALING ORDERS OR
tents of Reservation Request (Applicable to ORDERS LIMITING THE DISCLOSURE OF
appeals filed on or after July 1, 2013.) FILES, AFFIDAVITS, DOCUMENTS OR
73-2. Consideration of Reservation Request by Supe- OTHER MATERIAL
rior Court
73-3. Procedure upon Acceptance of Reservation Sec.
73-4. Briefs, Appendices and Argument 77-1. Expedited Review of an Order concerning Court
Closure, or an Order That Seals or Limits the Dis-
closure of Files, Affidavits, Documents or Other
CHAPTER 74 Material
77-2. Sealing Orders; Treatment of Lodged Records
DECISIONS OF JUDICIAL REVIEW COUNCIL
Sec. CHAPTER 78
74-1. Appeals by Respondent Judge from Decision of
Judicial Review Council REVIEW OF GRAND JURY RECORD OR
74-2. Papers to Be Filed [Repealed] FINDING ORDER
74-2A. Referral to Supreme Court by Judicial Review
Council Following Recommendation of Suspen- Sec.
sion or Removal (Transferred from Section 74-7) 78-1. Review of an Order concerning Disclosure of
74-3. Costs and Security Not Required [Repealed] Grand Jury Record or Finding
74-3A. Initiation of Action by Supreme Court (Transferred
from Section 74-8) CHAPTER 78a
74-4. Decision of Council; Remand by Supreme Court
74-5. Parties REVIEW OF ORDERS CONCERNING
74-6. Applicability of Rules RELEASE ON BAIL
74-7. Action on Recommendation when No Appeal
(Transferred to Section 74-2A) Sec.
74-8. Initiation of Action by Supreme Court (Transferred 78a-1. Petition for Review of Order concerning Release
to Section 74-3A) on Bail
101
APPEALS IN JUVENILE MATTERS CERTIFIED QUESTIONS TO OR FROM
[Repealed as of Feb. 1, 2012.] COURTS OF OTHER JURISDICTIONS
Sec. Sec.
79-1. Time to Take; Form; Filing; Costs [Repealed] 82-1. Certification of Questions from Other Courts
79-2. Clerk’s Duties [Repealed] 82-2. Method of Initiating [Repealed]
79-3. Inspection of Records [Repealed] 82-3. Contents of Certification Request
79-4. Hearings; Confidentiality [Repealed] 82-4. Preparation of Certification Request
79-5. Briefs [Repealed] 82-5. Receipt; Costs of Certification
82-6. Briefs and Argument (Applicable to appeals filed
CHAPTER 79a 82-6. Briefs, Appendices and Argument (Applicable to
APPEALS IN CHILD PROTECTION MATTERS 82-7. Opinion
82-8. Certification of Questions to Other Courts
Sec.
79a-1. Child Protection Appeals Defined
79a-2. Time to Appeal CHAPTER 83
79a-3. Filing of the Appeal
CERTIFICATION PURSUANT TO GENERAL
79a-4. Waiver of Fees, Costs and Security
79a-5. Ordering Transcripts
STATUTES § 52-265a IN CASES OF
79a-6. Format and Time for Filing Briefs (Applicable to SUBSTANTIAL PUBLIC INTEREST
appeals filed before July 1, 2013.) Sec.
79a-6. Format and Time for Filing Briefs and Appendices 83-1. Application; In General
(Applicable to appeals filed on or after July 1, 83-2. Application Granted
2013.) 83-3. Application Denied
79a-7. Motions for Extension of Time 83-4. Unavailability of Chief Justice
79a-8. Docketing Child Protection Appeals for
Assignment
79a-9. Oral Argument (Applicable to appeals filed before CHAPTER 84
July 1, 2013.)
79a-9. Oral Argument (Applicable to appeals filed on or
APPEALS TO SUPREME COURT BY
after July 1, 2013.) CERTIFICATION FOR REVIEW
79a-10. Submission without Oral Argument on Request of Sec.
Parties 84-1. Certification by Supreme Court
79a-11. Official Release Date 84-2. Basis for Certification
79a-12. Inspection of Records 84-3. Stay of Execution
79a-13. Hearings; Confidentiality 84-4. Petition; Time to File; Where to File; Service; Fee
79a-14. Motions Filed with the Appellate Clerk 84-5. Form of Petition
79a-15. Applicability of Rules 84-6. Statement in Opposition to Petition
84-7. Extensions of Time
CHAPTER 80 84-8. Grant or Denial of Certification
84-9. Proceedings after Certification
APPEALS IN HABEAS CORPUS 84-10. Record (Applicable to appeals filed before July 1,
2013.)
PROCEEDINGS FOLLOWING CONVICTION 84-10. Record [Repealed only as to appeals filed on or
Sec. after July 1, 2013.]
80-1. Certification to Appeal; Procedure on Appeal 84-11. Papers to Be Filed by Appellant and Appellee
84-12. Application of Rules
CHAPTER 81 CHAPTER 84a

APPEALS TO APPELLATE COURT BY MATTERS WITHIN SUPREME COURT’S
CERTIFICATION FOR REVIEW IN ORIGINAL JURISDICTION IN WHICH FACTS
ACCORDANCE WITH GENERAL STATUTES MAY BE FOUND
CHAPTERS 124 AND 440
Sec.
Sec. 84a-1. Application of Rules
81-1. Petition; Where to File; Time to File; Service; Fee 84a-2. Procedure for Filing Original Jurisdiction Action;
81-2. Form of Petition Pleadings and Motions
81-3. Statement in Opposition to Petition 84a-3. Discovery
81-4. Proceedings after Certification by Appellate Court 84a-4. Reference of Issues of Fact
81-5. Extensions of Time 84a-5. Evidence
81-6. Filing of Regulations 84a-6. Other Officers
102
CHAPTER 85
SANCTIONS
Sec.
85-1. Lack of Diligence in Prosecuting or Defending
Appeal
85-2. Other Actions Subject to Sanctions
85-3. Procedure on Sanctions
CHAPTER 86
RULE CHANGES; EFFECTIVE DATE;
APPLICABILITY
Sec.
86-1. Publication of Rules; Effective Date
86-2. Rule Changes; Applicability to Pending Appeals
APPENDIX OF FORMS
Form
101 Heading of Pleadings, Motions and Requests
201 Plaintiff’s Interrogatories
202 Defendant’s Interrogatories
203 Plaintiff’s Interrogatories—Premises Liability
Cases
204 Plaintiff’s Requests for Production
205 Defendant’s Requests for Production
206 Plaintiff’s Requests for Production—Premises
Liability
207 Interrogatories—Actions to Establish, Enforce or
Modify Child Support Orders
208 Defendant’s Supplemental Interrogatories—
Workers’ Compensation Benefits—No Inter-
vening Plaintiff
209 Defendant’s Supplemental Requests for Pro-
duction—Workers’ Compensation Benefits—No
Intervening Plaintiff
210 Defendant’s Interrogatories—Workers’ Compen-
sation Benefits—Intervening Plaintiff
211 Defendant’s Request for Production—Workers’
Compensation—Intervening Plaintiff
INDEX OF OFFICIAL JUDICIAL BRANCH

FORMS USED IN CIVIL, FAMILY AND
JUVENILE MATTERS
APPENDIX: SUPERIOR COURT STANDING
ORDERS
103

CHAPTER 1
SCOPE OF RULES
Sec. Sec.
1-1. Scope of Rules; Definitions 1-11C. Media Coverage of Criminal Proceedings
1-2. Assignments to Take Precedence 1-11D. Pilot Program to Increase Public Access to Child
1-3. Divisions of Superior Court Protection Proceedings [Repealed]
1-4. Family Division 1-12. Court Opening
1-5. Civil Division 1-13. Recess and Adjournment
1-6. Criminal Division 1-13A. Contempt
1-7. Housing Division (Only in Judicial Districts Speci- 1-14. —Criminal Contempt
fied by Statute) 1-15. —Who May Be Punished [Repealed]
1-8. Rules to Be Liberally Interpreted 1-16. —Summary Criminal Contempt
1-9. Publication of Rules; Effective Date 1-17. —Deferral of Proceedings
1-9A. —Judiciary Committee; Placement of Rules Infor- 1-18. —Nonsummary Contempt Proceedings
1-19. —Judicial Authority Disqualification in Nonsum-
mation on Judicial Branch Website
mary Contempt Proceedings
1-9B. —Emergency Powers of Rules Committee
1-20. —Where No Right to Jury Trial in Nonsummary
1-10. Possession of Electronic Devices in Court Facilities
Proceeding
1-10A. Definition of ‘‘Media’’ 1-21. —Nonsummary Judgment
1-10B. Media Coverage of Court Proceedings; In General 1-21A. —Civil Contempt
1-11. Media Coverage of Criminal Proceedings 1-22. Disqualification of Judicial Authority
[Repealed] 1-23. Motion for Disqualification of Judicial Authority
1-11A. Media Coverage of Arraignments 1-24. Record of Off-Site Judicial Proceedings
1-11B. Media Coverage of Civil Proceedings 1-25. Actions Subject to Sanctions
For previous Histories and Commentaries see the editions of the Practice Book
corresponding to the years of the previous amendments.
Sec. 1-1. Scope of Rules; Definitions (3) Except as otherwise provided, the words
(Amended June 20, 2011, to take effect Jan. 1, 2012.) ‘‘paper’’ and ‘‘document’’ as used in the rules for
(a) The rules for the superior court govern the the superior court shall include an electronic sub-
practice and procedure in the superior court in mission that complies with the procedures and
all civil and family actions whether cognizable as technical standards established by the office of
cases at law, in equity or otherwise, in all criminal the chief court administrator pursuant to Section
proceedings and in all proceedings on juvenile 4-4 and a paper or document converted to a digital
matters. These rules also relate to the admission, format by the judicial branch.
qualifications, practice and removal of attorneys. (P.B. 1978-1997, Sec. 1.) (Amended June 26, 2000, to take
(b) Except as otherwise provided, the sections effect Jan. 1, 2001; amended June 20, 2011, to take effect
in chapters 1 through 7 shall apply to civil, family, Jan. 1, 2012.)
criminal and juvenile matters in the superior court. Sec. 1-2. Assignments to Take Precedence
(c) (1) The term ‘‘judicial authority,’’ as used in
the rules for the superior court, means the superior Assignments for oral argument in the supreme
court, any judge thereof, each judge trial referee court and appellate court shall take precedence
when the superior court has referred a case to over all other judicial branch assignments.
(P.B. 1998.)
such trial referee pursuant to General Statutes
§ 52-434, and for purposes of the small claims Sec. 1-3. Divisions of Superior Court
rules only, any magistrate appointed by the chief The superior court shall be divided into four
court administrator pursuant to General Statutes divisions: family, civil, criminal and housing.
§ 51-193l. (P.B. 1978-1997, Sec. 2.)
(2) Except as otherwise provided, the words
‘‘write,’’ ‘‘written’’ and ‘‘writing’’ as used in the rules Sec. 1-4. Family Division
for the superior court shall mean typed or printed The family division of the superior court shall
either on paper or, when electronically submitted consist of the following parts:
or issued, in a digital format that complies with (1) J—Juvenile matters including neglect,
the procedures and technical standards estab- dependency, delinquency, families with service
lished by the office of the chief court administrator needs and termination of parental rights.
pursuant to Section 4-4. (2) S—Support and paternity actions.
104
SUPERIOR COURT—GENERAL PROVISIONS Sec. 1-9A
(3) D—All other family relations matters, includ- require that a rule or a change in an existing rule
ing dissolution of marriage or civil union cases. be adopted expeditiously.
(P.B. 1978-1997, Sec. 3.) (Amended June 26, 2006, to take (b) Prior to such adoption the proposed revi-
effect Jan. 1, 2007.) sions to the rules or a summary thereof shall be
Sec. 1-5. Civil Division published in the Connecticut Law Journal with a
notice stating the time when, the place where and
The civil division of the superior court shall con-
the manner in which interested persons may pre-
sist of the following parts:
(1) H—Summary process cases and all other sent their views thereon.
landlord and tenant matters returnable to the geo- (c) Upon recommendation by the Rules Com-
graphical areas. mittee, the judges of the superior court may, by
(2) S—Small claims actions. vote at a meeting or by mail vote as set forth in
(3) A—Administrative appeals. subsection (d), waive the provisions of subsection
(4) J—Jury matters. (b) if they deem that circumstances require that
(5) C—Court matters. a rule or a change in an existing rule be adopted
(P.B. 1978-1997, Sec. 4.) expeditiously, provided that the adoption of any
rules or changes in existing rules in connection
Sec. 1-6. Criminal Division with such waiver shall be on an interim basis until
The criminal division of the superior court shall a public hearing has been held and the judges
consist of the following parts: have thereafter acted on such revisions and such
(1) A—Capital felonies, class A felonies, and action has become effective. With respect to such
unclassified felonies punishable by sentences of rules adopted on an interim basis, the judges shall
more than twenty years. prescribe the effective date thereof following pub-
(2) B—Class B felonies and unclassified felon- lication in the Connecticut Law Journal.
ies punishable by sentences of more than ten (d) For a mail vote under subsection (c) to be
years but not more than twenty years. effective, a written notice setting forth the pro-
(3) C—Class C felonies and unclassified felon- posed rule or change in an existing rule, together
ies punishable by sentences of more than five with a statement as to the effective date thereof,
years but not more than ten years. shall be mailed or electronically transmitted to all
(4) D—Class D felonies and all other crimes, the judges of the superior court. In the event that
violations, motor vehicle violations, and no objection from any judge is received, by mail
infractions. or electronically, by the counsel to the Rules Com-
(P.B. 1978-1997, Sec. 5.) mittee within the time specified in such notice,
Sec. 1-7. Housing Division (Only in Judicial such rule or change shall become effective on the
Districts Specified by Statute) date specified in the notice until further action is
taken at the next meeting of the judges.
The housing division of the superior court shall (P.B. 1978-1997, Sec. 7.) (Amended June 14, 2013, to take
consist of the following part: effect Jan. 1, 2014.)
(1) H—Housing matters as defined by General
Statutes § 47a-68. Sec. 1-9A. —Judiciary Committee; Place-
(P.B. 1978-1997, Sec. 5A.) ment of Rules Information on Judicial
Branch Website
Sec. 1-8. Rules to Be Liberally Interpreted
The design of these rules being to facilitate busi- (a) Each year the Rules Committee shall make
ness and advance justice, they will be interpreted itself available to meet with the members of the
liberally in any case where it shall be manifest Judiciary Committee of the General Assembly
that a strict adherence to them will work surprise (the Judiciary Committee) as soon as practicable
or injustice. after the first Rules Committee meeting in Sep-
(P.B. 1978-1997, Sec. 6.) tember to advise the Judiciary Committee as to
the Rules Committee’s anticipated agenda for the
Sec. 1-9. Publication of Rules; Effective upcoming year.
Date (b) As soon as practicable after the convening
(a) Each rule hereinafter adopted shall be prom- of each regular legislative session, the chair of
ulgated by being published once in the Connecti- the Rules Committee shall invite the Senate and
cut Law Journal. Such rule shall become effective House chairs and the ranking members of the
at such date as the judges of the superior court Judiciary Committee, and such other members of
shall prescribe, but not less than sixty days after that Committee as the chairs may designate, to
its promulgation. The judges may waive the sixty attend a meeting with the Rules Committee to
day provision if they deem that circumstances confer and consult with respect to the rules of
105
Sec. 1-9A SUPERIOR COURT—GENERAL PROVISIONS
practice, pleadings, forms and procedure for the as long as a good faith effort has been made to
superior court and with respect to legislation provide such notice.
affecting the courts pending before or to be intro- (c) At such meeting the Rules Committee shall
duced in the General Assembly. have the power to adopt on an interim basis any
(c) The chair of the Rules Committee shall for- new rules and to amend or suspend in whole
ward to the Judiciary Committee for review and or in part on an interim basis any existing rules
comment all proposed revisions to the Practice concerning practice and procedure in the superior
Book which the Rules Committee has decided to court that the committee deems necessary in light
submit to public hearing at least thirty-five days of the circumstances of the declared emergency.
in advance of the public hearing thereon. If the Any new rules and any amendments to and sus-
chair of the Rules Committee shall receive any pensions of existing rules adopted pursuant to
comments from the Judiciary Committee with this section should be published in the Connecti-
respect to such proposed revisions, he or she cut Law Journal and on the Judicial Branch web-
shall forward such comments to the members of site, but failure to so publish shall not impair the
the Rules Committee for their consideration in validity of such rules as long as a good faith effort
connection with the public hearing. has been made to so publish.
(d) The agendas and minutes of Rules Commit- (d) Any such new rules and amendments to and
tee meetings, any proposed revisions to the Prac- suspensions of existing rules adopted pursuant to
tice Book which the Rules Committee has decided this section shall remain in effect for the duration
to submit to public hearing, any comments by the of the declared emergency or until such time, as
Judiciary Committee with respect to such pro- soon as practicable, as a meeting of the superior
posed revisions, and any proposed revisions that court judges can be convened, in person or elec-
are adopted by the superior court judges shall be tronically, to consider and vote on the changes.
placed on the Judicial Branch website. (Adopted June 21, 2010, to take effect Jan. 1, 2011.)
Sec. 1-10. Possession of Electronic Devices
HISTORY—2016: In 2016, in the first sentence of both in Court Facilities
subsections (c) and (d), ‘‘and to the Code of Evidence’’ was (Amended June 29, 2007, to take effect Jan. 1, 2008.)
deleted after ‘‘Practice Book.’’ (a) Personal computers may be used for note-
TECHNICAL CHANGE: In the first sentence of subsection taking in a courtroom. If the judicial authority finds
(c), ‘‘thirty-five’’ has been spelled out. that the use of computers is disruptive of the court
COMMENTARY—2016: Number 14-120 of the 2014 Public
Acts, ‘‘An Act Concerning Adoption of the Connecticut Code
proceeding, it may limit such use. No other elec-
of Evidence by the Supreme Court,’’ authorized the Supreme tronic devices shall be used in a courtroom unless
Court to adopt the Code of Evidence and established the Code authorized by a judicial authority or permitted by
of Evidence Oversight Committee of the Supreme Court. That these rules.
committee makes recommendations directly to the Supreme (b) The possession and use of electronic
Court and reports annually to the legislature concerning devices in court facilities are subject to policies
changes to the Code of Evidence. The revisions to this section promulgated by the chief court administrator.
comport with the Public Act. (P.B. 1978-1997, Sec. 7B.) (Amended June 20, 2005, to
take effect Oct. 1, 2005; June 26, 2006, subsection (b)
Sec. 1-9B. —Emergency Powers of Rules extended for a one year period commencing Oct. 1, 2006;
Committee amended June 29, 2007, to take effect Jan. 1, 2008; June 29,
(a) In the event that the governor declares a 2007, subsection (b) extended for a one year period commenc-
public health emergency pursuant to General ing Oct. 1, 2007; amended June 30, 2008, to take effect Aug.
1, 2008.)
Statutes § 19a-131a or a civil preparedness emer-
gency pursuant to General Statutes § 28-9 or Sec. 1-10A. Definition of ‘‘Media’’
both, the chief justice, or if the chief justice is For purposes of these rules, ‘‘media’’ means
incapacitated or unavailable, the chairperson of any person or entity that is regularly engaged in
the Rules Committee may call a meeting of the the gathering and dissemination of news and that
Superior Court Rules Committee. is approved by the office of the chief court adminis-
(b) No quorum shall be required at this meeting trator.
as long as a good faith effort has been made to (Adopted June 29, 2007, to take effect Jan. 1, 2008.)
contact all members of the Rules Committee to
advise them of the meeting. The meeting may Sec. 1-10B. Media Coverage of Court Pro-
be held in person or by electronic means. Public ceedings; In General
notice should be given of the Rules Committee (a) The broadcasting, televising, recording or
meeting, but failure to give such notice shall not photographing by the media of court proceedings
impair the validity of actions taken at the meeting and trials in the superior court should be allowed
106
subject to the limitations set out in this section administrative judge shall ensure that notice is
and in Sections 1-11A through 1-11C, inclusive. provided to the state’s attorney and the attorney
(b) No broadcasting, televising, recording or for the defendant or, where the defendant is
photographing of any of the following proceedings unrepresented, to the defendant. Electronic cov-
shall be permitted: erage shall not be permitted until the state’s attor-
(1) Family relations matters as defined in Gen- ney and the attorney for the defendant, or the
eral Statutes § 46b-1; defendant if he or she has no attorney, have had
(2) Juvenile matters as defined in General Stat- an opportunity to object to the request on the
utes § 46b-121; record and the judicial authority has ruled on the
(3) Proceedings involving sexual assault; objection. If a request for coverage is denied or
(4) Proceedings involving trade secrets; is granted over the objection of any party, the
(5) In jury trials, all proceedings held in the judicial authority shall articulate orally or in writing
absence of the jury unless the trial court deter- the reasons for its decision on the request and
mines that such coverage does not create a risk such decision shall be final.
to any party’s rights or other fair trial risks under (c) Broadcasting, televising, recording or photo-
the circumstances; graphing of the following are prohibited:
(6) Proceedings which must be closed to the (1) any criminal defendant who has not been
public to comply with the provisions of state law; made subject to an order for electronic coverage
(7) Any proceeding that is not held in open court and, to the extent practicable, any person other
on the record. than court personnel or other participants in the
(c) No broadcasting, televising, recording or arraignment for which electronic coverage is per-
photographic equipment permitted under these mitted;
rules shall be operated during a recess in the trial. (2) conferences involving the attorneys and the
(d) No broadcasting, televising, recording or judicial authority at the bench or communications
photographing of conferences involving counsel between the defendant and his or her attorney or
and the trial judge at the bench or involving coun-
other legal representative;
sel and their clients shall be permitted.
(e) There shall be no broadcasting, televising, (3) close ups of documents of counsel, the clerk
recording or photographing of the process of jury or the judicial authority;
selection nor of any juror. (4) the defendant while exiting or entering the
(Adopted June 29, 2007, to take effect Jan. 1, 2008; lockup;
amended June 20, 2011, to take effect Jan. 1, 2012.) (5) to the extent practicable, any restraints on
COMMENTARY—2014: The judicial branch may provide, the defendant;
at its discretion, within a court facility, a contemporaneous (6) to the extent practicable, any judicial mar-
closed-circuit video transmission of any court proceeding for
the benefit of media or other spectators, and such a transmis- shals or department of correction employees
sion shall not be considered broadcasting or televising by the escorting the defendant while he or she is in the
media under this rule. courtroom; and
(7) proceedings in cases transferred from juve-
Sec. 1-11. Media Coverage of Criminal Pro-
nile court prior to a determination by the adult
ceedings
court that the matter was properly transferred.
[Repealed as of Jan. 1, 2012.] (d) Only one (1) still camera, one (1) television
Sec. 1-11A. Media Coverage of Arraign- camera and one (1) audio recording device, which
ments do not produce a distracting sound or light, shall
(a) The broadcasting, televising, recording, or be employed to cover the arraignment, unless
taking photographs by media in the courtroom otherwise ordered by the judicial authority.
during arraignments may be authorized by the (e) The operator of any camera, television or
judicial authority presiding over such arraign- audio recording equipment shall not employ any
ments in the manner set forth in this section, as artificial lighting device to supplement the existing
implemented by the judicial authority. light in the courtroom.
(b) Any media representative desiring to broad- (f) All personnel and equipment shall be situ-
cast, televise, record or photograph an arraign- ated in an unobtrusive manner within the court-
ment shall send an e-mail request for electronic room. The location of any such equipment and
coverage to a person designated by the chief court personnel shall be determined by the judicial
administrator. Said designee shall promptly trans- authority. The location of the camera, to the extent
mit any such request to the administrative judge, possible, shall provide access to optimum cover-
presiding judge of criminal matters, arraignment age. Once the judicial authority designates the
judge, clerk and the supervising marshal. The position for a camera, the operator of the camera
107
must remain in that position and not move about proceeding or trial, shall consider all rights at issue
until the arraignment is completed. and shall limit or preclude such coverage only if
(g) Videographers, photographers and equip- there exists a compelling reason to do so, there
ment operators must conduct themselves in the are no reasonable alternatives to such limitation
courtroom quietly and discreetly, with due regard or preclusion, and such limitation or preclusion is
for the dignity of the courtroom. no broader than necessary to protect the compel-
(h) If there are multiple requests to broadcast, ling interest at issue.
televise, record or photograph the same arraign- (e) If the judicial authority has a substantial rea-
ment, the media representatives making such son to believe that the electronic coverage of a
requests must make pooling arrangements civil proceeding or trial will undermine the legal
among themselves, unless otherwise determined rights of a party or will significantly compromise
by the judicial authority. the safety or significant privacy concerns of a
(i) On camera reporting and interviews shall party, witness or other interested person, and no
only be conducted outside of the courthouse. party, attorney, witness or other interested person
(Adopted June 29, 2007, to take effect Jan. 1, 2008; has objected to such coverage, the judicial author-
ity shall schedule a hearing to consider limiting or
Sec. 1-11B. Media Coverage of Civil Pro- precluding such coverage. To the extent practica-
ceedings ble, notice that the judicial authority is considering
limiting or precluding electronic coverage of a civil
(a) The broadcasting, televising, recording or
proceeding or trial, and the date, time and location
photographing of civil proceedings and trials in the
of the hearing thereon shall be given to the parties
superior court by news media should be allowed,
and others whose interests may be directly
subject to the limitations set forth herein and in
affected by a decision so that they may participate
Section 1-10B.
in the hearing and shall be posted on the Judicial
(b) A judicial authority shall permit broadcast-
Branch website.
ing, televising, recording or photographing of civil
proceedings and trials in courtrooms of the supe- (f) Objection raised during the course of a civil
rior court except as hereinafter precluded or lim- proceeding or trial to the photographing, videotap-
ited. As used in this rule, the word ‘‘trial’’ in jury ing or audio recording of specific aspects of the
cases shall mean proceedings taking place after proceeding or trial, or specific individuals or exhib-
the jury has been sworn and in nonjury proceed- its will be heard and decided by the judicial author-
ings commencing with the swearing in of the ity, based on the same standards as set out in
first witness. subsection (d) of this section used to determine
(c) Any party, attorney, witness or other inter- whether to limit or preclude coverage based on
ested person may object in advance of electronic objections raised before the start of a civil pro-
coverage of a civil proceeding or trial if there exists ceeding or trial.
a substantial reason to believe that such coverage (g) The trial judge in his or her discretion, upon
will undermine the legal rights of a party or will the judge’s own motion or at the request of a
significantly compromise the safety of a witness participant, may prohibit the broadcasting, televis-
or other interested person or impact significant ing, recording or photographing of any participant
privacy concerns. To the extent practicable, notice at the trial. The judge shall give great weight to
that an objection to the electronic coverage has requests where the protection of the identity of a
been filed, and the date, time and location of the person is desirable in the interests of justice, such
hearing on such objection shall be posted on the as for the victims of crime, police informants,
Judicial Branch website. Any person, including undercover agents, relocated witnesses, juve-
the media, whose rights are at issue in considering niles and individuals in comparable situations.
whether to allow electronic coverage of the pro- ‘‘Participant’’ for the purpose of this section shall
ceeding or trial, may participate in the hearing mean any party, lawyer or witness.
to determine whether to limit or preclude such (h) The judicial authority shall articulate the rea-
coverage. When such objection is filed by any sons for its decision on whether or not to limit or
party, attorney, witness or other interested per- preclude electronic coverage of a civil proceeding
son, the burden of proving that electronic cover- or trial and such decision shall be final.
age of the civil proceeding or trial should be limited (i) No broadcasting, televising, recording and
or precluded shall be on the person who filed photographic equipment shall be placed in or
the objection. removed from the courtroom while the court is in
(d) The judicial authority, in deciding whether session. Television film magazines or still camera
to limit or preclude electronic coverage of a civil film or lenses shall not be changed within the
108
SUPERIOR COURT—GENERAL PROVISIONS Sec. 1-11C
courtroom except during a recess or other appro- (o) To evaluate and resolve prospective prob-
priate time in the trial. lems where broadcasting, televising, recording or
(j) Only still camera, television and audio equip- photographing of a civil proceeding or trial will
ment which does not produce distracting sound take place, and to ensure compliance with these
or light shall be employed to cover the trial. The rules during the proceeding or trial, the judicial
operator of such equipment shall not employ any authority who will hear the proceeding or preside
artificial lighting device to supplement the existing over the trial may require the attendance of attor-
light in the courtroom without the approval of the neys and media personnel at a pretrial confer-
trial judge and other appropriate authority. ence. At such conference, the judicial authority
(k) Except as provided by these rules, broad- shall set forth the conditions of coverage in
casting, televising, recording and photographing accordance herewith.
in areas immediately adjacent to the courtroom (Adopted June 29, 2007, to take effect Jan. 1, 2008.)
during sessions of court or recesses between ses-
Sec. 1-11C. Media Coverage of Criminal Pro-
sions shall be prohibited.
ceedings
(l) The conduct of all attorneys with respect to
trial publicity shall be governed by Rule 3.6 of the (Amended June 20, 2011, to take effect Jan. 1, 2012.)
Rules of Professional Conduct. (a) Except as authorized by Section 1-11A
(m) The judicial authority in its discretion may regarding media coverage of arraignments, the
require pooling arrangements by the media. Pool broadcasting, televising, recording or photo-
representatives should ordinarily be used for graphing by media of criminal proceedings and
video, still cameras and radio, with each pool rep- trials in the superior court shall be allowed except
resentative to be decided by the relevant media as hereinafter precluded or limited and subject to
group. Participating members of the broadcast- the limitations set forth in Section 1-10B.
ing, televising, recording and photographic media (b) No broadcasting, televising, recording or
shall make their respective pooling arrangements, photographing of trials or proceedings involving
including the establishment of necessary proce- sexual offense charges shall be permitted.
dures and selection of pool representatives, with- (c) As used in this rule, the word ‘‘trial’’ in jury
out calling upon the judicial authority to mediate cases shall mean proceedings taking place after
any dispute as to the appropriate media represen- the jury has been sworn and in nonjury proceed-
tative or equipment for a particular trial. If any ings commencing with the swearing in of the first
such medium shall not agree on equipment, pro- witness. ‘‘Criminal proceeding’’ shall mean any
cedures and personnel, the judicial authority shall hearing or testimony, or any portion thereof, in
not permit that medium to have coverage at the open court and on the record except an arraign-
trial. ment subject to Section 1-11A.
(n) Unless good cause is shown, any media or (d) Unless good cause is shown, any media or
pool representative seeking to broadcast, tele- pool representative seeking to broadcast, tele-
vise, record or photograph a civil proceeding or vise, record or photograph a criminal proceeding
trial shall, at least three days prior to the com- or trial shall, at least three days prior to the com-
mencement of the proceeding or trial, submit a mencement of the proceeding or trial, submit a
written notice of media coverage to the adminis- written notice of media coverage to the adminis-
trative judge of the judicial district where the pro- trative judge of the judicial district where the pro-
ceeding is to be heard or the case is to be tried. ceeding is to be heard or the case is to be tried.
A notice of media coverage submitted on behalf A notice of media coverage submitted on behalf
of a pool shall contain the name of each news of a pool shall contain the name of each news
organization seeking to participate in that pool. organization seeking to participate in that pool.
The administrative judge shall inform the judicial The administrative judge shall inform the judicial
authority who will hear the proceeding or who will authority who will hear the proceeding or who will
preside over the trial of the notice, and the judicial preside over the trial of the notice, and the judicial
authority shall allow such coverage except as authority shall allow such coverage except as
otherwise provided in this section. Any news orga- otherwise provided.
nization seeking permission to participate in a pool (e) Any party, attorney, witness or other inter-
whose name was not submitted with the original ested person may object in advance of electronic
notice of media coverage may, at any time, submit coverage of a criminal proceeding or trial if there
a separate written notice to the administrative exists a substantial reason to believe that such
judge and shall be allowed to participate in the coverage will undermine the legal rights of a party
pool arrangement. or will significantly compromise the safety of a
109
Sec. 1-11C SUPERIOR COURT—GENERAL PROVISIONS
witness or other person or impact significant pri- prohibit the broadcasting, televising, recording or
vacy concerns. In the event that the media request photographing of any participant at the trial. The
camera coverage and, to the extent practicable, judge shall give great weight to requests where
notice that an objection to the electronic coverage the protection of the identity of a person is desir-
has been filed, the date, time and location of the able in the interests of justice, such as for the
hearing on such objection shall be posted on the victims of crime, police informants, undercover
Judicial Branch website. Any person, including agents, relocated witnesses, juveniles and indi-
the media, whose rights are at issue in considering viduals in comparable situations. ‘‘Participant’’ for
whether to allow electronic coverage of the pro- the purpose of this section shall mean any party,
ceeding or trial, may participate in the hearing lawyer or witness.
to determine whether to limit or preclude such (j) The judicial authority shall articulate the rea-
coverage. When such objection is filed by any sons for its decision on whether or not to limit or
party, attorney, witness or other interested per- preclude electronic coverage of a criminal pro-
son, the burden of proving that electronic cover- ceeding or trial, and such decision shall be final.
age of the criminal proceeding or trial should be (k) (1) Only one television camera operator,
limited or precluded shall be on the person who utilizing one portable mounted television camera,
filed the objection. shall be permitted in the courtroom. The television
(f) The judicial authority, in deciding whether to camera and operator shall be positioned in such
limit or preclude electronic coverage of a criminal location in the courtroom as shall be designated
proceeding or trial, shall consider all rights at issue by the trial judge. Microphones, related wiring and
and shall limit or preclude such coverage only if equipment essential for the broadcasting, televis-
there exists a compelling reason to do so, there ing or recording shall be unobtrusive and shall be
are no reasonable alternatives to such limitation located in places designated in advance by the
or preclusion, and such limitation or preclusion is trial judge. While the trial is in progress, the televi-
no broader than necessary to protect the compel- sion camera operator shall operate the television
ling interest at issue. camera in this designated location only.
(g) If the judicial authority has a substantial rea- (2) Only one still camera photographer shall
son to believe that the electronic coverage of a be permitted in the courtroom. The still camera
criminal proceeding or trial will undermine the photographer shall be positioned in such location
legal rights of a party or will significantly compro- in the courtroom as shall be designated by the
mise the safety or privacy concerns of a party, trial judge. While the trial is in progress, the still
witness or other interested person, and no party, camera photographer shall photograph court pro-
attorney, witness or other interested person has ceedings from this designated location only.
objected to such coverage, the judicial authority (3) Only one audio recorder shall be permitted
shall schedule a hearing to consider limiting or in the courtroom for purposes of recording the
precluding such coverage. To the extent practica- proceeding or trial. Microphones, related wiring
ble, notice that the judicial authority is considering and equipment essential for the recording shall
limiting or precluding electronic coverage of a be unobtrusive and shall be located in places des-
criminal proceeding or trial, and the date, time ignated in advance by the trial judge.
and location of the hearing thereon shall be given (l) Only still camera, television and audio equip-
to the parties and others whose interests may be ment which does not produce distracting sound
directly affected by a decision so that they may or light shall be employed to cover the proceeding
participate in the hearing and shall be posted on or trial. The operator of such equipment shall not
the Judicial Branch website. employ any artificial lighting device to supplement
(h) Objection raised during the course of a crimi- the existing light in the courtroom without the
nal proceeding or trial to the photographing, video- approval of the judge presiding over the proceed-
taping or audio recording of specific aspects of ing or trial and other appropriate authority.
the proceeding or trial, or specific individuals or (m) Except as provided by these rules, broad-
exhibits will be heard and decided by the judicial casting, televising, recording and photographing
authority, based on the same standards as set out in areas immediately adjacent to the courtroom
in subsection (f) of this section used to determine during sessions of court or recesses between ses-
whether to limit or preclude coverage based on sions shall be prohibited.
objections raised before the start of a criminal (n) The conduct of all attorneys with respect to
proceeding or trial. trial publicity shall be governed by Rule 3.6 of the
(i) The judge presiding over the proceeding or Rules of Professional Conduct.
trial in his or her discretion, upon the judge’s own (o) The judicial authority in its discretion may
motion or at the request of a participant, may require pooling arrangements by the media. Pool
110
SUPERIOR COURT—GENERAL PROVISIONS Sec. 1-18
representatives should ordinarily be used for Sec. 1-14. —Criminal Contempt

video, still cameras and radio, with each pool rep- Conduct that is directed against the dignity and
resentative to be decided by the relevant media authority of the court shall be criminal contempt,
group. Participating members of the broadcasting, and may be adjudicated summarily or nonsum-
televising, recording and photographic media marily. The sanction for a criminal contempt is
shall make their respective pooling arrangements, punitive to vindicate the authority of the court.
including the establishment of necessary proce- (P.B. 1978-1997, Sec. 985.) (Amended June 28, 1999, to
dures and selection of pool representatives, with- take effect Jan. 1, 2000.)
out calling upon the judicial authority to mediate Sec. 1-15. —Who May Be Punished
any dispute as to the appropriate media represen-
tative or equipment for a particular trial. If any [Repealed as of Jan. 1, 2000.]
such medium shall not agree on equipment, pro- Sec. 1-16. —Summary Criminal Contempt
cedures and personnel, the judicial authority shall (Amended June 28, 1999, to take effect Jan. 1, 2000.)
not permit that medium to have coverage at the Misbehavior or misconduct in the court’s pres-
proceeding or trial. ence causing an obstruction to the orderly admin-
(p) To evaluate and resolve prospective prob- istration of justice shall be summary criminal
lems where broadcasting, televising, recording or contempt, and may be summarily adjudicated and
photographing by media of a criminal proceeding punished by fine or imprisonment, or both. Prior
or trial will take place, and to ensure compliance to any finding of guilt, the judicial authority shall
with these rules during the proceeding or trial, the inform the defendant of the charges against him
judicial authority who will hear the proceeding or or her and inquire as to whether the defendant
preside over the trial may require the attendance has any cause to show why he or she should not
of attorneys and media personnel at a pretrial con- be adjudged guilty of summary criminal contempt
ference. by presenting evidence of acquitting or mitigating
(Adopted June 29, 2007, to take effect Jan. 1, 2008; circumstances. Upon an adjudication, the judicial
amended June 20, 2011, to take effect Jan. 1, 2012.) authority shall immediately impose sentence of
not more than one hundred dollars, or six months
Sec. 1-11D. Pilot Program to Increase Public imprisonment, or both for each contumacious act.
Access to Child Protection Proceedings Execution of any sentence during the pendency
[Repealed as of Jan. 1, 2013.] of a trial or hearing may be deferred to the close
of proceedings.
Sec. 1-12. Court Opening (P.B. 1978-1997, Sec. 988.) (Amended June 28, 1999, to
The sessions of the superior court will be take effect Jan. 1, 2000.)
opened at 10:00 a.m., unless otherwise ordered. Sec. 1-17. —Deferral of Proceedings
(P.B. 1978-1997, Sec. 299.)
The judicial authority should defer criminal con-
Sec. 1-13. Recess and Adjournment tempt proceedings when: (1) the misconduct does
The court is ‘‘not in session’’ or ‘‘not actually in not rise to an obstruction to the orderly administra-
session,’’ as those phrases are used in the stat- tion of justice; (2) the judicial authority has become
utes and rules, at all times (1) after adjournment personally embroiled; (3) the misconduct did not
and before opening and (2) during recess. The occur in the presence of the court; and (4) the
court is in recess or in adjournment provided it judicial authority does not instantly impose sum-
has not been adjourned without date. The order mary criminal contempt upon the commission of
the contumacious act.
for a recess or an adjournment other than without (P.B. 1978-1997, Sec. 989.) (Amended June 28, 1999, to
date may be revoked and the court reconvened take effect Jan. 1, 2000.)
by direction of the presiding judge at any time.
(P.B. 1978-1997, Sec. 300.) Sec. 1-18. —Nonsummary Contempt Pro-
ceedings
Sec. 1-13A. Contempt A criminal contempt deferred under Section 1-
(a) Any person or court officer misbehaving or 17 shall be prosecuted by means of an informa-
disobeying any order of a judicial authority in the tion. The judicial authority may, either upon its
course of any judicial proceeding may be adjudi- own order or upon the request of the prosecuting
cated in contempt and appropriately punished. authority, issue a summons or an arrest warrant
(b) Contempt may be either criminal or civil. for the accused. The case shall proceed as any
When criminal, it may be summary or nonsum- other criminal prosecution under these rules and
mary criminal contempt. the General Statutes. The sentence shall be pro-
(Adopted June 28, 1999, to take effect Jan. 1, 2000.) nounced in open court and shall not exceed six
111
Sec. 1-18 SUPERIOR COURT—GENERAL PROVISIONS
months imprisonment or a fine of five hundred Sec. 1-22. Disqualification of Judicial

dollars, or both, for each contumacious act. Authority
(P.B. 1978-1997, Sec. 991.) (Amended June 28, 1999, to (a) A judicial authority shall, upon motion of
either party or upon its own motion, be disqualified
Sec. 1-19. —Judicial Authority Disqualifica- from acting in a matter if such judicial authority is
disqualified from acting therein pursuant to Rule
tion in Nonsummary Contempt Proceedings
2.11 of the Code of Judicial Conduct or because
(Amended June 28, 1999, to take effect Jan. 1, 2000.) the judicial authority previously tried the same
The trial and all related proceedings upon which matter and a new trial was granted therein or
nonsummary contempt proceedings are based because the judgment was reversed on appeal.
shall be heard by a judicial authority other than A judicial authority may not preside at the hearing
the trial judge or the judicial authority who had of any motion attacking the validity or sufficiency
either issued the order which was later disobeyed of any warrant the judicial authority issued nor
or deferred criminal contempt proceedings under may the judicial authority sit in appellate review
Section 1-17. of a judgment or order originally rendered by
(P.B. 1978-1997, Sec. 992.) (Amended June 28, 1999, to such authority.
take effect Jan. 1, 2000.) (b) A judicial authority is not automatically dis-
qualified from sitting on a proceeding merely
Sec. 1-20. —Where No Right to Jury Trial in because an attorney or party to the proceeding
Nonsummary Proceeding has filed a lawsuit against the judicial authority or
(Amended June 28, 1999, to take effect Jan. 1, 2000.) filed a complaint against the judicial authority with
In a nonsummary contempt proceeding, if the the judicial review council. When the judicial
judicial authority declares in advance of trial that authority has been made aware of the filing of
the total effective sentence, if the defendant is such lawsuit or complaint, he or she shall so
found guilty, shall not exceed thirty days imprison- advise the attorneys and parties to the proceeding
ment, or a fine of ninety-nine dollars, no right to and either disqualify himself or herself from sitting
jury trial shall affix. If the total effective sentence on the proceeding, conduct a hearing on the dis-
may exceed thirty days or a fine in excess of qualification issue before deciding whether to dis-
ninety-nine dollars, the defendant shall be qualify himself or herself or refer the
accorded the right to a jury trial. disqualification issue to another judicial authority
(P.B. 1978-1997, Sec. 993.) (Amended June 28, 1999, to for a hearing and decision.
take effect Jan. 1, 2000.) (P.B. 1978-1997, Sec. 996.) (Amended June 25, 2001, to
Sec. 1-21. —Nonsummary Judgment
Sec. 1-23. Motion for Disqualification of
Judicial Authority
In a nonsummary contempt proceeding, the
A motion to disqualify a judicial authority shall
judgment file of contempt shall be prepared within
be in writing and shall be accompanied by an
a reasonable time by the clerk and shall be signed
affidavit setting forth the facts relied upon to show
by the judicial authority and entered on the record. the grounds for disqualification and a certificate
(P.B. 1978-1997, Sec. 994.) (Amended June 28, 1999, to
of the counsel of record that the motion is made
in good faith. The motion shall be filed no less
Sec. 1-21A. —Civil Contempt than ten days before the time the case is called
for trial or hearing, unless good cause is shown
The violation of any court order qualifies for for failure to file within such time.
criminal contempt sanctions. Where, however, the (P.B. 1978-1997, Sec. 997.)
dispute is between private litigants and the pur-
pose for judicial intervention is remedial, then the Sec. 1-24. Record of Off-Site Judicial Pro-
contempt is civil, and any sanctions imposed by ceedings
the judicial authority shall be coercive and nonpu- Absent exceptional circumstances or except as
nitive, including fines, to ensure compliance and otherwise provided by court rule, where a tran-
compensate the complainant for losses. Where script or recording is made of an off-site judicial
the violation of a court order renders the order proceeding, such record shall be available to the
unenforceable, the judicial authority should con- public. The judicial authority will also state on the
sider referral for nonsummary criminal contempt record in open court, by the next court day, a
proceedings. summary of what occurred at such proceeding.
(Adopted June 28, 1999, to take effect Jan. 1, 2000.) (Adopted June 29, 2007, to take effect Jan. 1, 2008.)
112
Sec. 1-25. Actions Subject to Sanctions (3) After prior direction from the court, the filing
(a) No party or attorney shall bring or defend an of any materials or documents that: (A) are not
action, or assert or oppose a claim or contention, relevant and material to the matter before the
unless there is a basis in law and fact for doing court or (B) contain personal, medical or financial
so that is not frivolous. Good faith arguments for information that is not relevant or material to the
an extension, modification or reversal of existing matter before the court.
law shall not be deemed frivolous. (c) The judicial authority may impose sanctions
(b) Except as otherwise provided in these rules, including, but not limited to, fines pursuant to Gen-
the judicial authority, solely on its own motion and eral Statutes § 51-84; orders requiring the
after a hearing, may impose sanctions for actions
that include, but are not limited to, the following: offending party to pay costs and expenses, includ-
(1) Filing of pleadings, motions, objections, ing attorney’s fees; and orders restricting the filing
requests or other documents that violate subsec- of papers with the court.
tion (a) above; (d) Offenders subject to such sanctions may
(2) Wilful or repeated failure to comply with rules include counsel, self-represented parties, and
or orders of the court, including Section 4-7 on parties represented by counsel.
personal identifying information; (Adopted June 13, 2014, to take effect Jan. 1, 2015.)
113
CHAPTER 2
ATTORNEYS
Sec. Sec.
2-1. County Court Designations concerning Bar Admis- Committee or Reviewing Committee Imposing
sion Process Sanctions or Conditions
2-2. Admission 2-39. Reciprocal Discipline
2-3. Examining Committee 2-40. Discipline of Attorneys Found Guilty of Serious
2-4. —Regulations by Examining Committee Crimes in Connecticut
2-4A. —Records of Examining Committee 2-41. Discipline of Attorneys Found Guilty of Serious
2-5. —Examination of Candidates for Admission Crimes in Another Jurisdiction
2-5A. —Good Moral Character and Fitness to Practice 2-42. Conduct Constituting Threat of Harm to Clients
Law 2-43. Notice by Attorney of Alleged Misuse of Clients’
2-6. —Personnel of Examining Committee Funds and Garnishments of Lawyers’ Trust
2-7. Number of Times an Applicant May Sit for the Accounts
Examination 2-44. Power of Superior Court to Discipline Attorneys
2-8. Qualifications for Admission and to Restrain Unauthorized Practice
2-9. Certification of Applicants Recommended for 2-44A. Definition of the Practice of Law
Admission; Conditions of Admission 2-45. —Cause Occurring in Presence of Court
2-10. Admission by Superior Court 2-46. Suspension of Attorneys Who Violate Support
2-11. Monitoring Compliance with Conditions of Admis- Orders
sion; Removal or Modification of Conditions 2-47. Presentments and Unauthorized Practice of Law
2-11A. Appeal from Decision of Bar Examining Committee Petitions
concerning Conditions of Admission 2-47A. Disbarment of Attorney for Misappropriation of
2-12. County Committees on Recommendations for Funds
Admission 2-47B. Restrictions on the Activities of Deactivated
2-13. Attorneys of Other Jurisdictions; Qualifications and Attorneys
Requirements for Admission 2-48. Designee to Prosecute Presentments
2-14. —Action by Bar; Temporary License [Repealed] 2-49. Restitution
2-15. —Permanent License [Repealed] 2-50. Records of Statewide Grievance Committee,
2-15A. —Authorized House Counsel Reviewing Committee and Grievance Panel
2-16. —Attorney Appearing Pro Hac Vice 2-51. Costs and Expenses
2-17. Foreign Legal Consultants; Licensing 2-52. Resignation and Waiver of Attorney Facing Disci-
Requirements plinary Investigation
2-53. Reinstatement after Suspension, Disbarment or
2-18. —Filings to Become Foreign Legal Consultant
Resignation
2-19. —Scope of Practice of Foreign Legal Consultants
2-54. Publication of Notice of Reprimand, Suspension,
2-20. —Disciplinary Provisions regarding Foreign
Disbarment, Resignation, Placement on Inactive
Legal Consultants
Status or Reinstatement
2-21. —Affiliation of Foreign Legal Consultant with the
2-55. Retirement of Attorney—Right of Revocation
Bar of the State of Connecticut
2-55A. Retirement of Attorney—Permanent
2-22. Disposition of Fees for Admission to the Bar
2-56. Inactive Status of Attorney
2-23. Roll of Attorneys 2-57. —Prior Judicial Determination of Incompetency or
2-24. Notice by Attorney of Admission in Other Juris- Involuntary Commitment
dictions 2-58. —No Prior Determination of Incompetency or Invol-
2-25. Notice by Attorney of Disciplinary Action in Other untary Commitment
Jurisdictions 2-59. —Disability Claimed during Course of Disciplin-
2-26. Notice by Attorney of Change in Address ary Proceeding
2-27. Clients’ Funds; Lawyer Registration 2-60. —Reinstatement upon Termination of Disability
2-28. Overdraft Notification 2-61. —Burden of Proof in Inactive Status Proceedings
2-28A. Attorney Advertising; Mandatory Filing 2-62. —Waiver of Doctor-Patient Privilege upon Applica-
2-28B. —Advisory Opinions tion for Reinstatement
2-29. Grievance Panels 2-63. Definition of Respondent
2-30. Grievance Counsel for Panels and Investigators 2-64. Appointment of Attorney to Protect Clients’ and
2-31. Powers and Duties of Grievance Counsel Attorney’s Interests
2-32. Filing Complaints against Attorneys; Action; Time 2-65. Good Standing of Attorney
Limitation 2-66. Practice by Court Officials
2-33. Statewide Grievance Committee 2-67. Payment of Attorneys by Bank and Trust Com-
2-34. Statewide Bar Counsel panies
2-34A. Disciplinary Counsel 2-68. Client Security Fund Established
2-35. Action by Statewide Grievance Committee or 2-68A. —Crisis Intervention and Referral Assistance
Reviewing Committee 2-69. —Definition of Dishonest Conduct
2-36. Action by Statewide Grievance Committee on 2-70. —Client Security Fund Fee
Request for Review 2-71. —Eligible Claims
2-37. Sanctions and Conditions Which May Be Imposed 2-72. —Client Security Fund Committee
by Committees 2-73. —Powers and Duties of Client Security Fund Com-
2-38. Appeal from Decision of Statewide Grievance mittee
114
2-74. —Regulations of Client Security Fund Committee 2-79. —Enforcement of Payment of Fee
2-75. —Processing Claims 2-80. —Restitution by Attorney
2-76. —Confidentiality 2-81. —Restitution and Subrogation
2-77. —Review of Status of Fund 2-82. Admission of Misconduct; Discipline by Consent
2-78. —Attorney’s Fee for Prosecuting Claim 2-83. Effective Dates
Sec. 2-1. County Court Designations con- suspended by the judges or by the executive com-
cerning Bar Admission Process mittee of the superior court. In connection with
(a) For the purposes of this chapter, each supe- such revocation or suspension, the judges or the
rior court location designated below shall be the executive committee shall appoint a qualified indi-
superior court for the county in which it is situated: vidual to fill the vacancy for the balance of the
the superior court for the judicial district of Fairfield term or for any other appropriate period. All other
at Bridgeport shall be the superior court for Fair- vacancies shall be filled by the judges for unex-
field county; the superior court for the judicial dis- pired terms only, provided that the chief justice
trict of New Haven at New Haven shall be the may fill such vacancies until the next annual meet-
superior court for New Haven county; the superior ing of the judges, and in the event of the foreseen
court for the judicial district of Litchfield at Litch- absence or the illness or the disqualification of a
field shall be the superior court for Litchfield member of the committee the chief justice may
county; the superior court for the judicial district make a pro tempore appointment to the commit-
of Hartford at Hartford shall be the superior court tee to serve during such absence, illness or dis-
for Hartford county; the superior court for the judi- qualification. At any meeting of the committee the
cial district of Middlesex at Middletown shall be the members present shall constitute a quorum.
superior court for Middlesex county; the superior (P.B. 1978-1997, Sec. 11.)
court for the judicial district of Tolland at Rockville
Sec. 2-4. —Regulations by Examining Com-
shall be the superior court for Tolland county; the
mittee
superior court for the judicial district of New Lon-
don at Norwich shall be the superior court for The committee shall have the power and
New London county; and the superior court for authority to implement these rules by regulations
the judicial district of Windham at Putnam shall relevant thereto and not inconsistent therewith.
be the superior court for Windham county. Such regulations may be adopted at any regular
(b) The chief clerk for each judicial district court meeting of the committee or at any special meet-
location mentioned above shall be the clerk for ing called for that purpose. They shall be effective
the corresponding superior court county location. ninety days after publication in one issue of the
(P.B. 1978-1997, Sec. 8.) (Amended June 29, 1998, to take Connecticut Law Journal and shall at all times be
effect Sept. 1, 1998.) subject to amendment or revision by the commit-
tee or by the judges of the superior court. A copy
Sec. 2-2. Admission shall be provided to the chief justice.
No person shall be admitted as an attorney (P.B. 1978-1997, Sec. 12.) (Amended June 20, 2011, to
except as herein provided. take effect Jan. 1, 2012.)
(P.B. 1978-1997, Sec. 9.)
Sec. 2-4A. —Records of Examining Com-
Sec. 2-3. Examining Committee mittee
There shall be an examining committee The records and transcripts, if any, of hearings
appointed by the judges of the superior court con- conducted by the state bar examining committee
sisting of twenty-four members, of whom at least or the several standing committees on recommen-
one shall be a judge of said court, and the rest dations for admission to the bar shall be available
attorneys residing in this state. The term of office only to such committee, to a judge of the superior
of each member shall be three years from the first court, to the statewide grievance committee, to
day of September succeeding appointment, and disciplinary counsel or, with the consent of the
the terms shall continue to be arranged so that applicant, to any other person, unless otherwise
those of eight members shall expire annually. The ordered by the court.
appointment of any member may be revoked or (Adopted June 26, 2006, to take effect Jan. 1, 2007.)
115
Sec. 2-5. —Examination of Candidates for Sec. 2-8. Qualifications for Admission
Admission To entitle an applicant to admission to the bar,
The committee shall further have the duty, except under Sections 2-13 through 2-15 of these
power and authority to provide for the examination rules, the applicant must satisfy the committee
of candidates for admission to the bar; to deter- that:
mine whether such candidates are qualified as (1) The applicant is a citizen of the United States
to prelaw education, legal education, good moral or an alien lawfully residing in the United States.
character and fitness to practice law; and to rec- (2) The applicant is not less than eighteen years
ommend to the court for admission to the bar of age.
qualified candidates. (3) The applicant is a person of good moral
(P.B. 1978-1997, Sec. 13.) (Amended June 21, 2010, to character, is fit to practice law, and has either
take effect Jan. 1, 2011.) passed an examination in professional responsi-
bility administered under the auspices of the bar
Sec. 2-5A. —Good Moral Character and Fit- examining committee or has completed a course
ness to Practice Law in professional responsibility in accordance with
(Amended June 20, 2011, to take effect Sept. 1, 2011.) the regulations of the bar examining committee.
(a) Good moral character shall be construed to Any inquiries or procedures used by the bar exam-
include, but not be limited to, the following: ining committee that relate to physical or mental
(1) The qualities of honesty, fairness, candor disability must be narrowly tailored and necessary
and trustworthiness; to a determination of the applicant’s current fitness
(2) Observance of fiduciary responsibility; to practice law, in accordance with the Americans
(3) Respect for and obedience to the law; and with Disabilities Act and amendment twenty-one
(4) Respect for the legal rights of others and of the Connecticut constitution, and conducted in
the judicial process, as evidenced by conduct a manner consistent with privacy rights afforded
other than merely initiating or pursuing litigation. under the federal and state constitutions or other
(b) Fitness to practice law shall be construed applicable law.
to include the following: (4) The applicant has met the educational
(1) The cognitive capacity to undertake funda- requirements as may be set, from time to time,
mental lawyering skills such as problem solving, by the bar examining committee.
legal analysis and reasoning, legal research, fac- (5) The applicant has filed with the administra-
tual investigation, organization and management tive director of the bar examining committee an
of legal work, making appropriate reasoned legal application to take the examination and for admis-
judgments, and recognizing and solving ethical sion to the bar, all in accordance with these rules
dilemmas; and the regulations of the committee, and has
(2) The ability to communicate legal judgments paid such application fee as the committee shall
and legal information to clients, other attorneys, from time to time determine.
judicial and regulatory authorities, with or without (6) The applicant has passed an examination
the use of aids or devices; and in law in accordance with the regulations of the
(3) The capability to perform legal tasks in a committee.
timely manner. (7) The applicant has complied with all of the
(Adopted June 21, 2010, to take effect Jan. 1, 2011; pertinent rules and regulations of the committee.
amended June 20, 2011, to take effect Sept. 1, 2011.) (8) As an alternative to satisfying the committee
that the applicant has met the committee’s educa-
Sec. 2-6. —Personnel of Examining Com- tional requirements, the applicant who meets all
mittee the remaining requirements of this section may,
Such personnel within the legal services divi- upon payment of such investigation fee as the
sion of the office of the chief court administrator committee shall from time to time determine, sub-
as may be assigned from time to time by the chief stitute proof satisfactory to the committee that: (A)
court administrator shall assist the examining the applicant has been admitted to practice before
committee in carrying out its duties. the highest court of original jurisdiction in one or
(P.B. 1978-1997, Sec. 14.) more states, the District of Columbia or the com-
monwealth of Puerto Rico or in one or more district
Sec. 2-7. Number of Times an Applicant May courts of the United States for ten or more years
Sit for the Examination and at the time of filing the application is a member
There is no restriction on the number of times in good standing of such a bar; (B) the applicant
an applicant may sit for the examination. has actually practiced law in such a jurisdiction
(P.B. 1978-1997, Sec. 15A.) for not less than five years during the seven year
116
period immediately preceding the filing date of the Sec. 2-10. Admission by Superior Court
application; and (C) the applicant intends, upon (a) Each applicant who shall be recommended
a continuing basis, actively to practice law in Con- for admission to the bar shall present himself or
necticut and to devote the major portion of the herself to the superior court, or to either the
applicant’s working time to the practice of law supreme court or the appellate court sitting as the
in Connecticut. superior court, at such place and at such time as
take effect Jan. 1, 2008; amended June 21, 2010, to take shall be prescribed by the committee, or shall be
effect Jan. 1, 2011.) prescribed by the supreme court or the appellate
court, and such court may then, upon motion,
Sec. 2-9. Certification of Applicants Recom- admit such person as an attorney. The administra-
mended for Admission; Conditions of tive director shall give notice to each clerk of the
Admission names of the newly admitted attorneys. At the
(a) The committee shall certify to the clerk of the time such applicant is admitted as an attorney the
superior court for the county in which the applicant applicant shall be sworn as a commissioner of the
seeks admission and to the clerk of the superior superior court.
court in New Haven the name of any such appli- (b) The administrative judge of said judicial dis-
cant recommended by it for admission to the bar trict or a designee or the chief justice of the
and shall notify the applicant of its decision. supreme court or a designee or the chief judge
(b) The committee may, in light of the physical of the appellate court or a designee may deliver an
or mental disability of a candidate that has caused address to the applicants so admitted respecting
conduct or behavior that would otherwise have their duties and responsibilities as attorneys.
rendered the candidate currently unfit to practice (P.B. 1978-1997, Sec. 18.)
law, determine that it will only recommend an Sec. 2-11. Monitoring Compliance with Con-
applicant for admission to the bar conditional upon ditions of Admission; Removal or Modifica-
the applicant’s compliance with conditions pre-
tion of Conditions
scribed by the committee relevant to the disability
and the fitness of the applicant. Such determina- (Amended June 30, 2008, to take effect Jan. 1, 2009.)
tion shall be made after a hearing on the record (a) If an applicant is admitted to the bar after
is conducted by the committee or a panel thereof signing an agreement with the bar examining
consisting of at least three members appointed committee under oath affirming acceptance of the
by the chair, unless such hearing is waived by conditions prescribed by the committee pursuant
the applicant. Such conditions shall be tailored to to Section 2-9 (b) and that he or she will comply
detect recurrence of the conduct or behavior with them, the statewide bar counsel shall monitor
which could render an applicant unfit to practice the attorney’s compliance with those conditions
law or pose a risk to clients or the public and pursuant to regulations adopted by the statewide
to encourage continued treatment, abstinence, or grievance committee governing such monitoring.
other support. The conditional admission period The attorney so admitted or the statewide bar
shall not exceed five years, unless the condition- counsel may make application to the bar examin-
ally admitted attorney fails to comply with the con- ing committee to remove or modify the conditions
ditions of admission, and the bar examining previously agreed to by such attorney as circum-
committee or the court determines, in accordance stances warrant. The bar examining committee,
with the procedures set forth in Section 2-11, that or a panel thereof consisting of at least three mem-
a further period of conditional admission is neces- bers appointed by its chair, shall conduct a hear-
sary. The committee shall notify the applicant by ing on the application, which shall be on the
mail of its decision and that the applicant must record, and shall also receive and consider a
sign an agreement with the bar examining com- report from the statewide bar counsel on the mat-
mittee under oath affirming acceptance of such ter. Such hearing may be waived by the applicant
conditions and that the applicant will comply with and the statewide bar counsel. If, upon such appli-
them. Upon receipt of this agreement from the cation, the bar examining committee modifies
applicant, duly executed, the committee shall rec- such conditions, the attorney shall sign an
ommend the applicant for admission to the bar as agreement with the bar examining committee
provided herein. The committee shall forward a under oath affirming acceptance of the modified
copy of the agreement to the statewide bar coun- conditions and that he or she will comply with
sel, who shall be considered a party for purposes them, and the statewide bar counsel shall monitor
of defending an appeal under Section 2-11A. the attorney’s compliance with them. The state-
take effect Jan. 1, 2009; amended June 21, 2010, to take wide bar counsel shall be considered a party for
effect Jan. 1, 2011.) purposes of defending an appeal under Section
117
2-11A. All information relating to conditional examining committee. By stipulation of all parties
admission of an applicant or attorney shall remain to such appeal proceedings, the record may be
confidential unless otherwise ordered by the shortened. The court may require or permit subse-
court. quent corrections or additions to the record.
(b) Upon the failure of the attorney to comply (d) The appellant shall file a brief within thirty
with the conditions of admission or the monitoring days after the filing of the record by the bar exam-
requirements adopted by the statewide grievance ining committee. The appellee shall file its brief
committee, the statewide bar counsel shall apply within thirty days of the filing of the appellant’s
to the court in the judicial district of Hartford for brief. Unless permission is given by the court for
an appropriate order. The court, after hearing good cause shown, briefs shall not exceed thirty-
upon such application, may take such action as five pages.
it deems appropriate. Thereafter, upon application (e) The appeal shall be conducted by the court
of the attorney or of the statewide bar counsel without a jury and shall be confined to the record.
and upon good cause shown, the court may set If alleged irregularities in procedure before the bar
aside or modify the order rendered pursuant examining committee are not shown in the record,
hereto. proof limited thereto may be taken in the court.
(P.B. 1978-1997, Sec. 18A.) (Amended June 29, 1998, to The court, upon request, shall hear oral argument.
take effect Sept. 1, 1998; amended June 30, 2008, to take (f) Upon appeal, the court shall not substitute
its judgment for that of the bar examining commit-
Sec. 2-11A. Appeal from Decision of Bar tee as to the weight of the evidence on questions
Examining Committee concerning Condi- of fact. The court shall affirm the decision of the
tions of Admission committee unless the court finds that substantial
(a) A decision by the bar examining committee rights of the appellant have been prejudiced
prescribing conditions for admission to the bar because the committee’s findings, inferences,
under Section 2-9 (b) or on an application to conclusions, or decisions are: (1) in violation of
remove or modify conditions of admission under constitutional provisions, rules of practice or statu-
Section 2-11 (a) may be appealed to the superior tory provisions; (2) in excess of the authority of the
court by the bar applicant or attorney who is the committee; (3) made upon unlawful procedure; (4)
subject of the decision. Within thirty days from affected by other error of law; (5) clearly erroneous
the issuance of the decision of the bar examining in view of the reliable, probative, and substantial
committee, the appellant shall: (1) file the appeal evidence on the whole record; or (6) arbitrary or
with the clerk of the superior court for the judicial capricious or characterized by abuse of discretion
district of Hartford and (2) mail a copy of the or clearly unwarranted exercise of discretion. If
appeal by certified mail, return receipt requested the court finds such prejudice, it shall sustain the
or with electronic delivery confirmation, to the appeal and, if appropriate, rescind the action of
office of the statewide bar counsel and to the office the bar examining committee or take such other
of the director of the bar examining committee action as may be necessary. For purposes of fur-
as agent for the bar examining committee. The ther appeal, the action taken by the superior court
statewide bar counsel shall be considered a party hereunder is a final judgment.
for purposes of defending an appeal under this (g) In all appeals taken under this section, costs
section. may be taxed in favor of the statewide bar counsel
(b) The filing of an appeal shall not, of itself, stay in the same manner, and to the same extent, that
enforcement of the bar examining committee’s costs are allowed in judgments rendered by the
decision. An application for a stay may be made superior court. No costs shall be taxed against
to the bar examining committee, to the court or the bar examining committee, except that the
to both. Filing of an application with the bar exam- court may, in its discretion, award to the appellant
ining committee shall not preclude action by the reasonable fees and expenses if the court deter-
court. A stay, if granted, shall be on appropriate mines that the action of the bar examining commit-
terms. tee was undertaken without any substantial
(c) Within thirty days after the service of the justification. ‘‘Reasonable fees and expenses’’
appeal, or within such further time as may be means any expenses not in excess of $7500
allowed by the court, the director of the bar exam- which the court finds were reasonably incurred in
ining committee shall transmit to the reviewing opposing the committee’s action, including court
court a certified copy of the entire record of the costs, expenses incurred in administrative pro-
proceeding appealed from, which shall include ceedings, attorney’s fees, witness fees of all nec-
a transcript of any testimony heard by the bar essary witnesses, and such other expenses as
examining committee and the decision of the bar were reasonably incurred.
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(h) All information relating to the conditional in that it would admit a member of the bar of
admission of an attorney, including information Connecticut to its bar without examination under
submitted in connection with the appeal under provisions similar to those set out in this section
this section, shall be confidential unless otherwise or (ii) he or she is a full-time faculty member or
ordered by the court. full-time clinical fellow at an accredited Connecti-
(Adopted June 30, 2008, to take effect Jan. 1, 2009; cut law school and admitted in a reciprocal or
amended June 14, 2013, to take effect Jan. 1, 2014.) nonreciprocal jurisdiction, shall satisfy the state
Sec. 2-12. County Committees on Recom- bar examining committee that he or she (1) is of
mendations for Admission good moral character, is fit to practice law, and
has either passed an examination in professional
(a) There shall be in each county a standing responsibility administered under the auspices of
committee on recommendations for admission, the bar examining committee or has completed a
consisting of not less than three nor more than course in professional responsibility in accord-
seven members of the bar of that county, who ance with the regulations of the bar examining
shall be appointed by the judges of the superior committee; (2) has been duly licensed to practice
court to hold office for three years from the date law before the highest court of a reciprocal state
of their appointment and until their successors are or territory of the United States or in the District
appointed. The appointment of any member may of Columbia if reciprocal to Connecticut, or that
be revoked or suspended by the judges or by he or she is a full-time faculty member or full-time
the executive committee of the superior court. In clinical fellow at an accredited Connecticut law
connection with such revocation or suspension, school and admitted in a reciprocal or nonrecipro-
the judges or the executive committee shall cal jurisdiction and (A) has lawfully engaged in
appoint a qualified individual to fill the vacancy the practice of law as the applicant’s principal
for the balance of the term or for any other appro- means of livelihood for at least five of the ten years
priate period. Appointments to fill vacancies which
immediately preceding the date of the application
have arisen by reasons other than revocation or
and is in good standing, or (B) if the applicant has
suspension may be made by the chief justice until
taken the bar examinations of Connecticut and
the next annual meeting of the judges of the supe-
failed to pass them, the applicant has lawfully
rior court, and, in the event of the foreseen
engaged in the practice of law as his or her princi-
absence or the illness or the disqualification of a
pal means of livelihood for at least five of the
member of the committee, the chief justice may
ten years immediately preceding the date of the
make a pro tempore appointment to the commit-
application and is in good standing, provided that
tee to serve during such absence, illness or dis-
such five years of practice shall have occurred
qualification.
subsequent to the applicant’s last failed Connecti-
(b) Any application for admission to the bar may
cut examination; (3) is a citizen of the United
be referred to the committee for the county
States or an alien lawfully residing in the United
through which the applicant seeks admission,
States; (4) intends, upon a continuing basis, to
which shall investigate the applicant’s moral char-
practice law actively in Connecticut, may be
acter and fitness to practice law and report to
admitted by the court as an attorney without exam-
the bar of the county whether the applicant has
ination upon written application and the payment
complied with the rules relating to admission to
of such fee as the examining committee shall from
the bar, is a person of good moral character, is
time to time determine, upon compliance with the
fit to practice law and should be admitted.
following requirements: Such application, duly
take effect Jan. 1, 2007; amended June 21, 2010, to take verified, shall be filed with the administrative direc-
effect Jan. 1, 2011.) tor of the bar examining committee and shall set
forth his or her qualifications as hereinbefore pro-
Sec. 2-13. Attorneys of Other Jurisdictions; vided. There shall be filed with such application
Qualifications and Requirements for the following affidavits: Affidavits from two attor-
Admission neys who personally know the applicant certifying
(a) Any member of the bar of another state to his or her good moral character and fitness to
or territory of the United States or the District of practice law and supporting, to the satisfaction
Columbia, who, after satisfying the state bar of the state bar examining committee, his or her
examining committee that his or her educational practice of law as defined under (2) of this subsec-
qualifications are such as would entitle him or her tion; affidavits from two members of the bar of
to take the examination in Connecticut, and that Connecticut of at least five years’ standing, certi-
(i) at least one jurisdiction in which he or she is fying that the applicant is of good moral character
a member of the bar is reciprocal to Connecticut and is fit to practice law; and an affidavit from the
119
applicant, certifying whether such applicant has (b) Definitions

a grievance pending against him or her, has ever (1) Authorized House Counsel. An ‘‘author-
been reprimanded, suspended, placed on inactive ized house counsel’’ is any person who:
status, disbarred, or has ever resigned from the (A) is a member in good standing of the entity
practice of law, and, if so, setting forth the circum- governing the practice of law of each state (other
stances concerning such action. Such an affidavit than Connecticut) or territory of the United States,
is not required if it has been furnished as part of or the District of Columbia or any foreign jurisdic-
the application form prescribed by the state bar tion in which the member is licensed;
examining committee. (B) has been certified on recommendation of
(b) For the purpose of this rule, the ‘‘practice the bar examining committee in accordance with
of law’’ shall include the following activities, if per- this section;
formed after the date of the applicant’s admission (C) agrees to abide by the rules regulating
to the jurisdiction in which the activities were per- members of the Connecticut bar and submit to the
formed, or if performed in a jurisdiction that per- jurisdiction of the statewide grievance committee
mits such activity by a lawyer not admitted to and the superior court; and
practice: (D) is, at the date of application for registration
(1) representation of one or more clients in the under this rule, employed in the state of Connecti-
practice of law; cut by an organization or relocating to the state
(2) service as a lawyer with a state, federal, or of Connecticut in furtherance of such employment
territorial agency, including military services; within three months of such application under this
(3) teaching law at an accredited law school, section and receives or shall receive compensa-
including supervision of law students within a clini- tion for activities performed for that business orga-
cal program; nization.
(4) service as a judge in a state, federal, or (2) Organization. An ‘‘organization’’ for the pur-
territorial court of record; pose of this rule is a corporation, partnership,
(5) service as a judicial law clerk; association, or employer sponsored benefit plan
(6) service as authorized house counsel; or other legal entity (taken together with its respec-
(7) service as authorized house counsel in Con- tive parents, subsidiaries, and affiliates) that is
necticut before July 1, 2008, or while certified pur- not itself engaged in the practice of law or the
suant to Section 2-15A; or rendering of legal services outside such organiza-
(8) any combination of the above. tion, whether for a fee or otherwise, and does not
(P.B. 1978-1997, Sec. 21.) (Amended June 28, 1999, to charge or collect a fee for the representation or
advice other than to entities comprising such orga-
Jan. 1, 2011; amended June 20, 2011, to take effect Jan. 1, nization for the activities of the authorized
2012; amended June 15, 2012, to take effect Sept. 1, 2012; house counsel.
amended June 13, 2014, to take effect Jan. 1, 2015.) (c) Activities
(1) Authorized Activities. An authorized
Sec. 2-14. —Action by Bar; Temporary
house counsel, as an employee of an organiza-
License
tion, may provide legal services in the state of
[Repealed as of Jan. 1, 2012.] Connecticut to the organization for which a regis-
Sec. 2-15. —Permanent License tration pursuant to subsection (d) is effective, pro-
[Repealed as of Jan. 1, 2012.] vided, however, that such activities shall be
limited to:
Sec. 2-15A. —Authorized House Counsel (A) the giving of legal advice to the directors,
(a) Purpose officers, employees, trustees, and agents of the
The purpose of this section is to clarify the sta- organization with respect to its business and
tus of house counsel as authorized house counsel affairs;
as defined herein, and to confirm that such coun- (B) negotiating and documenting all matters for
sel are subject to regulation by the judges of the the organization; and
superior court. Notwithstanding any other section (C) representation of the organization in its
of this chapter relating to admission to the bar, dealings with any administrative agency, tribunal
this section shall authorize attorneys licensed to or commission having jurisdiction; provided, how-
practice in jurisdictions other than Connecticut to ever, authorized house counsel shall not be per-
be permitted to undertake these activities, as mitted to make appearances as counsel before
defined herein, in Connecticut without the require- any state or municipal administrative tribunal,
ment of taking the bar examination so long as agency, or commission, and shall not be permitted
they are exclusively employed by an organization. to make appearances in any court of this state,
120
unless the attorney is specially admitted to appear States, or the District of Columbia or any foreign
in a case before such tribunal, agency, commis- jurisdiction in which the applicant is licensed to
sion or court. practice law certifying that the applicant is a mem-
(2) Disclosure. Authorized house counsel shall ber in good standing;
not represent themselves to be members of the (B) a sworn statement by the applicant:
Connecticut bar or commissioners of the superior (i) that the applicant has read and is familiar with
court licensed to practice law in this state. Such the Connecticut Rules of Professional Conduct
counsel may represent themselves as Connecti- for attorneys and Chapter 2 (Attorneys) of the
cut authorized house counsel. Superior Court Rules, General Provisions, and
(3) Limitation on Representation. In no event will abide by the provisions thereof;
shall the activities permitted hereunder include (ii) that the applicant submits to the jurisdiction
the individual or personal representation of any of the statewide grievance committee and the
shareholder, owner, partner, officer, employee, superior court for disciplinary purposes, and
servant, or agent in any matter or transaction or authorizes notification to or from the entity govern-
the giving of advice therefor unless otherwise per- ing the practice of law of each state or territory of
mitted or authorized by law, code, or rule or as the United States, or the District of Columbia in
may be permitted by subsection (c) (1). Author- which the applicant is licensed to practice law of
ized house counsel shall not be permitted to pre- any disciplinary action taken against the applicant;
pare legal instruments or documents on behalf of (iii) listing any jurisdiction in which the applicant
anyone other than the organization employing the is now or ever has been licensed to practice
authorized house counsel. law; and
(4) Limitation on Opinions to Third Parties. (iv) disclosing any disciplinary sanction or pend-
An authorized house counsel shall not express or ing proceeding pertaining or relating to his or her
render a legal judgment or opinion to be relied license to practice law including, but not limited to,
upon by any third person or party other than legal reprimand, censure, suspension or disbarment, or
opinions rendered in connection with commercial, whether the applicant has been placed on inac-
financial or other business transactions to which tive status;
the authorized house counsel’s employer organi- (C) a certificate from an organization certifying
zation is a party and in which the legal opinions that it is qualified as set forth in subsection (b) (2);
have been requested from the authorized house that it is aware that the applicant is not licensed to
counsel by another party to the transaction. Noth- practice law in Connecticut; and that the applicant
ing in this subsection (c) (4) shall permit author- is employed or about to be employed in Connecti-
ized house counsel to render legal opinions or cut by the organization as set forth in subsection
advice in consumer transactions to customers of (b) (1) (D);
the organization employing the authorized (D) an appropriate application pursuant to the
house counsel. regulations of the bar examining committee;
(5) Pro Bono Legal Services. Notwithstanding (E) remittance of a filing fee to the bar examining
anything to the contrary in this section, an author- committee as prescribed and set by that commit-
ized house counsel may participate in the provi- tee; and
sion of any and all legal services pro bono publico (F) an affidavit from each of two members of the
in Connecticut offered under the supervision of Connecticut bar, who have each been licensed to
an organized legal aid society or state/local bar practice law in Connecticut for at least five years,
association project, or of a member of the Con- certifying that the applicant is of good moral char-
necticut bar who is also working on the pro acter and that the applicant is employed or will
bono representation. be employed by an organization as defined above
(d) Registration in subsection (b) (2).
(1) Filing with the Bar Examining Committee. (2) Certification. Upon recommendation of the
The bar examining committee shall investigate bar examining committee, the court may certify
whether the applicant is at least eighteen years the applicant as authorized house counsel and
of age and is of good moral character, consistent shall cause notice of such certification to be pub-
with the requirement of Section 2-8 (3) regarding lished in the Connecticut Law Journal.
applicants for admission to the bar. In addition, (3) Annual Client Security Fund Fee. Individu-
the applicant shall file with the bar examining com- als certified pursuant to this section shall comply
mittee, and the committee shall consider, the fol- with the requirements of Sections 2-68 and 2-70
lowing: of this chapter, including payment of the annual
(A) a certificate from each entity governing the fee and shall pay any other fees imposed on attor-
practice of law of a state or territory of the United neys by court rule.
121
(4) Annual Registration. Individuals certified (2) Notification to Other States. The statewide
pursuant to this section shall register annually with bar counsel shall be authorized to notify each
the statewide grievance committee in accordance entity governing the practice of law in the state or
with Sections 2-26 and 2-27 (d) of this chapter. territory of the United States, or the District of
(e) Termination or Withdrawal of Regis- Columbia, in which the authorized house counsel
tration is licensed to practice law, of any disciplinary
(1) Cessation of Authorization to Perform action against the authorized house counsel.
Services. Authorization to perform services under (g) Transition
this rule shall cease upon the earliest of the follow- (1) Preapplication Employment in Connecti-
ing events: cut. The performance of an applicant’s duties as
(A) the termination or resignation of employ- an employee of an organization in Connecticut
ment with the organization for which registration prior to the effective date of this rule shall not
has been filed, provided, however, that if the be grounds for the denial of registration of such
authorized house counsel shall commence applicant if application for registration is made
employment with another organization within within six months of the effective date of this rule.
thirty days of the termination or resignation, autho- (2) Immunity from Enforcement Action. An
rization to perform services under this rule shall authorized house counsel who has been duly reg-
continue upon the filing with the bar examining istered under this rule shall not be subject to
committee of a certificate as set forth in subsection enforcement action for the unlicensed practice of
(d) (1) (C); law for acting as counsel to an organization prior
(B) the withdrawal of registration by the author- to the effective date of this rule.
ized house counsel; (Adopted June 29, 2007, to take effect Jan. 1, 2008;
(C) the relocation of an authorized house coun- amended June 30, 2008, to take effect Jan. 1, 2009; amended
June 22, 2009, to take effect Jan. 1, 2010; amended June 15,
sel outside of Connecticut for a period greater 2012, to take effect Jan. 1, 2013.)
than 180 consecutive days; or
(D) the failure of authorized house counsel to Sec. 2-16. —Attorney Appearing Pro Hac
comply with any applicable provision of this rule. Vice
Notice of one of the events set forth in subsec- An attorney who is in good standing at the bar
tions (e) (1) (A) through (C) or a new certificate of another state, the District of Columbia, or the
as provided in subsection (e) (1) (A) must be filed commonwealth of Puerto Rico, may, upon special
with the bar examining committee by the author- and infrequent occasion and for good cause
ized house counsel within thirty days after such shown upon written application presented by a
action. Failure to provide such notice by the member of the bar of this state, be permitted in
authorized house counsel shall be a basis for dis- the discretion of the court to participate to such
cipline pursuant to the Rules of Professional Con- extent as the court may prescribe in the presenta-
duct for attorneys. tion of a cause or appeal in any court of this state;
(2) Notice of Withdrawal of Authorization. provided, however, that (1) such application shall
Upon receipt of the notice required by subsection be accompanied by the affidavit of the applicant
(e) (1), the bar examining committee shall forward (a) certifying whether such applicant has a griev-
a request to the statewide bar counsel that the ance pending against him or her in any other juris-
authorization under this chapter be revoked. diction, has ever been reprimanded, suspended,
Notice of the revocation shall be mailed by the placed on inactive status, disbarred, or otherwise
statewide bar counsel to the authorized house disciplined, or has ever resigned from the practice
counsel and the organization employing the of law and, if so, setting forth the circumstances
authorized house counsel. concerning such action, (b) certifying that the
(3) Reapplication. Nothing herein shall prevent applicant has paid the client security fund fee due
an individual previously authorized as house for the calendar year in which the application has
counsel to reapply for authorization as set forth been made, (c) designating the chief clerk of the
in subsection (d). superior court for the judicial district in which the
(f) Discipline attorney will be appearing as his or her agent
(1) Termination of Authorization by Court. upon whom process and service of notice may be
In addition to any appropriate proceedings and served, (d) agreeing to register with the statewide
discipline that may be imposed by the statewide grievance committee in accordance with the provi-
grievance committee, the superior court may, at sions of this chapter while appearing in the matter
any time, with cause, terminate an authorized in this state and for two years after the completion
house counsel’s registration, temporarily or per- of the matter in which the attorney appeared, and
manently. to notify the statewide grievance committee of the
122
expiration of the two year period, and (e) identi- as an attorney or counselor at law (or the equiva-
fying the number of cases in which the attorney lent of either) in that country, for a period of not
has appeared pro hac vice in the superior court less than five of the seven years immediately pre-
of this state since the attorney first appeared pro ceding the date of application;
hac vice in this state and (2) a member of the bar (2) possesses the good moral character and
of this state must be present at all proceedings fitness to practice law requisite for a member of
and must sign all pleadings, briefs and other the bar of this court; and
papers filed with the court and assume full respon- (3) is at least twenty-six years of age.
sibility for them and for the conduct of the cause (P.B. 1978-1997, Sec. 24B.) (Amended June 21, 2010, to
and of the attorney to whom such privilege is take effect Jan. 1, 2011.)
accorded. Where feasible, the application shall
be made to the judge before whom such cause Sec. 2-18. —Filings to Become Foreign
is likely to be tried. If not feasible, the application Legal Consultant
shall be made to the administrative judge in the (a) An applicant for a license to practice as a
judicial district where the matter is to be tried. foreign legal consultant shall file with the adminis-
Good cause for according such privilege shall be trative director of the bar examining committee:
limited to facts or circumstances affecting the per- (1) a typewritten application in the form pre-
sonal or financial welfare of the client and not the scribed by the committee;
attorney. Such facts may include a showing that (2) a certified check, cashier’s check, or money
by reason of a longstanding attorney-client rela- order in the amount of $500 made payable to the
tionship predating the cause of action or subject bar examining committee;
matter of the litigation at bar, the attorney has (3) a certificate from the authority in the foreign
acquired a specialized skill or knowledge with country having final jurisdiction over professional
respect to the client’s affairs important to the trial discipline, certifying to the applicant’s admission
of the cause, or that the litigant is unable to secure to practice (or the equivalent of such admission)
the services of Connecticut counsel. Upon the and the date thereof and to the applicant’s good
granting of an application to appear pro hac vice, standing as an attorney or counselor at law (or
the clerk of the court in which the application is the equivalent of either), together with a duly
granted shall immediately notify the statewide authenticated English translation of such certifi-
grievance committee of such action. Any person cate if it is not in English; and
granted permission to appear in a matter pursuant (4) two letters of recommendation, one from a
to this section shall comply with the requirements member in good standing of the Connecticut bar
of Sections 2-68 and 2-70 and shall pay such fee and another from either a member in good stand-
when due as prescribed by those sections for ing of the bar of the country in which the applicant
each year such person appears in the matter. If is licensed as an attorney, or from a judge of one
the clerk for the judicial district or appellate court of the courts of original jurisdiction of said country,
in which the matter is pending is notified that such together with a duly authenticated English transla-
person has failed to pay the fee as required by tion of each letter if it is not in English.
this section, the court shall determine after a hear- (b) Upon a showing that strict compliance with
ing the appropriate sanction, which may include the provisions of Section 2-17 (1) and subdivisions
termination of the privilege of appearing in the (3) or (4) of subsection (a) of this section is impos-
matter. sible or very difficult for reasons beyond the con-
(P.B. 1978-1997, Sec. 24.) (Amended June 24, 2002, to trol of the applicant, or upon a showing of
take effect July 1, 2003; May 14, 2003, effective date changed
to Oct. 1, 2003; Sept. 30, 2003, effective date changed to Jan.
exceptional professional qualifications to practice
1, 2004; amended June 29, 2007, to take effect Jan. 1, 2008; as a foreign legal consultant, the court may, in its
amended June 20, 2011, to take effect Jan. 1, 2012.) discretion, waive or vary the application of such
provisions and permit the applicant to make such
Sec. 2-17. Foreign Legal Consultants; other showing as may be satisfactory to the court.
Licensing Requirements (c) The committee shall investigate the qualifi-
Upon recommendation of the bar examining cations, moral character, and fitness of any appli-
committee, the court may license to practice as cant for a license to practice as a foreign legal
a foreign legal consultant, without examination, consultant and may in any case require the appli-
an applicant who: cant to submit any additional proof or information
(1) has been admitted to practice (or has as the committee may deem appropriate. The
obtained the equivalent of admission) in a foreign committee may also require the applicant to sub-
country, and has engaged in the practice of law mit a report from the National Conference of Bar
in that country, and has been in good standing Examiners, and to pay the prescribed fee therefor,
123
with respect to the applicant’s character and practice in the foreign country of his or her admis-
fitness. sion or in any other state or jurisdiction in which
(P.B. 1978-1997, Sec. 24C.) (Amended June 21, 2010, to said person has been admitted to practice law, or
take effect Jan. 1, 2011.) of any censure, reprimand, suspension, revoca-
Sec. 2-19. —Scope of Practice of Foreign tion or other disciplinary action relating to his or
Legal Consultants her right to practice in such country, state or juris-
diction.
A person licensed to practice as a foreign legal
consultant under these rules is limited to advising (b) Service of process on the clerk pursuant to
Connecticut clients only on the law of the foreign the designation filed as aforesaid shall be made
country in which such person is admitted to prac- by personally delivering to and leaving with the
tice law. Such person shall not: clerk, or with a deputy or assistant authorized by
(1) in any way hold himself or herself out as a the clerk to receive service, at the clerk’s office,
member of the bar of the state of Connecticut; or duplicate copies of such process together with a
(2) use in this state any title other than ‘‘Foreign fee of $20. Service of process shall be complete
Legal Consultant,’’ but in conjunction therewith when the clerk has been so served. The clerk
may indicate the foreign country in which he or shall promptly send one of the copies to the for-
she is licensed to practice law. eign legal consultant to whom the process is
(P.B. 1978-1997, Sec. 24D.) directed, by certified mail, return receipt requested
or with electronic delivery confirmation,
Sec. 2-20. —Disciplinary Provisions regard- addressed to the foreign legal consultant at the
ing Foreign Legal Consultants address given to the court by the foreign legal
(a) Every person licensed to practice as a for- consultant as aforesaid.
eign legal consultant under these rules: (c) In imposing any sanction authorized by sub-
(1) shall be subject to the Connecticut Rules of section (a) (1), the court may act sua sponte or on
Professional Conduct and to the rules of practice the recommendation of the statewide grievance
regulating the conduct of attorneys in this state committee. To the extent feasible, the court shall
to the extent applicable to the legal services proceed in a manner consistent with the rules of
authorized under these rules, and shall be subject practice governing discipline of the bar of the state
to reprimand, suspension, or revocation of license of Connecticut.
to practice as a foreign legal consultant by the (P.B. 1978-1997, Sec. 24E.) (Amended June 29, 1998, to
court; take effect Sept. 1, 1998; amended June 14, 2013, to take
(2) shall execute and file with the clerk, in such effect Jan. 1, 2014.)
form and manner as the court may prescribe: Sec. 2-21. —Affiliation of Foreign Legal
(A) a written commitment to observe the Con- Consultant with the Bar of the State of Con-
necticut Rules of Professional Conduct and other necticut
rules regulating the conduct of attorneys as
referred to in subsection (a) (1) of this section, (a) A foreign legal consultant licensed under
(B) an undertaking or appropriate evidence of these rules shall not be a member of the Connecti-
professional liability insurance, in such amount as cut bar, provided, however, that a foreign legal
the court may prescribe, to assure the foreign consultant shall be considered an affiliate of the
legal consultant’s proper professional conduct bar subject to the same conditions and require-
and responsibility, ments as are applicable to an active or inactive
(C) a duly acknowledged instrument in writing member of the bar under the court’s rules govern-
setting forth the foreign legal consultant’s address ing the bar of the state of Connecticut, insofar as
in the state of Connecticut or United States, and such conditions and requirements may be consis-
designating the clerk of the superior court for the tent with the provisions of these rules.
judicial district of Hartford as his or her agent upon (b) A foreign legal consultant licensed under
whom process may be served. Such service shall these rules shall, upon being so licensed, take
have the same effect as if made personally upon the following oath before this court, unless granted
the foreign legal consultant, in any action or pro- permission to take the oath in absentia:
ceeding thereafter brought against the foreign ‘‘I, , do solemnly swear (or affirm)
legal consultant and arising out of or based upon that as a foreign legal consultant with respect to
any legal services rendered or offered to be ren- the laws of , licensed by this court, I
dered by the foreign legal consultant within or to will conduct myself uprightly and according to the
residents of the state of Connecticut, and laws of the State of Connecticut and the rules of
(3) a written commitment to notify the clerk of the court.’’
the foreign legal consultant’s resignation from (P.B. 1978-1997, Sec. 24F.)
124
Sec. 2-22. Disposition of Fees for Admis- of any attorney in his or her county of which such
sion to the Bar clerk knows.
(a) All fees paid under the preceding sections (c) The clerk for Hartford county shall forthwith
of these rules shall be transmitted to the treasurer notify the clerks of the superior court and the clerk
of the bar examining committee. Such fees, of the United States district court for the district
together with any interest earned thereon, shall of Connecticut, at New Haven, of all suspensions,
be applied to the payment of the necessary and disbarments, resignations, placements in inactive
reasonable expenses incurred by the bar examin- status, retirements, revocations of retirements,
ing committee, the standing committees on rec- or reinstatements.
(P.B. 1978-1997, Sec. 26.)
ommendations for admission in the several
counties and the staff assigned by the chief court Sec. 2-24. Notice by Attorney of Admission
administrator pursuant to Section 2-6, and to the in Other Jurisdictions
salaries and benefits of such staff. Such reason- An attorney who is admitted to practice at the
able expenses shall not include charges for tele- bar of another state, the District of Columbia, or
phone and office space utilized by such staff in the commonwealth of Puerto Rico, or of any
the performance of their duties. Expenses shall United States court, shall send to the Connecticut
not be paid except upon authorization of the chair statewide bar counsel written notice of all such
of the bar examining committee, or the chair’s jurisdictions in which he or she is admitted to prac-
designee. The bar examining committee and the tice within thirty days of admission to practice in
county standing committees shall follow such such jurisdiction.
established judicial branch guidelines, directives (P.B. 1978-1997, Sec. 26A.)
and policies with regard to fiscal, personnel and Sec. 2-25. Notice by Attorney of Disciplinary
purchasing matters as deemed by the chief court Action in Other Jurisdictions
administrator to be applicable to them. Surplus
moneys may, with the approval of the committee, An attorney shall send to the statewide bar
counsel written notice of all disciplinary actions
be turned over from time to time to the executive
imposed by the courts of another state, the District
secretary of the judicial branch for deposit as court
of Columbia, or the commonwealth of Puerto Rico,
revenue in the general fund of the state of Con-
or of any United States court, within thirty days
necticut. of the order directing the disciplinary action.
(b) The bar examining committee, when neces- (P.B. 1978-1997, Sec. 26B.)
sary, shall contract with individuals to serve as
proctors and with attorneys to serve as bar exami- Sec. 2-26. Notice by Attorney of Change in
nation graders and with law school faculty and Address
other qualified persons to provide bar examination An attorney shall send prompt written notice of
essay questions and shall establish an appro- a change in mailing and street address to the
priate fee schedule for such services. statewide grievance committee on a registration
(P.B. 1978-1997, Sec. 25.) form approved by the statewide bar counsel and
to the clerks of the courts where the attorney has
Sec. 2-23. Roll of Attorneys entered an appearance.
(a) The statewide bar counsel shall forward to (P.B. 1978-1997, Sec. 27.)
the clerk for Hartford county for certification a roll Sec. 2-27. Clients’ Funds; Lawyer Regis-
of the attorneys of the state and the said clerk tration
shall keep said roll. The clerk for any other county (Amended June 29, 2007, to take effect Jan.1, 2008.)
in which an attorney is admitted shall forthwith (a) Consistent with the requirement of Rule 1.15
certify such action, with the date and the residence of the Rules of Professional Conduct, each lawyer
of the attorney, to the clerk for Hartford county, or law firm shall maintain, separate from the law-
the statewide bar counsel and the administrative yer’s or the firm’s personal funds, one or more
director of the bar examining committee. accounts accurately reflecting the status of funds
(b) The clerk for any county in which an attorney handled by the lawyer or firm as fiduciary or attor-
is suspended, disbarred, resigned, placed in an ney, and shall not use such funds for any unautho-
inactive status, reinstated, or otherwise formally rized purpose.
and publicly disciplined by the court shall forthwith (b) Each lawyer or law firm maintaining one or
certify such action with the date, the residence of more trust accounts as defined in Rule 1.15 of
the attorney and a certified copy of the court order the Rules of Professional Conduct and Section 2-
to the statewide bar counsel and to the clerk for 28 (b) shall keep records of the maintenance and
Hartford county, and shall notify them of the death disposition of all funds of clients or of third persons
125
held by the lawyer or firm in a fiduciary capacity with the consent of the lawyer, to any other per-
from the time of receipt to the time of final distribu- son. The registration requirements of this subsec-
tion. Each lawyer or law firm shall retain the tion shall not apply to judges of the supreme,
records required by Rule 1.15 of the Rules of appellate or superior courts, judge trial referees,
Professional Conduct for a period of seven years family support magistrates, federal judges, federal
after termination of the representation. magistrate judges, federal administrative law
(c) Such books of account and statements of judges or federal bankruptcy judges.
reconciliation, and any other records required to (e) The statewide grievance committee or its
be maintained pursuant to Rule 1.15 of the Rules counsel may conduct random inspections and
of Professional Conduct, shall be made available audits of accounts maintained pursuant to Rule
upon request of the statewide grievance commit- 1.15 of the Rules of Professional Conduct to
tee or its counsel, or the disciplinary counsel for determine whether such accounts are in compli-
ance with the Rule and this section. If any random
review, examination or audit upon receipt of notice
inspection or audit performed under this subsec-
by the statewide grievance committee of an over- tion discloses an apparent violation of this section
draft notice as provided by Section 2-28 (f). Upon or the Rules of Professional Conduct, the matter
the filing of a grievance complaint or a finding may be referred to a grievance panel for further
of probable cause, such records shall be made investigation or to the disciplinary counsel for pre-
available upon request of the statewide grievance sentment to the superior court. Any lawyer whose
committee, its counsel or the disciplinary counsel accounts are selected for inspection or audit
for review or audit. under this section shall fully cooperate with the
(d) Each lawyer shall register with the statewide inspection or audit, which cooperation shall not
grievance committee, on a form devised by the be construed to be a violation of Rule 1.6 (a) of
committee, the address of the lawyer’s office or the Rules of Professional Conduct. Any records,
offices maintained for the practice of law, the law- documents or information obtained or produced
yer’s office e-mail address and business tele- pursuant to a random inspection or audit shall
phone number, the name and address of every remain confidential unless and until a present-
financial institution with which the lawyer main- ment is initiated by the disciplinary counsel alleg-
tains any account in which the funds of more than ing a violation of Rule 1.15 of the Rules of
one client are kept and the identification number Professional Conduct or of this section, or proba-
of any such account. Such registrations will be ble cause is found by the grievance panel, the
made on an annual basis and at such time as the statewide grievance committee or a reviewing
lawyer changes his or her address or addresses committee. Contemporaneously with the com-
or location or identification number of any such mencement of a presentment or the filing of a
trust account in which the funds of more than grievance complaint, notice shall be given in writ-
one client are kept. The registration forms filed ing by the statewide grievance committee to any
client or third person whose identity may be pub-
pursuant to this subsection and pursuant to Sec-
licly disclosed through the disclosure of records
tion 2-26 shall not be public; however, all informa-
obtained or produced in accordance with this sub-
tion obtained by the statewide grievance section. Thereafter, public disclosure of such
committee from these forms shall be public, records shall be subject to the client or third per-
except the following: trust account identification son having thirty days from the issuance of the
numbers; the lawyer’s home address; the lawyer’s notice to seek a court order restricting publication
office e-mail address; and the lawyer’s birth date. of any such records disclosing confidential infor-
Unless otherwise ordered by the court, all non- mation. During the thirty day period, or the pen-
public information obtained from these forms shall dency of any such motion, any document filed
be available only to the statewide grievance com- with the court or as part of a grievance record
mittee and its counsel, the reviewing committees, shall refer to such clients or third persons by
the grievance panels and their counsel, the bar pseudonyms or with appropriate redactions,
examining committee, the standing committee on unless otherwise ordered by the court.
recommendations for admission to the bar, disci- (f) Violation of this section shall constitute mis-
plinary counsel, the client security fund committee conduct.
and its counsel, a judge of the superior court, a (P.B. 1978-1997, Sec. 27A.) (Amended June 25, 2001, to
judge of the United States District Court for the take effect Jan. 1, 2002; amended June 24, 2002, to take
effect July 1, 2003; May 14, 2003, effective date changed to
District of Connecticut, any grievance committee Oct. 1, 2003; Sept. 30, 2003, effective date changed to Jan.
or other disciplinary authority of the United States 1, 2004; amended June 26, 2006, to take effect Jan. 1, 2007,
District Court for the District of Connecticut or, and with respect to subsection (e), July 1, 2007; amended
126
June 29, 2007, to take effect Jan. 1, 2008; amended June 30, account are deposited within one business day
2008, to take effect Jan. 1, 2009; amended June 20, 2011, of the presentation of the instrument. No report
to take effect Jan. 1, 2012.)
shall be required in the case of an instrument
Sec. 2-28. Overdraft Notification presented and paid against uncollected funds.
(a) The terms used in this section are defined (e) Any such agreement shall not be cancelled
as follows: by a financial institution except upon thirty days
(1) ‘‘Financial institution’’ includes banks, sav- written notice to the statewide grievance commit-
ings and loan associations, credit unions, savings tee. The statewide grievance committee shall
banks and any other business or person which establish rules governing approval and termina-
accepts for deposit funds held in trust by tion of approved status for financial institutions,
attorneys. and shall publish annually a list of approved insti-
(2) ‘‘Properly payable’’ refers to an instrument tutions. Any such agreement shall apply to all
which, if presented in the normal course of busi- branches of the financial institution in Connecticut
ness, is in a form requiring payment under law. and shall not be cancelled except upon thirty days
(3) ‘‘Insufficient funds’’ refers to the status of notice in writing to the statewide grievance com-
an account that does not contain sufficient funds mittee.
available to pay a properly payable instrument. (f) The financial institution shall report to the
(4) ‘‘Uncollected funds’’ refers to funds depos- statewide grievance committee within seven busi-
ited in an account and available to be drawn upon ness days from the date of such presentation, any
but not yet deemed by the financial institution to instrument presented against insufficient funds on
have been collected. any trust funds account unless funds in an amount
(b) Attorneys shall deposit all funds held in any sufficient to cover the deficiency in the account
fiduciary capacity in accounts clearly identified as are deposited within one business day of the pre-
‘‘trust,’’ ‘‘client funds’’ or ‘‘escrow’’ accounts, sentation of the instrument. The report shall be
referred to herein as ‘‘trust accounts,’’ and shall accompanied by a copy of the instrument.
take all steps necessary to inform the depository (g) The statewide grievance committee may
institution of the purpose and identity of such delegate to the statewide bar counsel the authority
accounts. Funds held in trust include funds held to investigate overdraft notifications and deter-
in any fiduciary capacity in connection with a rep- mine that no misconduct has occurred or that no
resentation in Connecticut, whether as trustee, further action is warranted. Any determination that
agent, guardian, executor or otherwise. Where misconduct may have occurred and a grievance
an attorney fiduciary has the right to draw by a complaint should be initiated, unless such com-
properly payable instrument on such trust account plaint is premised upon the failure of an attorney
in which the funds of more than one client are to file an explanation of an overdraft, shall be
kept, such account shall be maintained only in made by the statewide grievance committee.
financial institutions approved by the statewide (h) Upon receipt of notification of an overdraft,
grievance committee. No such trust account in the statewide grievance committee, its counsel or
which the funds of more than one client are kept disciplinary counsel may request that the attorney
shall be maintained in any financial institution in produce such books of account and statements
Connecticut which does not file the agreement of reconciliation, and any other records required
required by this section. Violation of this subsec- to be maintained pursuant to Section 2-27 (b)
tion shall constitute misconduct. for review, examination or audit. Failure of the
(c) Attorneys regularly maintaining funds in a attorney to respond to inquiries of the statewide
fiduciary capacity shall register any account in grievance committee, its counsel, or disciplinary
which the funds of more than one client are kept counsel, or to produce the requested books of
with the statewide grievance committee in accord- account and statements of reconciliation or other
ance with Section 2-27 (d). records shall be grounds for disciplinary counsel
(d) A financial institution shall be approved as to file an application for an interim suspension in
a depository for attorney trust accounts only if it accordance with the provisions of Section 2-42.
files with the statewide grievance committee an (i) Every attorney practicing or admitted to prac-
agreement, in a form provided by the committee, tice in Connecticut shall, as a condition thereof,
to report to the committee the fact that an instru- be conclusively presumed to have authorized the
ment has been presented against an attorney trust reporting and production requirements of this sec-
account containing insufficient funds, irrespective tion. Where an attorney qualifies as executor of
of whether or not the instrument is honored. No a will or as trustee or successor fiduciary, the
report shall be required if funds in an amount attorney fiduciary shall have a reasonable time
sufficient to cover the deficiency in the trust after qualification to bring preexisting trust
127
accounts into compliance with the provisions of changes relating to an attorney or firm, or a tomb-
this section. stone professional card;
(P.B. 1978-1997, Sec. 27A.1.) (Amended June 24, 2002, (5) A communication sent only to:
to take effect July 1, 2003; May 14, 2003, effective date
changed to Oct. 1, 2003; Sept. 30, 2003, effective date
(i) Existing or former clients;
changed to Jan. 1, 2004; amended June 26, 2006, to take (ii) Other attorneys or professionals; business
effect Jan. 1, 2007.) organizations including trade groups; not-for-
profit organizations; governmental bodies and/or
Sec. 2-28A. Attorney Advertising; Manda- (iii) Members of a not-for-profit organization that
tory Filing meets the following conditions: the primary pur-
(a) Any attorney who advertises services to the poses of the organization do not include the rendi-
public through any media, electronic or otherwise, tion of legal services; the recommending,
or through written or recorded communication pur- furnishing, paying for or educating persons
suant to Rule 7.2 of the Rules of Professional regarding legal services is incidental and reason-
Conduct shall file a copy of each such advertise- ably related to the primary purposes of the organi-
ment or communication with the statewide griev- zation; the organization does not derive a financial
ance committee either prior to or concurrently with benefit from the rendition of legal services by an
the attorney’s first dissemination of the advertise- attorney; and the person for whom the legal ser-
ment or written or recorded communication, vices are rendered, and not the organization, is
except as otherwise provided in subsection (b) recognized as the client of the attorney who is
herein. The materials shall be filed in a format recommended, furnished, or paid for by the orga-
prescribed by the statewide grievance committee, nization.
which may require them to be filed electronically. (6) Communication that is requested by a pro-
Any such submission in a foreign language must
spective client.
include an accurate English language translation.
The filing shall consist of the following: (7) The contents of an attorney’s Internet web-
(1) A copy of the advertisement or communica- site that appears under any of the domain names
tion in the form or forms in which it is to be dissem- submitted pursuant to subdivision (3) of subsec-
inated (e.g., videotapes, DVDs, audiotapes, tion (a).
compact discs, print media, photographs of out- (c) If requested by the statewide grievance com-
door advertising); mittee, an attorney shall promptly submit informa-
(2) A transcript, if the advertisement or commu- tion to substantiate statements or representations
nication is in video or audio format; made or implied in any advertisement in the public
(3) A list of domain names used by the attorney media and/or written or recorded communi-
primarily to offer legal services, which shall be cations.
updated quarterly; (d) The statewide bar counsel shall review
(4) A sample envelope in which the written com- advertisements and communications filed pursu-
munication will be enclosed, if the communication ant to this section that have been selected for such
is to be mailed; review on a random basis. If after such review the
(5) A statement listing all media in which the statewide bar counsel determines that an adver-
advertisement or communication will appear, the tisement or communication does not comply with
anticipated frequency of use of the advertisement the Rules of Professional Conduct, the statewide
or communication in each medium in which it will bar counsel shall in writing advise the attorney
appear, and the anticipated time period during responsible for the advertisement or communica-
which the advertisement or communication will tion of the noncompliance and shall attempt to
be used. resolve the matter with such attorney. If the matter
(b) The filing requirements of subsection (a) do is not resolved to the satisfaction of the statewide
not extend to any of the following materials: bar counsel, he or she shall forward the advertise-
(1) An advertisement in the public media that ment or communication and a statement describ-
contains only the information, in whole or in part, ing the attempt to resolve the matter to the
contained in Rule 7.2 (i) of the Rules of Profes- statewide grievance committee for review. If, after
sional Conduct, provided the information is not reviewing the advertisement or communication,
false or misleading; the statewide grievance committee determines
(2) An advertisement in a telephone directory; that it violates the Rules of Professional Conduct,
(3) A listing or entry in a regularly published it shall forward a copy of its file to the disciplinary
law list; counsel and direct the disciplinary counsel to file
(4) An announcement card stating new or a presentment against the attorney in the supe-
changed associations, new offices, or similar rior court.
128
SUPERIOR COURT—GENERAL PROVISIONS Sec. 2-28B
(e) The procedure set forth in subsection (d) background sounds that will be depicted or con-
shall apply only to advertisements and communi- tained on such videotapes or DVDs, when pre-
cations that are reviewed as part of the random pared, as well as the narrative transcript of the
review process. If an advertisement or communi- verbal and printed portions of such advertisement.
cation comes to the attention of the statewide bar (b) An advisory opinion shall be issued, without
counsel other than through that process, it shall a hearing, by the statewide grievance committee
be handled pursuant to the grievance procedure or by a reviewing committee assigned by the
that is set forth in Section 2-29 et seq. statewide grievance committee. Such reviewing
(f) The materials required to be filed by this committee shall consist of at least three members
section shall be retained by the statewide griev- of the statewide grievance committee, at least
ance committee for a period of one year from the one-third of whom are not attorneys.
date of their filing, unless, at the expiration of (c) An advisory opinion issued by the statewide
the one year period, there is pending before the grievance committee or a reviewing committee
finding noncompliance with the Rules of Profes-
statewide grievance committee, a reviewing com-
sional Conduct is not binding in a disciplinary pro-
mittee, or the court a proceeding concerning such ceeding, but a finding of compliance is binding in
materials, in which case the materials that are the favor of the submitting attorney in a disciplinary
subject of the proceeding shall be retained until proceeding if the representations, statements,
the expiration of the proceeding or for such other materials, facts and written assurances received
period as may be prescribed by the statewide in connection therewith are not false or mis-
grievance committee. leading. The finding constitutes admissible evi-
(g) Except for records filed in court in connection dence if offered by a party. If a request for an
with a presentment brought pursuant to subsec- advisory opinion is made within 60 days of the
tion (d), records maintained by the statewide bar effective date of this section, the statewide griev-
counsel, the statewide grievance committee and/ ance committee or reviewing committee shall
or the disciplinary counsel’s office pursuant to this issue its advisory opinion within 45 days of the
section shall not be public. Nothing in this rule filing of the request. Thereafter, the statewide
shall prohibit the use or consideration of such grievance committee or reviewing committee shall
records in any subsequent disciplinary or client issue its advisory opinion within 30 days of the
security fund proceeding and such records shall filing of the request. For purposes of this section,
be available in such proceedings to a judge of the an advisory opinion is issued on the date notice
superior court or to the standing committee on of the opinion is transmitted to the attorney who
recommendations for admission to the bar, to dis- requested it pursuant to subsection (a) herein.
ciplinary counsel, to the statewide bar counsel or (d) If requested by the statewide grievance
assistant bar counsel, or, with the consent of the committee or a reviewing committee, the attorney
respondent, to any other person, unless otherwise seeking an advisory opinion shall promptly submit
ordered by the court. information to substantiate statements or repre-
sentations made or implied in such attorney’s
(h) Violation of subsections (a) or (c) shall con-
advertisement. The time period set forth in sub-
stitute misconduct.
section (c) herein shall be tolled from the date of
(Adopted June 26, 2006, to take effect July, 1, 2007;
the committee’s request to the date the requested
information is filed with the committee.
Sec. 2-28B. —Advisory Opinions (e) If an advisory opinion is not issued by the
statewide grievance committee or a reviewing
(a) An attorney who desires to secure an committee within the time prescribed in this sec-
advance advisory opinion concerning compliance tion, the advertisement or communication for
with the Rules of Professional Conduct of a con- which the opinion was sought shall be deemed
templated advertisement or communication may to be in compliance with the Rules of Profes-
submit to the statewide grievance committee, not sional Conduct.
less than 30 days prior to the date of first dissemi- (f) If, after receiving an advisory opinion finding
nation, the material specified in Section 2-28A (a) that an advertisement or communication violates
accompanied by a fee established by the chief the Rules of Professional Conduct, the attorney
court administrator. It shall not be necessary to disseminates such advertisement or communica-
submit a videotape or DVD if the videotape or tion, the statewide grievance committee, upon
DVD has not then been prepared and the produc- receiving notice of such dissemination, shall for-
tion script submitted reflects in detail and accu- ward a copy of its file concerning the matter to
rately the actions, events, scenes, and the disciplinary counsel and direct the disciplinary
129
Sec. 2-28B SUPERIOR COURT—GENERAL PROVISIONS
counsel to file a presentment against the attorney (b) Consideration for appointment to these posi-
in the superior court. tions shall be given to those candidates recom-
(g) Except for advisory opinions, all records mended to the appointing authority by the
maintained by the statewide grievance committee administrative judges.
pursuant to this section shall not be public. Advi- (c) In the event that more than one panel has
sory opinions issued pursuant to this section shall been appointed to serve a particular judicial dis-
not be public for a period of 30 days from the date trict, the executive committee of the superior court
of their issuance. During that 30 day period the shall establish the jurisdiction of each such panel.
advisory opinion shall be available only to the (d) An attorney who maintains an office for the
attorney who requested it pursuant to subsection practice of law in the same judicial district as a
(a), to the statewide grievance committee or its respondent may not participate as a member of
counsel, to reviewing committees, to grievance a grievance panel concerning a complaint against
panels, to disciplinary counsel, to a judge of the that respondent.
superior court, and, with the consent of the attor- (e) In addition to any other powers and duties
ney who requested the opinion, to any other per- set forth in this chapter, each panel shall:
son. Nothing in this rule shall prohibit the use or (1) On its own motion or on complaint of any
consideration of such records in any subsequent person, inquire into and investigate offenses
disciplinary or client security fund proceeding and whether or not occurring in the actual presence
such records shall be available in such proceed- of the court involving the character, integrity, pro-
ings to a judge of the superior court or to the fessional standing and conduct of members of the
standing committee on recommendations for bar in this state.
admission to the bar, to disciplinary counsel, to the
statewide bar counsel or assistant bar counsel, or, (2) Compel any person by subpoena to appear
with the consent of the respondent, to any other before it to testify in relation to any matter deemed
person, unless otherwise ordered by the court. by the panel to be relevant to any inquiry or investi-
(Adopted June 26, 2006, to take effect July 1, 2007.) gation it is conducting and to produce before it
for examination any books or papers which, in its
Sec. 2-29. Grievance Panels judgment, may be relevant to such inquiry or
(a) The judges of the superior court shall investigation.
appoint one or more grievance panels in each (3) Utilize a court reporter or court recording
judicial district, each consisting of two members monitor employed by the judicial branch to record
of the bar who do not maintain an office for the any testimony taken before it.
practice of law in such judicial district and one (f) The grievance panel may, upon the vote of a
nonattorney who resides in such judicial district, majority of its members, require that a disciplinary
and shall designate as an alternate member a counsel pursue the matter before the grievance
member of the bar who does not maintain an panel on the issue of probable cause.
office for the practice of law in such judicial district. (P.B. 1978-1997, Sec. 27B.) (Amended June 24, 2002, to
Terms shall commence on July 1. Appointments take effect July 1, 2003; May 14, 2003, effective date changed
shall be for terms of three years. No person may to Oct. 1, 2003; Sept. 30, 2003, effective date changed to Jan.
1, 2004.)
serve as a member and/or as an alternate mem-
ber for more than two consecutive three year Sec. 2-30. Grievance Counsel for Panels
terms, but may be reappointed after a lapse of and Investigators
one year. The appointment of any member or
alternate member may be revoked or suspended (a) The judges of the superior court shall
by the judges or by the executive committee of appoint, as set forth below, attorneys to serve
the superior court. In connection with such revoca- either on a part-time or full-time basis as grievance
tion or suspension, the judges or the executive counsel for grievance panels, and shall appoint
committee shall appoint a qualified individual to one or more investigators either on a full-time or
fill the vacancy for the balance of the term or for part-time basis. The investigators so appointed
any other appropriate period. In the event that a shall serve the statewide grievance committee,
vacancy arises on a panel before the end of a the reviewing committees and the grievance pan-
term by reasons other than revocation or suspen- els and shall be under the supervision of the state-
sion, the executive committee of the superior court wide bar counsel. These appointments shall be
shall appoint an attorney or nonattorney, for a term of one year commencing July 1. In
depending on the position vacated, who meets the event that a vacancy arises in any of these
the appropriate condition set forth above to fill the positions before the end of a term, the executive
vacancy for the balance of the term. committee of the superior court shall appoint a
130
qualified individual to fill the vacancy for the bal- with subdivisions (1), (2) or (3) of this subsection
ance of the term. Compensation for these posi- as follows:
tions shall be paid by the judicial branch. Such (1) forward the complaint to a grievance panel
appointees may be placed on the judicial branch in the judicial district in which the respondent
payroll or be paid on a contractual basis. maintains his or her principal office or residence,
(b) Consideration for appointment to the posi- provided that, if the respondent does not maintain
tion of grievance counsel for a grievance panel such an address in this state, the statewide bar
shall be given to those candidates recommended counsel shall forward the complaint to any griev-
to the appointing authority by the resident judges ance panel and notify the complainant and the
in the judicial district or districts to which the respondent, by certified mail with return receipt
appointment is to be made. or with electronic delivery confirmation, of the
(c) The executive committee of the superior panel to which the complaint was sent. The notifi-
court shall determine the number of grievance cation to the respondent shall be accompanied
counsel to serve one or more grievance panels. by a copy of the complaint. The respondent shall
(P.B. 1978-1997, Sec. 27D.) respond within thirty days of the date notification
is mailed to the respondent unless for good cause
Sec. 2-31. Powers and Duties of Grievance shown such time is extended by the grievance
Counsel panel. The response shall be sent to the grievance
Grievance counsel shall have the following panel to which the complaint has been referred.
powers and duties: The failure to file a timely response shall constitute
(1) Upon referral of the complaint to the griev- misconduct unless the respondent establishes
ance panel, to confer with and, if possible, meet that the failure to respond timely was for good
with the complainants and assist them in under- cause shown;
standing the grievance process set forth in these (2) refer the complaint to the chair of the state-
rules and to answer questions complainants may wide grievance committee or an attorney desig-
have concerning that process. nee of the chair and to a nonattorney member of
(2) To investigate all complaints received by the the committee, and the statewide bar counsel in
grievance panel from the statewide bar counsel conjunction with the chair or attorney designee
involving alleged misconduct of an attorney sub- and the nonattorney member shall, if deemed
ject to the jurisdiction of the superior court. appropriate, dismiss the complaint on one or more
(3) To assist the grievance panels in carrying of the following grounds:
out their duties under this chapter. (A) the complaint only alleges a fee dispute and
(4) When determined to be necessary by the not a clearly excessive or improper fee;
statewide grievance committee, to assist (B) the complaint does not allege facts which,
reviewing committees of the statewide grievance if true, would constitute a violation of any provision
committee in conducting hearings before said of the applicable rules governing attorney
reviewing committees. conduct;
(C) the complaint does not contain sufficient
(5) If the grievance panel has dismissed the
specific allegations on which to conduct an investi-
complaint, to assist the complainant in under-
gation;
standing the reasons for the dismissal.
(P.B. 1978-1997, Sec. 27E.) (Amended June 24, 2002, to
(D) the complaint is duplicative of a previously
take effect July 1, 2003; May 14, 2003, effective date changed adjudicated complaint;
to Oct. 1, 2003; Sept. 30, 2003, effective date changed to Jan. (E) the complaint alleges that the last act or
1, 2004.) omission constituting the alleged misconduct
occurred more than six years prior to the date on
Sec. 2-32. Filing Complaints against Attor- which the complaint was filed;
neys; Action; Time Limitation (i) Notwithstanding the period of limitation set
(a) Any person, including disciplinary counsel, forth in this subparagraph, an allegation of mis-
or a grievance panel on its own motion, may file conduct that would constitute a violation of Rule
a written complaint, executed under penalties of 1.15, 8.1 or 8.4 (2) through (6) of the Rules of
false statement, alleging attorney misconduct Professional Conduct may still be considered as
whether or not such alleged misconduct occurred long as a written complaint is filed within one year
in the actual presence of the court. Complaints of the discovery of such alleged misconduct.
against attorneys shall be filed with the statewide (ii) Each period of limitation in this subpara-
bar counsel. Within seven days of the receipt of graph is tolled during any period in which: (1) the
a complaint, the statewide bar counsel shall alleged misconduct remains undiscovered due to
review the complaint and process it in accordance active concealment; (2) the alleged misconduct
131
would constitute a violation of Rule 1.8 (c) and chair or attorney designee and nonattorney mem-
the conditions precedent of the instrument have ber it is determined that the complaint should be
not been satisfied; (3) the alleged misconduct is forwarded to a grievance panel for investigation
part of a continuing course of misconduct; or (4) in accordance with subsections (f) through (j) of
the aggrieved party is under the age of majority, this section, the complaint shall be so forwarded in
insane, or otherwise unable to file a complaint accordance with subsection (a) (1) of this section
due to mental or physical incapacitation. within seven days of the determination to forward
(F) the complaint alleges misconduct occurring the complaint.
in a superior court, appellate court or supreme (c) If the complaint is dismissed by the statewide
court action and the court has been made aware bar counsel in conjunction with the chair or attor-
of the allegations of misconduct and has rendered ney designee and nonattorney member, the com-
a decision finding misconduct or finding that either plainant and respondent shall be notified of the
no misconduct has occurred or that the allegations dismissal in writing. The respondent shall be pro-
should not be referred to the statewide griev- vided with a copy of the complaint with the notice
ance committee; of dismissal. The notice of dismissal shall set forth
(G) the complaint alleges personal behavior the reason or reasons for the dismissal. The com-
outside the practice of law which does not consti- plainant shall have fourteen days from the date
tute a violation of the Rules of Professional notice of the dismissal is mailed to the complain-
Conduct; ant to file an appeal of the dismissal. The appeal
(H) the complaint alleges the nonpayment of shall be in writing setting forth the basis of the
incurred indebtedness; appeal and shall be filed with the statewide bar
(I) the complaint names only a law firm or other counsel who shall forward it to a reviewing com-
entity and not any individual attorney, unless dis- mittee for decision on the appeal. The reviewing
missal would result in gross injustice. If the com- committee shall review the appeal and render a
plaint names a law firm or other entity as well as decision thereon within sixty days of the filing of
an individual attorney or attorneys, the complaint the appeal. The reviewing committee shall either
shall be dismissed only as against the law firm affirm the dismissal of the complaint or order the
or entity; complaint forwarded to a grievance panel for
(J) the complaint alleges misconduct occurring investigation in accordance with subsections (f)
in another jurisdiction in which the attorney is also through (j) of this section. The decision of the
admitted and in which the attorney maintains an
reviewing committee shall be in writing and mailed
office to practice law, and it would be more practi-
to the complainant. The decision of the reviewing
cable for the matter to be determined in the other
committee shall be final.
jurisdiction. If a complaint is dismissed pursuant
to this subdivision, it shall be without prejudice (d) The statewide bar counsel shall keep a
and the matter shall be referred by the statewide record of all complaints filed. The complainant
bar counsel to the jurisdiction in which the conduct and the respondent shall notify the statewide bar
is alleged to have occurred. counsel of any change of address or telephone
(3) If a complaint alleges only a fee dispute number during the pendency of the proceedings
within the meaning of subsection (a) (2) (A) of this on the complaint.
section, the statewide bar counsel in conjunction (e) If for good cause a grievance panel declines,
with the chairperson or attorney designee and the or is unable pursuant to Section 2-29 (d), to inves-
nonattorney member may stay further proceed- tigate a complaint, it shall forthwith return the com-
ings on the complaint on such terms and condi- plaint to the statewide bar counsel to be referred
tions as deemed appropriate, including referring by him or her immediately to another panel. Notifi-
the parties to fee arbitration. The record and result cation of such referral shall be given by the state-
of any such fee arbitration shall be filed with the wide bar counsel to the complainant and the
statewide bar counsel and shall be dispositive of respondent by certified mail with return receipt or
the complaint. A party who refuses to utilize the with electronic delivery confirmation.
no cost fee arbitration service provided by the (f) The grievance panel, with the assistance of
Connecticut Bar Association shall pay the cost of the grievance counsel assigned to it, shall investi-
the arbitration. gate each complaint to determine whether proba-
(b) The statewide bar counsel, chair or attorney ble cause exists that the attorney is guilty of
designee and nonattorney member shall have misconduct. The grievance panel may, upon the
fourteen days from the date the complaint was vote of a majority of its members, require that a
filed to determine whether to dismiss the com- disciplinary counsel pursue the matter before the
plaint. If after review by the statewide bar counsel, grievance panel on the issue of probable cause.
132
(g) Investigations and proceedings of the griev- forwarded to and heard by another panel or a
ance panel shall be confidential unless the attor- reviewing committee designated by the statewide
ney under investigation requests that such grievance committee.
investigation and proceedings be public. (k) The panel shall notify the complainant, the
(h) On the request of the respondent and for respondent, and the statewide grievance commit-
good cause shown, or on its own motion, the griev- tee of its determination. The determination shall
ance panel may conduct a hearing on the com- be a matter of public record if the panel determines
plaint. The complainant and respondent shall be that probable cause exists that the respondent is
entitled to be present at any proceedings on the guilty of misconduct.
complaint at which testimony is given and to have (P.B. 1978-1997, Sec. 27F.) (Amended June 29, 1998, to
counsel present, provided, however, that they take effect Jan. 1, 1999; amended June 28, 1999, to take
shall not be entitled to examine or cross-examine July 1, 2003; May 14, 2003, effective date changed to Oct. 1,
witnesses unless requested by the grievance 2003; amended June 30, 2003, to take effect Oct. 1, 2003;
panel. Sept. 30, 2003, effective date of two latest amendments
(i) The panel shall, within 110 days from the changed to Jan. 1, 2004; amended June 21, 2004, to take
date the complaint was referred to it, unless such effect Jan. 1, 2005; amended June 20, 2005, to take effect
time is extended pursuant to subsection (j), do Jan. 1, 2006; amended June 30, 2008, to take effect Jan. 1,
2009; amended June 15, 2012, to take effect Jan. 1, 2013;
one of the following: (1) If the panel determines amended June 14, 2013, to take effect Jan. 1, 2014.)
that probable cause exists that the respondent is
guilty of misconduct, it shall file the following with Sec. 2-33. Statewide Grievance Committee
the statewide grievance committee and with the (a) The judges of the superior court shall
disciplinary counsel: (A) its written determination appoint twenty-one persons to a committee to be
that probable cause exists that the respondent is known as the ‘‘statewide grievance committee.’’
guilty of misconduct, (B) a copy of the complaint At least seven shall not be attorneys and the
and response, (C) a transcript of any testimony remainder shall be members of the bar of this
heard by the panel, (D) a copy of any investigatory state. The judges shall designate one member
file and copies of any documents, transcripts or as chair and another as vice-chair to act in the
other written materials which were available to the absence or disability of the chair.
panel. These materials shall constitute the panel’s (b) All members shall serve for a term of three
record in the case. (2) If the panel determines that years commencing on July 1. Except as otherwise
no probable cause exists that the respondent is provided herein, no person shall serve as a mem-
guilty of misconduct, it shall dismiss the complaint ber for more than two consecutive three year
unless there is an allegation in the complaint that terms, excluding any appointments for less than
the respondent committed a crime. Such dis- a full term; a member may be reappointed after
missal shall be final and there shall be no review a lapse of one year. If the term of a member
of the matter by the statewide grievance commit- who is on a reviewing committee expires while a
tee, but the panel shall file with the statewide complaint is pending before that committee, the
grievance committee a copy of its decision dis- judges or the executive committee may extend
missing the complaint and the materials set forth the term of such member to such time as the
in subsection (i) (1) (B), (C) and (D). In cases in reviewing committee has completed its action on
which there is an allegation in the complaint that that complaint. In the event of such an extension
the respondent committed a crime, the panel shall the total number of statewide grievance commit-
file with the statewide grievance committee and tee members may exceed twenty-one. The
with disciplinary counsel its written determination appointment of any member may be revoked or
that no probable cause exists and the materials suspended by the judges or by the executive com-
set forth in subsection (i) (1) (B), (C) and (D). mittee of the superior court. In connection with
These materials shall constitute the panel’s record such revocation or suspension, the judges or the
in the case. executive committee shall appoint a qualified indi-
(j) The panel may file a motion for extension of vidual to fill the vacancy for the remainder of the
time not to exceed thirty days with the statewide term or for any other appropriate period. In the
grievance committee which may grant the motion event that a vacancy arises in this position before
only upon a finding of good cause. If the panel the end of a term by reasons other than revocation
does not complete its action on a complaint within or suspension, the executive committee of the
the time provided in this section, the statewide superior court shall fill the vacancy for the balance
grievance committee shall inquire into the delay of the term or for any other appropriate period.
and shall order that the panel take action on the Unless otherwise provided in this chapter, the
complaint forthwith, or order that the complaint be committee must have at least a quorum present to
133
act, and a quorum shall be eleven. The committee (3) Receive and maintain records forwarded to
shall act by a vote of a majority of those present the statewide bar counsel by the clerks of court
and voting, provided that a minimum of six votes pursuant to Sections 2-23 and 2-52 and by com-
for a particular action is necessary for the commit- plainants pursuant to Section 2-32.
tee to act. Members present but not voting due (4) For a fee established by the chief court
to disqualification, abstention, silence or a refusal administrator, certify the status of individuals who
to vote, shall be counted for purposes of establish- are or were members of the bar of this state at
ing a quorum, but not counted in calculating a the request of bar admission authorities of other
majority of those present and voting. jurisdictions or at the request of a member of the
(c) In addition to any other powers and duties bar of this state with respect to such member’s
set forth in this chapter, the statewide grievance status. In certifying the status of an individual, no
committee shall: information shall be provided to the requesting
(1) Institute complaints involving violations of entity, other than public information, without a
General Statutes § 51-88. waiver from that individual.
(2) Adopt rules to carry out its duties under this (5) Assist the statewide grievance committee
chapter which are not inconsistent with these and the reviewing committees in carrying out their
rules. duties under this chapter.
(3) Adopt rules for grievance panels to carry (P.B. 1978-1997, Sec. 27H.) (Amended June 24, 2002, to
out their duties under this chapter which are not to Oct. 1, 2003; Sept. 30, 2003, effective date changed to Jan.
inconsistent with these rules. 1, 2004; amended June 22, 2009, to take effect Jan. 1, 2010.)
(4) In its discretion, disclose that it or the state-
wide bar counsel has referred a complaint to a Sec. 2-34A. Disciplinary Counsel
panel for investigation when such disclosure is (a) There shall be a chief disciplinary counsel
deemed by the committee to be in the public and such disciplinary counsel and staff as are
interest. necessary. The chief disciplinary counsel and the
(P.B. 1978-1997, Sec. 27G.) disciplinary counsel shall be appointed by the
Sec. 2-34. Statewide Bar Counsel judges of the superior court for a term of one year
commencing July 1, except that initial appoint-
(a) The judges of the superior court shall ments shall be from such date as the judges deter-
appoint an attorney to act as statewide bar coun- mine through the following June 30. In the event
sel, and such additional attorneys to act as assis- that a vacancy arises in any of these positions
tant bar counsel as are necessary, for a term of before the end of a term, the executive committee
one year commencing July 1. In the event that a of the superior court may appoint a qualified indi-
vacancy arises in any such position before the vidual to fill the vacancy for the balance of the
end of a term, the executive committee of the term. The chief disciplinary counsel and disciplin-
superior court shall appoint an attorney to fill the ary counsel shall be assigned to the office of the
vacancy for the balance of the term. Compensa- chief court administrator for administrative pur-
tion for these positions shall be paid by the judicial poses and shall not engage in the private practice
branch. Such individuals shall be in the legal ser- of law. The term ‘‘disciplinary counsel’’ as used
vices division of the office of the chief court admin- in the rules for the superior court shall mean the
istrator and shall perform such other duties as chief disciplinary counsel or any disciplinary
may be assigned to them in that capacity. counsel.
(b) In addition to any other powers and duties (b) In addition to any other powers and duties
set forth in this chapter, the statewide bar counsel set forth in this chapter, disciplinary counsel shall:
or an assistant bar counsel shall: (1) Investigate each complaint which has been
(1) Report to the national disciplinary data bank forwarded, after a determination that probable
such requested information as is officially reported cause exists that the respondent is guilty of mis-
to the statewide bar counsel concerning attorneys conduct, by a grievance panel to the statewide
who have resigned pursuant to Section 2-52, or grievance committee for review pursuant to Sec-
whose unethical conduct has resulted in disciplin- tion 2-32 (i) and pursue such matter before the
ary action by the court or by the statewide griev- statewide grievance committee or reviewing com-
ance committee, or who have been placed on mittee. When, after a determination of no probable
inactive status pursuant to Sections 2-56 through cause by a grievance panel, a complaint is for-
2-62. warded to the statewide grievance committee
(2) Receive and maintain information forwarded because it contains an allegation that the respon-
to the statewide bar counsel by the national disci- dent committed a crime, and the statewide griev-
plinary data bank. ance committee or a reviewing committee
134
determines that a hearing shall be held concern- reviewing committees and assignments of com-
ing the complaint pursuant to Section 2-35 (c), plaints from the various grievance panels. An
the disciplinary counsel shall present the matter attorney who maintains an office for the practice
to such committee. of law in the same judicial district as the respon-
(2) Pursuant to Section 2-82, discuss and may dent may not sit on the reviewing committee for
negotiate a disposition of the complaint with the that case.
respondent or, if represented by an attorney, the (b) The statewide grievance committee and the
respondent’s attorney, subject to the approval of reviewing committee shall have the power to issue
the statewide grievance committee or a reviewing a subpoena to compel any person to appear
committee or the court. before it to testify in relation to any matter deemed
(3) Remove irrelevant information from the by the statewide grievance committee or the
complaint file and thereafter permit discovery of reviewing committee to be relevant to the com-
information in the file. plaint and to produce before it for examination
(4) Pursuant to Section 2-35, add additional any books or papers which, in its judgment, may
allegations of misconduct to the grievance panel’s be relevant to such complaint. Any such testimony
determination that probable cause exists that the shall be on the record.
respondent is guilty of misconduct. (c) If the grievance panel determined that prob-
(5) Have the power to subpoena witnesses for able cause exists that the respondent is guilty of
any hearing before a grievance panel, a reviewing misconduct, the statewide grievance committee
committee or the statewide grievance committee or the reviewing committee shall hold a hearing
convened pursuant to these rules. on the complaint. If the grievance panel deter-
(6) In his or her discretion, recommend disposi- mined that probable cause does not exist, but filed
tions to the statewide grievance committee or the the matter with the statewide grievance committee
reviewing committee after the hearing on a com- because the complaint alleges that a crime has
been committed, the statewide grievance commit-
plaint is concluded.
tee or the reviewing committee shall review the
(7) At the request of the statewide grievance determination of no probable cause, take evi-
committee or a reviewing committee, prepare and dence if it deems it appropriate and, if it deter-
file complaints initiating presentment proceedings mines that probable cause does exist, shall take
in the superior court, whether or not the alleged the following action: (1) if the statewide grievance
misconduct occurred in the actual presence of the committee reviewed the grievance panel’s deter-
court, and prosecute same. mination, it shall hold a hearing concerning the
(8) At the request of a grievance panel made complaint or assign the matter to a reviewing com-
pursuant to Section 2-29, pursue the matter mittee to hold the hearing; or (2) if a reviewing
before the grievance panel on the issue of proba- committee reviewed the grievance panel’s deter-
ble cause. mination, it shall hold a hearing concerning the
(9) Investigate and prosecute complaints complaint or refer the matter to the statewide
involving the violation by any person of General grievance committee which shall assign it to
Statutes § 51-88. another reviewing committee to hold the hearing.
(Adopted June 24, 2002, to take effect July 1, 2003; May (d) Disciplinary counsel may add additional alle-
14, 2003, effective date changed to Oct. 1, 2003, and amended
on an interim basis, pursuant to the provisions of Section 1-
gations of misconduct to the grievance panel’s
9 (c), to take effect Oct. 1, 2003, and amendment adopted determination that probable cause exists in the
June 30, 2003, to take effect Oct. 1, 2003; Sept. 30, 2003, following circumstances:
effective date of adopted rule and amendment changed to (1) Prior to the hearing before the statewide
Jan. 1, 2004; amended June 21, 2004, to take effect Jan. 1, grievance committee or the reviewing committee,
2005; amended June 15, 2012, to take effect Jan. 1, 2013.) disciplinary counsel may add additional allega-
tions of misconduct arising from the record of the
Sec. 2-35. Action by Statewide Grievance grievance complaint or its investigation of the
Committee or Reviewing Committee complaint.
(a) Upon receipt of the record from a grievance (2) Following commencement of the hearing
panel, the statewide grievance committee may before the statewide grievance committee or the
assign the case to a reviewing committee which reviewing committee, disciplinary counsel may
shall consist of at least three members of the only add additional allegations of misconduct for
statewide grievance committee, at least one third good cause shown and with the consent of the
of whom are not attorneys. The statewide griev- respondent and the statewide grievance commit-
ance committee may, in its discretion, reassign tee or the reviewing committee. Additional allega-
the case to a different reviewing committee. The tions of misconduct may not be added after the
committee shall regularly rotate membership on hearing has concluded.
135
(e) If disciplinary counsel determines that addi- copy of all evidence it received or considered,
tional allegations of misconduct exist, it shall issue including a transcript of any testimony heard by
a written notice to the respondent and the state- it, and its decision. The record shall also be sent
wide grievance committee, which shall include, to the statewide grievance committee. The
but not be limited to, the following: (1) a description reviewing committee shall forward a copy of the
of the factual allegation or allegations that were final decision to the complainant, the disciplinary
considered in rendering the determination; and counsel, the respondent, and the grievance panel
(2) for each such factual allegation, an identifica- to which the complaint was forwarded. The deci-
tion of the specific provision or provisions of the sion shall be a matter of public record if there was
applicable rules governing attorney conduct con- a determination by a grievance panel, a reviewing
sidered in rendering the determination. committee or the statewide grievance committee
(f) The respondent shall be entitled to a period that there was probable cause that the respondent
of not less than thirty days before being required was guilty of misconduct. The reviewing commit-
to appear at a hearing to defend against any addi- tee may file a motion for extension of time not to
tional charges of misconduct filed by the disciplin- exceed thirty days with the statewide grievance
ary counsel. committee which shall grant the motion only upon
(g) At least two of the same members of a a showing of good cause. If the reviewing commit-
reviewing committee shall be physically present tee does not complete its action on a complaint
at all hearings held by the reviewing committee. within the time provided in this section, the state-
Unless waived by the disciplinary counsel and the wide grievance committee shall, on motion of the
respondent, the remaining member of the complainant or the respondent or on its own
reviewing committee shall obtain and review the motion, inquire into the delay and determine the
transcript of each such hearing and shall partici- appropriate course of action. Enforcement of the
pate in the committee’s determination. All hear- final decision, including the publication of the
ings following a determination of probable cause notice of a reprimand pursuant to Section 2-54,
shall be public and on the record. shall be stayed for thirty days from the date of the
(h) The complainant and respondent shall be issuance to the parties of the final decision. In
entitled to be present at all hearings and other the event the respondent timely submits to the
proceedings on the complaint at which testimony statewide grievance committee a request for
is given and to have counsel present. At all hear- review of the final decision of the reviewing com-
ings, the respondent shall have the right to be mittee, such stay shall remain in full force and
heard in the respondent’s own defense and by
effect pursuant to Section 2-38 (b).
witnesses and counsel. The disciplinary counsel
shall pursue the matter before the statewide griev- (j) If the reviewing committee finds probable
ance committee or reviewing committee. The dis- cause to believe the respondent has violated the
ciplinary counsel and the respondent shall be criminal law of this state, it shall report its findings
entitled to examine or cross-examine witnesses. to the chief state’s attorney.
At the conclusion of the evidentiary phase of a (k) Within thirty days of the issuance to the
hearing, the complainant, the disciplinary counsel parties of the final decision by the reviewing com-
and the respondent shall have the opportunity to mittee, the respondent may submit to the state-
make a statement, either individually or through wide grievance committee a request for review of
counsel. The statewide grievance committee or the decision. Any request for review submitted
reviewing committee may request oral argument. under this section must specify the basis for the
(i) Within ninety days of the date the grievance request including, but not limited to, a claim or
panel filed its determination with the statewide claims that the reviewing committee’s findings,
grievance committee pursuant to Section 2-32 (i), inferences, conclusions or decision is or are: (1)
the reviewing committee shall render a final writ- in violation of constitutional, rules of practice or
ten decision dismissing the complaint, imposing statutory provisions; (2) in excess of the authority
sanctions and conditions as authorized by Section of the reviewing committee; (3) made upon unlaw-
2-37 or directing the disciplinary counsel to file a ful procedure; (4) affected by other error of law; (5)
presentment against the respondent in the supe- clearly erroneous in view of the reliable, probative,
rior court and file it with the statewide grievance and substantial evidence on the whole record;
committee. Where there is a final decision dis- or (6) arbitrary or capricious or characterized by
missing the complaint, the reviewing committee abuse of discretion or clearly unwarranted exer-
may give notice in a written summary order to be cise of discretion and the specific basis for such
followed by a full written decision. The reviewing claim or claims. For grievance complaints filed on
committee’s record in the case shall consist of a or after January 1, 2004, the respondent shall
136
serve a copy of the request for review on disciplin- under Section 2-35 (k), or, with regard to griev-
ary counsel in accordance with Sections 10-12 ance complaints filed on or after January 1, 2004,
through 10-17. Within fourteen days of the within sixty days of the expiration of the fourteen
respondent’s submission of a request for review, day period for the filing of a response by disciplin-
disciplinary counsel may file a response. Disciplin- ary counsel to a request for review under that
ary counsel shall serve a copy of the response section, the statewide grievance committee shall
on the respondent in accordance with Sections issue a written decision affirming the decision of
10-12 through 10-17. No reply to the response the reviewing committee, dismissing the com-
shall be allowed. plaint, imposing sanctions and conditions as
(l) If, after its review of a complaint pursuant to authorized by Section 2-37, directing the disciplin-
this section that was forwarded to the statewide ary counsel to file a presentment against the
grievance committee pursuant to Section 2-32 (i) respondent in the superior court or referring the
(2), a reviewing committee agrees with a griev- complaint to the same or a different reviewing
ance panel’s determination that probable cause committee for further investigation and a decision.
does not exist that the attorney is guilty of miscon- Before issuing its decision, the statewide griev-
duct and there has been no finding of probable ance committee may, in its discretion, request oral
cause by the statewide grievance committee or argument. The statewide grievance committee
a reviewing committee, the reviewing committee shall forward a copy of its decision to the com-
shall have the authority to dismiss the complaint plainant, the disciplinary counsel, the respondent,
within the time period set forth in subsection (e) the reviewing committee and the grievance panel
of this section without review by the statewide which investigated the complaint. The decision
grievance committee. The reviewing committee shall be a matter of public record. A decision of
shall file its decision dismissing the complaint with the statewide grievance committee shall be
the statewide grievance committee along with the issued only if the respondent has timely filed a
record of the matter and shall send a copy of the request for review under Section 2-35 (k).
decision to the complainant, the respondent, and (P.B. 1978-1997, Sec. 27M.) (Amended June 24, 2002, to
the grievance panel to which the complaint was to Oct. 1, 2003; Sept. 30, 2003, effective date changed to Jan.
assigned. 1, 2004; amended June 26, 2006, to take effect Jan. 1, 2007.)
(m) If the statewide grievance committee does
not assign a complaint to a reviewing committee, Sec. 2-37. Sanctions and Conditions Which
it shall have one hundred and twenty days from May Be Imposed by Committees
the date the panel’s determination was filed with (a) A reviewing committee or the statewide
it to render a decision dismissing the complaint, grievance committee may impose one or more of
imposing sanctions and conditions as authorized the following sanctions and conditions in accord-
by Section 2-37 or directing the disciplinary coun- ance with the provisions of Sections 2-35 and
sel to file a presentment against the respondent. 2-36:
The decision shall be a matter of public record. (1) reprimand;
The failure of a reviewing committee to complete (2) restitution;
its action on a complaint within the period of time (3) assessment of costs;
provided in this section shall not be cause for (4) an order that the respondent return a client’s
dismissal of the complaint. If the statewide griev- file to the client;
ance committee finds probable cause to believe (5) a requirement that the respondent attend
that the respondent has violated the criminal law continuing legal education courses, at his or her
of this state, it shall report its findings to the chief own expense, regarding one or more areas of
state’s attorney. substantive law or law office management;
(P.B. 1978-1997, Sec. 27J.) (Amended June 28, 1999, to (6) an order to submit to fee arbitration;
take effect Jan. 1, 2000; amended June 24, 2002, to take (7) in any grievance complaint where there has
effect July 1, 2003; May 14, 2003, effective date changed to been a finding of a violation of Rule 1.15 of the
Oct. 1, 2003; Sept. 30, 2003, effective date changed to Jan.
1, 2004; amended June 26, 2006, to take effect Jan. 1, 2007;
Rules of Professional Conduct or Practice Book
amended June 29, 2007, to take effect Jan. 1, 2008; amended Section 2-27, an order to submit to periodic audits
June 30, 2008, to take effect Jan. 1, 2009; amended June 15, and supervision of the attorney’s trust accounts
2012, to take effect Jan. 1, 2013.) to ensure compliance with the provisions of Sec-
tion 2-27 and the related Rules of Professional
Sec. 2-36. Action by Statewide Grievance Conduct. Any alleged misconduct discovered as
Committee on Request for Review the result of such audit shall be alleged in a sepa-
Within sixty days of the expiration of the thirty rate grievance complaint filed pursuant to these
day period for the filing of a request for review rules;
137
(8) with the respondent’s consent, a require- and effect until the conclusion of all proceedings,
ment that the respondent undertake treatment, at including all appeals, relating to the decision
his or her own expense, for medical, psychological imposing sanctions or conditions against the
or psychiatric conditions or for problems of alcohol respondent. If at the conclusion of all proceedings,
or substance abuse. the decision imposing sanctions or conditions
(b) In connection with subsection (a) (6), a party against the respondent is rescinded, the com-
who refuses to utilize the no cost fee arbitration plaint shall be deemed dismissed as of the date
service provided by the Connecticut Bar Associa- of the decision imposing sanctions or conditions
tion shall pay the cost of the arbitration. against the respondent. An application to termi-
(c) Failure of the respondent to comply with any nate the stay may be made to the court and shall
sanction or condition imposed by the statewide be granted if the court is of the opinion that the
grievance committee or a reviewing committee appeal is taken only for delay or that the due
may be grounds for presentment before the supe- administration of justice requires that the stay
rior court. be terminated.
(P.B. 1978-1997, Sec. 27M.1.) (Amended June 28, 1999,
to take effect Jan. 1, 2000; amended June 15, 2012, to take
(c) Within thirty days after the service of the
effect Jan. 1, 2013.) appeal, or within such further time as may be
allowed by the court, the statewide bar counsel
Sec. 2-38. Appeal from Decision of State- shall transmit to the reviewing court a certified
wide Grievance Committee or Reviewing copy of the entire record of the proceeding
Committee Imposing Sanctions or Con- appealed from, which shall include the grievance
ditions panel’s record in the case, as defined in Section
(Amended June 30, 2008, to take effect Jan. 1, 2009.) 2-32 (i), and a copy of the statewide grievance
(a) A respondent may appeal to the superior committee’s record or the reviewing committee’s
court a decision by the statewide grievance com- record in the case, which shall include a transcript
mittee or a reviewing committee imposing sanc- of any testimony heard by it or by a reviewing
tions or conditions against the respondent, in committee which is required by rule to be on the
accordance with Section 2-37 (a). A respondent record, any decision by the reviewing committee
may not appeal a decision by a reviewing commit- in the case, any requests filed pursuant to Section
tee imposing sanctions or conditions against the 2-35 (k) of this section, and a copy of the statewide
respondent if the respondent has not timely grievance committee’s decision on the request for
requested a review of the decision by the state- review. By stipulation of all parties to such appeal
wide grievance committee under Section 2-35 (k). proceedings, the record may be shortened. The
Within thirty days from the issuance, pursuant to court may require or permit subsequent correc-
Section 2-36, of the decision of the statewide tions or additions to the record.
grievance committee, the respondent shall: (1) file (d) The appeal shall be conducted by the court
the appeal with the clerk of the superior court for without a jury and shall be confined to the record.
the judicial district of Hartford and (2) mail a copy If alleged irregularities in procedure before the
of the appeal by certified mail, return receipt statewide grievance committee or reviewing com-
requested or with electronic delivery confirmation, mittee are not shown in the record, proof limited
to the office of the statewide bar counsel as agent
thereto may be taken in the court. The court, upon
for the statewide grievance committee and to the
request, shall hear oral argument.
office of the chief disciplinary counsel.
(b) Enforcement of a final decision imposing (e) The respondent shall file a brief within thirty
sanctions or conditions against the respondent days after the filing of the record by the statewide
pursuant to Section 2-35 (i) or Section 2-35 (m), bar counsel. The disciplinary counsel shall file his
including the publication of the notice of a repri- or her brief within thirty days of the filing of the
mand in accordance with Section 2-54, shall be respondent’s brief. Unless permission is given by
stayed for thirty days from the issuance to the the court for good cause shown, briefs shall not
parties of such decision. If within that period the exceed thirty-five pages.
respondent files with the statewide grievance (f) Upon appeal, the court shall not substitute
committee a request for review of the reviewing its judgment for that of the statewide grievance
committee’s decision, the stay shall remain in committee or reviewing committee as to the
effect for thirty days from the issuance by the weight of the evidence on questions of fact. The
statewide grievance committee of its final decision court shall affirm the decision of the committee
pursuant to Section 2-36. If the respondent timely unless the court finds that substantial rights of the
commences an appeal pursuant to subsection (a) respondent have been prejudiced because the
of this section, such stay shall remain in full force committee’s findings, inferences, conclusions, or
138
decisions are: (1) in violation of constitutional pro- judicial district of Hartford. No entry fee shall be
visions, rules of practice or statutory provisions; required for proceedings hereunder.
(2) in excess of the authority of the committee; (b) Upon receipt of a certified copy of the order,
(3) made upon unlawful procedure; (4) affected the court shall forthwith cause to be served upon
by other error of law; (5) clearly erroneous in view the lawyer a copy of the order from the other
of the reliable, probative, and substantial evidence jurisdiction and an order directing the lawyer to
on the whole record; or (6) arbitrary or capricious file within thirty days of service, with proof of ser-
or characterized by abuse of discretion or clearly vice upon the disciplinary counsel, an answer
unwarranted exercise of discretion. If the court admitting or denying the action in the other juris-
finds such prejudice, it shall sustain the appeal diction and setting forth, if any, reasons why com-
and, if appropriate, rescind the action of the state- mensurate action in this state would be
wide grievance committee or take such other unwarranted. Such certified copy will constitute
action as may be necessary. For purposes of fur- prima facie evidence that the order of the other
ther appeal, the action taken by the superior court jurisdiction entered and that the findings con-
hereunder is a final judgment. tained therein are true.
(g) In all appeals taken under this section, costs (c) Upon the expiration of the thirty day period
may be taxed in favor of the statewide grievance the court shall assign the matter for a hearing.
committee in the same manner, and to the same After hearing, the court shall take commensurate
extent, that costs are allowed in judgments ren- action unless it is found that any defense set forth
dered by the superior court. No costs shall be in the answer has been established by clear and
taxed against the statewide grievance committee, convincing evidence.
except that the court may, in its discretion, award (d) Notwithstanding the above, a reciprocal dis-
to the respondent reasonable fees and expenses cipline action need not be filed if the conduct giving
if the court determines that the action of the com- rise to discipline in another jurisdiction has already
mittee was undertaken without any substantial been the subject of a formal review by the court
justification. ‘‘Reasonable fees and expenses’’ or statewide grievance committee.
means any expenses not in excess of $7500 (P.B. 1978-1997, Sec. 28A.) (Amended June 29, 1998, to
take effect Sept. 1, 1998; amended August 24, 2001, to take
which the court finds were reasonably incurred in effect Jan. 1, 2002; amended June 24, 2002, to take effect
opposing the committee’s action, including court July 1, 2003; May 14, 2003, effective date changed to Oct. 1,
costs, expenses incurred in administrative pro- 2003; Sept. 30, 2003, effective date changed to Jan. 1, 2004.)
ceedings, attorney’s fees, witness fees of all nec-
essary witnesses, and such other expenses as Sec. 2-40. Discipline of Attorneys Found
were reasonably incurred. Guilty of Serious Crimes in Connecticut
(P.B. 1978-1997, Sec. 27N.) (Amended June 29, 1998, to (Amended June 13, 2014, to take effect Oct. 1, 2014.)
take effect Sept. 1, 1999; amended June 28, 1999, to take (a) The term ‘‘serious crime,’’ as used herein,
effect Jan. 1, 2000; amended June 24, 2002, to take effect shall mean any felony, any larceny, any crime
July 1, 2003; May 14, 2003, effective date changed to Oct. 1, where the attorney was or will be sentenced to a
2003; amended June 30, 2003, to take effect Oct. 1, 2003; term of incarceration, or any other crime that
Sept. 30, 2003, effective date of two prior amendments
changed to Jan. 1, 2004; amended June 29, 2007, to take reflects adversely on the lawyer’s honesty, trust-
effect Jan. 1, 2008; amended June 30, 2008, to take effect worthiness, or fitness as a lawyer in other
Jan. 1, 2009; amended June 14, 2013, to take effect Jan. 1, respects, or any crime, a necessary element of
2014; amended June 13, 2014, to take effect Jan. 1, 2015.) which, as determined by the statutory or common-
law definition of the crime, involves interference
Sec. 2-39. Reciprocal Discipline with the administration of justice, false swearing,
(a) Upon being informed that a lawyer admitted misrepresentation, fraud, deceit, bribery, extor-
to the Connecticut bar has resigned, been dis- tion, misappropriation, theft, wilful failure to file
barred, suspended or otherwise disciplined, or tax returns, violations involving criminal drug
placed on inactive disability status in another juris- offenses, or any attempt, conspiracy or solicitation
diction, and that said discipline or inactive disabil- of another to commit a ‘‘serious crime.’’
ity status has not been stayed, the disciplinary (b) The terms ‘‘found guilty’’ and ‘‘finding of
counsel shall obtain a certified copy of the order guilt,’’ as used herein, refer to the disposition of
and file it with the superior court for the judicial any charge of a serious crime as herein defined
district wherein the lawyer maintains an office for resulting from either a plea of guilty or nolo conten-
the practice of law in this state, except that, if the dere, or from a verdict after trial, and regardless
lawyer has no such office, the disciplinary counsel of the pendency of any appeal.
shall file the certified copy of the order from the (c) The clerk of the superior court in which an
other jurisdiction with the superior court for the attorney is found guilty of any crime shall transmit
139
a certified copy of the finding of guilt, docket sheet, witnesses in his or her behalf. After the hearing,
or other proof of the finding of guilt to the disciplin- the court shall enter an order dismissing the pre-
ary counsel and to the statewide grievance com- sentment complaint, or imposing discipline upon
mittee. such attorney in the form of suspension for a
(d) Notwithstanding any obligation imposed period of time, disbarment or such other discipline
upon the clerk by subsection (c) of this section, as the court deems appropriate. If the finding of
any attorney found guilty of any crime shall send guilt was based upon the lawyer’s misappropria-
written notice of the finding of guilt to the disciplin- tion of clients’ funds or other property held in trust,
ary counsel and the statewide grievance commit- the court shall enter an order disbarring the attor-
tee, by certified mail, return receipt requested, or ney for a minimum of twelve years pursuant to
with electronic delivery confirmation, within ten Sections 2-47A and 2-53 (g).
days of the date of the finding of guilt. The written (i) Whenever the court enters an order sus-
notice shall include the name and address of the pending or disbarring an attorney pursuant to a
court where the finding of guilt was made, the presentment filed under this section, the court
date of the finding of guilt, and the specific section may appoint a trustee, pursuant to Section 2-64,
of the applicable criminal, penal, or statutory code to protect the interests of the attorney’s clients and
upon which the finding of guilt was predicated. An to secure the attorney’s clients’ funds accounts.
attorney’s failure to send timely written notice of (j) If an attorney disciplined solely under the
his or her finding of guilt required by this section provisions of this section demonstrates to the
shall constitute misconduct. court that the underlying finding of guilt was later
(e) Upon receipt of proof of the finding of guilt, vacated or reversed, the court shall vacate any
the disciplinary counsel shall determine whether disciplinary order entered pursuant to the finding
the crime for which the attorney was found guilty of guilt, and place the attorney on active status.
is a serious crime, as defined herein. If so, disci- The vacating of such disciplinary order shall not
plinary counsel shall, pursuant to Section 2-47,
automatically terminate any other disciplinary pro-
file a presentment against the attorney predicated
ceeding then pending against the attorney.
upon the finding of guilt. A certified copy of the
finding of guilt shall be conclusive evidence of (k) Immunity from prosecution granted to an
the commission of that crime in any disciplinary attorney is not a bar to disciplinary proceedings,
proceeding based upon the finding of guilt. No unless otherwise ordered by the court. The grant-
entry fee shall be required for proceedings ing of a pretrial diversion program to an attorney
hereunder. charged with a serious crime, as defined herein,
(f) A presentment filed pursuant to this section is not a bar to disciplinary proceedings, unless
shall be heard, where practical, by the judge who otherwise ordered by the court that granted the
presided at the proceeding in which the attorney program to the attorney.
(P.B. 1978-1997, Sec. 28B.) (Amended June 24, 2002, to
was found guilty. A hearing on the presentment take effect July 1, 2003; May 14, 2003, effective date changed
complaint shall address the issue of the nature to Oct. 1, 2003; Sept. 30, 2003, effective date changed to Jan.
and extent of the final discipline to be imposed 1, 2004; amended June 26, 2006, to take effect Jan. 1, 2007;
and shall be held within sixty days of the filing of amended June 13, 2014, to take effect Oct. 1, 2014.)
the presentment.
(g) Immediately upon receipt of proof of the Sec. 2-41. Discipline of Attorneys Found
finding of guilt of an attorney of a serious crime, Guilty of Serious Crimes in Another Juris-
as defined herein, the disciplinary counsel may diction
also apply to the court for an order of interim (Amended June 13, 2014, to take effect Oct. 1, 2014.)
suspension. If the attorney was or will be sen- (a) The term ‘‘serious crime,’’ as used herein,
tenced to a term of incarceration, disciplinary shall mean any felony, any larceny, or any crime
counsel shall seek a suspension during the term where the attorney was or will be sentenced to a
of incarceration. The court may, in its discretion, term of incarceration, or any other crime that
enter an order immediately placing the attorney reflects adversely on the lawyer’s honesty, trust-
on interim suspension pending final disposition worthiness, or fitness as a lawyer in other
of a presentment filed pursuant to this section. respects, or any crime, a necessary element of
Thereafter, for good cause shown, the court may, which, as determined by the statutory or common-
in the interests of justice, set aside or modify the law definition of the crime, involves interference
interim suspension. with the administration of justice, false swearing,
(h) At the presentment hearing, the attorney misrepresentation, fraud, deceit, bribery, extor-
shall have the right to counsel, to be heard in his tion, misappropriation, theft, wilful failure to file
or her own defense and to present evidence and tax returns, violations involving criminal drug
140
offenses, or any attempt, conspiracy or solicitation finding of guilt. If the attorney was or will be sen-
of another to commit a ‘‘serious crime.’’ tenced to a term of incarceration, disciplinary
(b) The terms ‘‘found guilty’’ and ‘‘finding of counsel shall seek a suspension for the term of
guilt,’’ as used herein, refer to the disposition of incarceration. The court may, in its discretion,
any charge of a serious crime as defined herein enter an order immediately placing the attorney
resulting from either a plea of guilty or nolo conten- on interim suspension pending final disposition
dere, or from a verdict after trial, and regardless of the presentment filed pursuant to this section.
of the pendency of any sentencing or appeal. Thereafter, for good cause shown, the court may,
(c) The term ‘‘another jurisdiction,’’ as used in the interests of justice, set aside or modify the
herein, shall mean any state court, other than the interim suspension.
Connecticut superior court, any federal court, any (h) At the presentment hearing, the attorney
District of Columbia court or any court from a shall have the right to counsel, to be heard in his
commonwealth or possession of the United or her own defense, and to present evidence and
States. witnesses in his or her behalf. After the hearing,
(d) Any attorney found guilty of any crime in the court shall enter an order dismissing the pre-
another jurisdiction shall send written notice of the sentment complaint, or imposing discipline upon
finding of guilt to the disciplinary counsel and the such attorney in the form of suspension for a
statewide grievance committee, by certified mail, period of time, disbarment or such other discipline
return receipt requested, or with electronic deliv- as the court deems appropriate. If the finding of
ery confirmation, within ten days of the date of guilt was based on the lawyer’s misappropriation
the finding of guilt. The written notice shall include of clients’ funds or other property held in trust, the
the name and address of the court where the court shall enter an order disbarring the attorney
finding of guilt was made, the date of the finding for a minimum of twelve years pursuant to Sec-
of guilt, and the specific section of the applicable tions 2-47A and 2-53 (g).
criminal, penal, or statutory code upon which the (i) Whenever the court enters an order sus-
finding of guilt was predicated. An attorney’s fail- pending or disbarring an attorney pursuant to a
ure to send timely written notice of the finding of presentment filed under this section, the court
guilt required by this section shall constitute mis- may appoint a trustee, pursuant to Section 2-64,
conduct. to protect the interests of the attorney’s clients and
(e) Upon receipt of the written notice of the to secure the attorney’s clients’ funds accounts.
finding of guilt in another jurisdiction, the disciplin- (j) If an attorney disciplined solely under the
ary counsel shall determine whether the crime for provisions of this section demonstrates to the
which the attorney was found guilty is a ‘‘serious court that the attorney’s finding of guilt was later
crime,’’ as defined herein. If so, disciplinary coun- vacated or reversed, the court shall vacate any
sel shall obtain a certified copy of the finding of disciplinary order entered pursuant to this section.
guilt, which shall be conclusive evidence of the The vacating of such disciplinary order shall not
commission of that crime in any disciplinary pro- automatically terminate any other disciplinary pro-
ceeding based upon the finding of guilt. Upon ceeding then pending against the attorney.
receipt of the certified copy of the finding of guilt, (k) Immunity from prosecution granted to an
the disciplinary counsel shall, pursuant to Section attorney is not a bar to disciplinary proceedings,
2-47, file a presentment against the attorney pred- unless otherwise ordered by the court. The grant-
icated upon the finding of guilt. No entry fee shall ing of a pretrial diversion program to an attorney
be required for proceedings hereunder. charged with a serious crime, as defined herein,
(f) A presentment filed pursuant to this section is not a bar to disciplinary proceedings, unless
shall be filed in the judicial district where the attor- otherwise ordered by the court that granted the
ney maintains an office for the practice of law in program to the attorney.
this state. If the attorney has no office for the (P.B. 1978-1997, Sec. 28B.1.) (Amended June 29, 1998,
practice of law in this state, the disciplinary coun- to take effect Sept. 1, 1998; amended June 24, 2002, to take
sel shall file the presentment in the superior court effect July 1, 2003; May 14, 2003, effective date changed to
Oct. 1, 2003; Sept. 30, 2003, effective date changed to Jan.
for the judicial district of Hartford. A hearing on 1, 2004; amended June 26, 2006, to take effect Jan. 1, 2007;
the presentment complaint shall address the issue amended June 14, 2013, to take effect Jan. 1, 2014; amended
of the nature and extent of the final discipline to June 13, 2014, to take effect Oct. 1, 2014.)
be imposed, and shall be held within sixty days
of the filing of the presentment. Sec. 2-42. Conduct Constituting Threat of
(g) The disciplinary counsel may also apply to Harm to Clients
the court for an order of interim suspension, which (a) If there is a disciplinary proceeding pending
application shall contain a certified copy of the against a lawyer, or if there has been a notice
141
of overdraft in accordance with the provisions of Sec. 2-44. Power of Superior Court to Disci-
Section 2-28 (f) and the grievance panel, the pline Attorneys and to Restrain Unautho-
reviewing committee, the statewide grievance rized Practice
committee or the disciplinary counsel believes The superior court may, for just cause, suspend
that the lawyer poses a substantial threat of irrepa- or disbar attorneys and may, for just cause, punish
rable harm to his or her clients or to prospective or restrain any person engaged in the unautho-
clients, or that there has been an unexplained rized practice of law.
overdraft in the lawyer’s trust funds account, the (P.B. 1978-1997, Sec. 29.)
panel or committee shall so advise the disciplinary
counsel. The disciplinary counsel shall, upon Sec. 2-44A. Definition of the Practice of Law
being so advised or upon his or her own belief, (a) General Definition: The practice of law is
apply to the court for an order of interim suspen- ministering to the legal needs of another person
sion. The disciplinary counsel shall provide the and applying legal principles and judgment to the
lawyer with notice that an application for interim circumstances or objectives of that person. This
suspension has been filed and that a hearing will includes, but is not limited to:
be held on such application. (1) Holding oneself out in any manner as an
attorney, lawyer, counselor, advisor or in any
(b) The court, after hearing, pending final dispo-
other capacity which directly or indirectly repre-
sition of the disciplinary proceeding, may, if it finds
sents that such person is either (a) qualified or
that the lawyer poses a substantial threat of irrepa- capable of performing or (b) is engaged in the
rable harm to his or her clients or to prospective business or activity of performing any act consti-
clients, enter an order of interim suspension, or tuting the practice of law as herein defined.
may order such other interim action as deemed (2) Giving advice or counsel to persons con-
appropriate. Thereafter, upon good cause shown, cerning or with respect to their legal rights or
the court may, in the interest of justice, set aside responsibilities or with regard to any matter involv-
or modify the interim suspension or other order ing the application of legal principles to rights,
entered pursuant hereto. Whenever the court duties, obligations or liabilities.
enters an interim suspension order pursuant (3) Drafting any legal document or agreement
hereto, the court may appoint a trustee, pursuant involving or affecting the legal rights of a person.
to Section 2-64, to protect the clients’ and the (4) Representing any person in a court, or in a
suspended attorney’s interests. formal administrative adjudicative proceeding or
(c) No entry fee shall be required for proceed- other formal dispute resolution process or in any
ings hereunder. Any hearings necessitated by the administrative adjudicative proceeding in which
proceedings may, in the discretion of the court, legal pleadings are filed or a record is established
be held in chambers. as the basis for judicial review.
(P.B. 1978-1997, Sec. 28C.) (Amended June 24, 2002, to (5) Giving advice or counsel to any person, or
take effect July 1, 2003; May 14, 2003, effective date changed representing or purporting to represent the inter-
to Oct. 1, 2003; Sept. 30, 2003, effective date changed to Jan. est of any person, in a transaction in which an
1, 2004; amended June 26, 2006, to take effect Jan. 1, 2007.)
interest in property is transferred where the advice
Sec. 2-43. Notice by Attorney of Alleged Mis- or counsel, or the representation or purported rep-
use of Clients’ Funds and Garnishments of resentation, involves (a) the preparation, evalua-
Lawyers’ Trust Accounts tion, or interpretation of documents related to such
transaction or to implement such transaction or
(a) When any complaint, counterclaim, cross (b) the evaluation or interpretation of procedures
complaint, special defense or other pleading in to implement such transaction, where such trans-
a judicial or administrative proceeding alleges a action, documents, or procedures affect the legal
lawyer’s misuse of funds handled by the lawyer rights, obligations, liabilities or interests of such
in his or her capacity as a lawyer or a fiduciary, person, and
the person signing the pleading shall mail a copy (6) Engaging in any other act which may indi-
thereof to the statewide bar counsel. cate an occurrence of the authorized practice of
(b) In any case where a lawyer’s trust account, law in the state of Connecticut as established by
as defined in Section 2-28 (b), is garnisheed, or case law, statute, ruling or other authority.
otherwise liened, the party who sought the gar- ‘‘Documents’’ includes, but is not limited to, con-
nishment or lien shall mail a copy of the garnishee tracts, deeds, easements, mortgages, notes,
process or writ of attachment to the statewide releases, satisfactions, leases, options, articles
bar counsel. of incorporation and other corporate documents,
(P.B. 1978-1997, Sec. 28D.) articles of organization and other limited liability
142
company documents, partnership agreements, constitute the unlicensed or unauthorized practice

affidavits, prenuptial agreements, wills, trusts, of law.
family settlement agreements, powers of attorney, (12) Undertaking self-representation, or practic-
notes and like or similar instruments; and pleading law authorized by a limited license to practice.
ings and any other papers incident to legal actions (c) Nonlawyer Assistance: Nothing in this rule
and special proceedings. shall affect the ability of nonlawyer assistants to
The term ‘‘person’’ includes a natural person, act under the supervision of a lawyer in compli-
corporation, company, partnership, firm, associa- ance with Rule 5.3 of the Rules of Professional
tion, organization, society, labor union, business Conduct.
trust, trust, financial institution, governmental unit (d) General Information: Nothing in this rule
and any other group, organization or entity of any shall affect the ability of a person or entity to pro-
nature, unless the context otherwise dictates. vide information of a general nature about the law
The term ‘‘Connecticut lawyer’’ means a natural and legal procedures to members of the public.
person who has been duly admitted to practice (e) Governmental Agencies: Nothing in this rule
law in this state and whose privilege to do so is shall affect the ability of a governmental agency
then current and in good standing as an active to carry out its responsibilities as provided by law.
member of the bar of this state. (f) Professional Standards: Nothing in this rule
(b) Exceptions. Whether or not it constitutes shall be taken to define or affect standards for
the practice of law, the following activities by any civil liability or professional responsibility.
person are permitted: (g) Unauthorized Practice: If a person who is
(1) Selling legal document forms previously not authorized to practice law is engaged in the
approved by a Connecticut lawyer in any format. practice of law, that person shall be subject to the
(2) Acting as a lay representative authorized by civil and criminal penalties of this jurisdiction.
(Adopted June 29, 2007, to take effect Jan. 1, 2008.)
administrative agencies or in administrative hear-
ings solely before such agency or hearing where: Sec. 2-45. —Cause Occurring in Presence
(A) Such services are confined to representa- of Court
tion before such forum or other conduct reason- If such cause occurs in the actual presence of
ably ancillary to such representation; and the court, the order may be summary, and without
(B) Such conduct is authorized by statute, or complaint or hearing; but a record shall be made
the special court, department or agency has of such order, reciting the ground thereof. Without
adopted a rule expressly permitting and regulating limiting the inherent powers of the court, if attorney
such practice. misconduct occurs in the actual presence of the
(3) Serving in a neutral capacity as a mediator, court, the statewide grievance committee and the
arbitrator, conciliator or facilitator. grievance panels shall defer to the court if the
(4) Participating in labor negotiations, arbitra- court chooses to exercise its jurisdiction.
tions, or conciliations arising under collective bar- (P.B. 1978-1997, Sec. 30.)
gaining rights or agreements. Sec. 2-46. Suspension of Attorneys Who
(5) Providing clerical assistance to another to Violate Support Orders
complete a form provided by a court for the protec-
tion from abuse, harassment and violence when (a) Except as otherwise provided in this section,
no fee is charged to do so. the procedures of General Statutes §§ 46b-220
through 46b-223 shall be followed with regard to
(6) Acting as a legislative lobbyist.
the suspension from the practice of law of attor-
(7) Serving in a neutral capacity as a clerk or neys who are found to be delinquent child sup-
a court employee providing information to the port obligors.
public. (b) A judge, upon finding that an attorney admit-
(8) Performing activities which are preempted ted to the bar in this state is a delinquent child
by federal law. support obligor as defined in General Statutes
(9) Performing statutorily authorized services § 46b-220 (a), may, pursuant to General Statutes
as a real estate agent or broker licensed by the § 46b-220 (b), issue a suspension order concern-
state of Connecticut. ing that attorney.
(10) Preparing tax returns and performing any (c) If the attorney obligor fails to comply with
other statutorily authorized services as a certified the conditions of the suspension order within thirty
public accountant, enrolled IRS agent, public days of its issuance, the department of social ser-
accountant, public bookkeeper, or tax preparer. vices, a support enforcement officer, the attorney
(11) Performing such other activities as the for the obligee or the obligee, as provided in the
courts of Connecticut have determined do not suspension order, shall file with the clerk of the
143
superior court which issued the suspension order shall be the extent of the final discipline to be
an affidavit stating that the conditions of the sus- imposed.
pension order have not been met, and shall serve (c) A petition to restrain any person from engag-
the attorney obligor with a copy of such affidavit ing in the unauthorized practice of law not
in accordance with Sections 10-12 through 10- occurring in the actual presence of the court may
17. The affidavit shall be filed within forty-five days be made by written complaint to the superior court
of the expiration of the thirty day period. in the judicial district where such violation occurs.
(d) Upon receipt of the affidavit, the clerk shall When offenses have been committed by the same
forthwith bring the suspension order and the affi- person in more than one judicial district, present-
davit to a judge of the superior court for review. ment for all offenses may be made in any one
If the judge determines that pursuant to the provi- of such judicial districts. Such complaint may be
sions of General Statutes § 46b-220 the attorney prosecuted by the state’s attorney, by the disci-
obligor should be suspended, the judge shall sus- plinary counsel, or by any member of the bar by
pend the attorney obligor from the practice of law, direction of the court. Upon the filing of such com-
effective immediately. plaint, a rule to show cause shall issue to the
(e) A suspended attorney who has complied defendant, who may make any proper answer
with the conditions of the suspension order con- within twenty days from the return of the rule and
cerning reinstatement, shall file a motion with the who shall have the right to be heard as soon as
court to vacate the suspension. Upon proof of practicable, and upon such hearing the court shall
such compliance, the court shall vacate the order make such lawful orders as it may deem just.
of suspension and reinstate the attorney. The pro- Such complaints shall be proceeded with as
visions of Section 2-53 shall not apply to suspen- civil actions.
sions under this section. (d) (1) If a determination is made by the state-
(f) The clerk shall notify the statewide bar coun- wide grievance committee or a reviewing commit-
sel of any suspensions and reinstatements tee that a respondent is guilty of misconduct and
ordered pursuant to this section. such misconduct does not otherwise warrant a
(P.B. 1978-1997, Sec. 30A.) presentment to the superior court, but the respon-
dent has been disciplined pursuant to these rules
Sec. 2-47. Presentments and Unauthorized by the statewide grievance committee, a
Practice of Law Petitions reviewing committee or the court at least three
(a) Presentment of attorneys for misconduct, times pursuant to complaints filed within the five
whether or not the misconduct occurred in the year period preceding the date of the filing of the
actual presence of the court, shall be made by grievance complaint that gave rise to such finding
written complaint of the disciplinary counsel. Ser- of misconduct in the instant case, the statewide
vice of the complaint shall be made as in civil grievance committee or the reviewing committee
actions. Any interim proceedings to the contrary shall direct the disciplinary counsel to file a pre-
notwithstanding, a hearing on the merits of the sentment against the respondent in the superior
complaint shall be held within sixty days of the court. Service of the matter shall be made as in
date the complaint was filed with the court. At civil actions. The statewide grievance committee
such hearing, the respondent shall have the right or the reviewing committee shall file with the court
to be heard in his or her own defense and by the record in the matter and a copy of the prior
witnesses and counsel. After such hearing the discipline issued against the respondent within
court shall render a judgment dismissing the com- such five year period. The sole issue to be deter-
plaint or imposing discipline as follows: reprimand, mined by the court upon the presentment shall
suspension for a period of time, disbarment or be the appropriate action to take as a result of
such other discipline as the court deems appro- the nature of the misconduct in the instant case
priate. This may include conditions to be fulfilled and the cumulative discipline issued concerning
by the attorney before he or she may apply for the respondent within such five year period. Such
readmission or reinstatement. Unless otherwise action shall be in the form of a judgment dismiss-
ordered by the court, such complaints shall be ing the complaint or imposing discipline as follows:
prosecuted by the disciplinary counsel or an attor- reprimand, suspension for a period of time, disbar-
ney appointed pursuant to Section 2-48. ment or such other discipline as the court deems
(b) The sole issue to be determined in a disci- appropriate. This may include conditions to be
plinary proceeding predicated upon conviction of fulfilled by the respondent before he or she may
a felony, any larceny or crime for which the lawyer apply for readmission or reinstatement. This sub-
is sentenced to a term of incarceration or for which section shall apply to all findings of misconduct
a suspended period of incarceration is imposed issued from the day of enactment forward and the
144
determination of presentment shall consider all (A) engaging in the practice of law as defined
discipline pursuant to complaints filed within the by Section 2-44A;
five year period preceding the date of the filing of (B) representing a client in any legal matter,
the grievance complaint that gave rise to the find- including discovery matters;
ing of misconduct even if they predate the effec- (C) negotiating or transacting any matter for, or
tive date of these rules. on behalf of, a client with third parties, or having
(2) If the respondent has appealed the issuance any contact with third parties regarding such
of a finding of misconduct made by the statewide negotiation or transaction;
grievance committee or the reviewing committee, (D) receiving, disbursing or exercising any con-
the court shall first adjudicate and decide that trol over clients’ funds or other property held in
appeal in accordance with the procedures set trust and related accounts;
forth in subsections (d) through (f) of Section 2- (E) using the titles ‘‘attorney’’ or ‘‘lawyer,’’ or
38. In the event the court denies the respondent’s the designations ‘‘Esq.,’’ or ‘‘J.D.’’ to describe one-
appeal of the finding of misconduct, the court shall self; or
then adjudicate the presentment brought under (F) communicating with clients and third parties
this section. In no event shall the court review the regarding matters that are the subject of represen-
merits of the matters for which the prior repri- tation by the supervising attorney or his or her firm.
mands were issued against the respondent. (4) ‘‘Employ’’ means to engage the services of
(e) No entry fee shall be required for the filing another, including employees, agents, indepen-
of any complaint pursuant to this section. dent contractors and consultants, regardless of
(P.B. 1978-1997, Sec. 31.) (Amended June 24, 2002, to whether any compensation is paid.
to Oct. 1, 2003; Sept. 30, 2003, effective date changed to Jan. (b) (1) No deactivated attorney shall be permit-
1, 2004; amended June 21, 2004, to take effect Jan. 1, 2005; ted to engage in any law-related activities or to
amended June 20, 2005, to take effect Jan. 1, 2006; amended be employed as a paralegal or legal assistant
June 26, 2006, to take effect Jan. 1, 2007.) unless expressly permitted by the court as pro-
vided in this section.
Sec. 2-47A. Disbarment of Attorney for Mis-
(2) The court may expressly permit, by written
appropriation of Funds
order, a deactivated attorney to perform any of
In any disciplinary proceeding where there has the following activities, under the supervision of
been a finding by a judge of the superior court a supervising attorney, as provided herein:
that a lawyer has knowingly misappropriated a (A) performing legal work of a preparatory
client’s funds or other property held in trust, the nature, such as conducting legal research,
discipline for such conduct shall be disbarment assembling data and other necessary information,
for a minimum of twelve years. and drafting transactional documents, pleadings,
amended June 13, 2014, to take effect Jan. 1, 2015.) briefs, and other similar documents; and
(B) providing clerical assistance to the supervis-
Sec. 2-47B. Restrictions on the Activities of ing attorney.
Deactivated Attorneys (c) No attorney who knows or should have
(a) As used in this section: known that an attorney’s license has been deacti-
(1) A ‘‘deactivated attorney’’ is an attorney who vated, shall employ the deactivated attorney to
is currently disbarred, suspended, resigned, or on engage in any law-related activities or to act as
inactive status. a paralegal or legal assistant, without the permis-
(2) A ‘‘supervising attorney’’ is an attorney: sion of the court, as provided in this section.
(A) who has been approved by the court as a (d) A deactivated attorney shall not engage in
supervising attorney for a deactivated attorney in law-related activities or be employed as a parale-
accordance with subsection (e) of this section; gal or legal assistant on behalf of any client pre-
(B) who is in good standing with the bar of viously represented by the deactivated attorney or
this state; for whom the deactivated attorney had previously
(C) who was not affiliated with the deactivated provided any legal services in the ten year period
attorney as an employer, employee, partner, inde- prior to deactivation. During the period of employ-
pendent contractor or in any other employment ment of the deactivated attorney, the supervising
relationship at the time of the deactivation; and attorney or his or her firm shall not assume repre-
(D) who did not serve as an attorney pursuant sentation of any matter on behalf of any client
to Section 2-64 in connection with the disbarment, previously represented by the deactivated attor-
suspension, resignation or placement on inactive ney or for whom the deactivated attorney had
status of the deactivated attorney. previously provided any legal services in the ten
(3) A ‘‘law-related activity’’ is: year period prior to deactivation.
145
(e) (1) An attorney desiring to become a super- attorney whose license is deactivated on or after the effective
vising attorney shall file a written application on date of this section.
a form approved by the office of the chief court Sec. 2-48. Designee to Prosecute Pre-
administrator. sentments
(2) The application shall be filed with the court
in the docket number of the matter in which the The executive committee of the superior court
deactivated attorney was suspended, disbarred, may choose one or more members of the bar of
placed on inactive status or resigned. A copy of this state to prosecute presentments. The chief
the application shall be served by the applicant court administrator may also contract with mem-
on the office of the chief disciplinary counsel. bers of the bar of this state to prosecute present-
ments, actions for reciprocal discipline, actions for
(3) An application filed under this section shall
interim suspension and disciplinary proceedings
be assigned to the same judge who presided over
predicated on the conviction of an attorney of a
the matter in which the deactivated attorney
felony or other crime set out in Section 2-40.
resigned or was disbarred, suspended, or placed (P.B. 1978-1997, Sec. 31A.) (Amended June 24, 2002, to
on inactive status. If that judge is no longer avail- take effect July 1, 2003; May 14, 2003, effective date changed
able, the administrative judge in the judicial district to Oct. 1, 2003; Sept. 30, 2003, effective date changed to Jan.
where the deactivation proceeding was held shall 1, 2004.)
assign the matter to another judge.
(f) The court shall schedule the application for Sec. 2-49. Restitution
a hearing to determine the following: Whenever restitution has been made the panel
(1) whether the deactivated attorney should be or committee investigating the attorney’s conduct
permitted to perform the activities permitted shall nevertheless determine if further proceed-
herein; ings are necessary. If it is found that further pro-
(2) whether the attorney will be appointed to ceedings are deemed unnecessary, such
serve as the supervising attorney for the deacti- decision shall be reviewed by the statewide griev-
vated attorney; and ance committee in accordance with the provisions
(3) whether any additional monitoring, condi- of this chapter.
(P.B. 1978-1997, Sec. 31B.)
tions, or restrictions are necessary.
(g) If the relationship between the supervising Sec. 2-50. Records of Statewide Grievance
attorney and the deactivated attorney terminates, Committee, Reviewing Committee and
the supervising attorney shall send written notice Grievance Panel
to the court within fifteen days of the termination (Amended June 26, 2006, to take effect Jan. 1, 2007.)
of the relationship. A copy of the written notice (a) The statewide grievance committee shall
shall be served on the office of the chief disciplin- maintain the record of each grievance proceeding.
ary counsel. The record in a grievance proceeding shall consist
(h) Violation of this section by the deactivated of the following:
attorney or the supervising attorney shall consti- (1) The grievance panel’s record as set forth in
tute a violation of Rule 8.4 (4) of the Rules of Section 2-32 (i);
Professional Conduct. (2) The reviewing committee’s record as set
(i) In any application for reinstatement, the forth in Section 2-35 (e);
supervising attorney and a deactivated attorney (3) The statewide grievance committee’s
under the supervision of a supervising attorney record;
pursuant to this section shall certify that he or she (4) Any probable cause determinations issued
has complied with the requirements of this section by the statewide grievance committee or a
during the period of suspension, disbarment, res- reviewing committee;
ignation, or inactive status. (5) Transcripts of hearings held before the
statewide grievance committee or a reviewing
COMMENTARY—2016: The unrestricted ability of attor-
neys whose licenses are deactivated due to a disciplinary
committee;
proceeding or disability to practice as ‘‘paralegals’’ negatively (6) The reviewing committee’s proposed
impacts the public perception of our ability to regulate the decision;
practice of law. This rule will serve to increase public confi- (7) Any statement submitted to the statewide
dence in the regulation of the bar because it prohibits a deacti- grievance committee concerning a proposed
vated attorney from simply returning to his or her former
decision;
practice and working as a ‘‘paralegal’’ for his or her former
firm, for the trustee, or for his or her former clients. With (8) The statewide grievance committee’s final
permission of the court, a deactivated attorney may perform decision;
the activities specified in this rule. This section applies to any (9) The reviewing committee’s final decision;
146
(10) Any request for review submitted to the to Oct. 1, 2003; Sept. 30, 2003, effective date changed to Jan.
statewide grievance committee concerning a 1, 2004; amended June 26, 2006, to take effect Jan. 1, 2007;
amended June 29, 2007, to take effect Jan. 1, 2008; amended
reviewing committee’s decision; and June 30, 2008, to take effect Jan. 1, 2009.)
(11) The statewide grievance committee’s deci-
sion on the request for review. Sec. 2-51. Costs and Expenses
(b) The following records of the statewide griev- Costs may be taxed against the respondent in
ance committee shall not be public: favor of the state, if the respondent be found guilty
(1) All records pertaining to grievance com- of the offense charged in whole or in part, at the
plaints that have been decided by a local griev- discretion of the court. The court may also, upon
ance committee prior to July 1, 1986. any such complaint by the state’s attorney or by
(2) All records of pending grievance complaints the statewide grievance committee, as the case
in which probable cause has not yet been may be, audit and allow (whatever may be the
determined. result of the proceeding) reasonable expenses to
(3) All records pertaining to grievance com- be taxed as part of the expenses of the court.
plaints that have been filed on or after July 1, (P.B. 1978-1997, Sec. 34.)
1986, and that have been dismissed by a griev-
ance panel, by the statewide grievance committee Sec. 2-52. Resignation and Waiver of Attor-
or by a reviewing committee without a finding of ney Facing Disciplinary Investigation
probable cause that the attorney is guilty of mis- (Amended June 15, 2012, to take effect Jan. 1, 2013.)
conduct. (a) The superior court may, under the procedure
(4) All records of complaints dismissed pursu- provided herein, permit an attorney to submit his
ant to Section 2-32 (a) (2) and (c). or her resignation from the bar with or without the
(c) All records enumerated in subsection (a) waiver of right to apply for readmission to the bar
pertaining to grievance complaints that have been at any time in the future if the attorney’s conduct
filed on or after July 1, 1986, in which probable is the subject of an investigation or proceeding
cause has been found that the attorney is guilty by a grievance panel, a reviewing committee, the
of misconduct shall be public, whether or not the statewide grievance committee, the disciplinary
complaint is subsequently dismissed. counsel or the court.
(d) Unless otherwise ordered by the court, all (b) Concurrently with the written resignation,
records that are not public shall be available only the attorney shall submit an affidavit stating the
to the statewide grievance committee and its following:
counsel, the reviewing committees, the grievance (1) that he or she desires to resign and that the
panels and their counsel, the bar examining com- resignation is knowingly and voluntarily submit-
mittee, the standing committee on recommenda- ted, the attorney is not being subjected to coercion
tions for admission to the bar, disciplinary counsel, or duress, and is fully aware of the consequences
the client security fund committee and its counsel, of submitting the resignation;
a judge of the superior court, a judge of the United (2) the attorney is aware that there is currently
States District Court for the District of Connecticut, pending an investigation or proceeding concern-
any grievance committee or other disciplinary ing allegations that he or she has been guilty of
authority of the United States District Court for the misconduct, the nature of which shall be specifi-
District of Connecticut or, with the consent of the cally set forth in the affidavit;
respondent, to any other person. Such records (3) either (A) that the material facts of the allega-
may be used or considered in any subsequent tions of misconduct are true, or (B) if the attorney
disciplinary or client security fund proceeding per- denies some or all of the material facts of the
taining to the respondent. allegations of misconduct, that the attorney
(e) Any respondent who was the subject of a acknowledges that there is sufficient evidence to
complaint in which the respondent was misidenti- prove such material facts of the allegations of
fied and the complaint was dismissed shall be misconduct by clear and convincing evidence;
deemed to have never been subject to disciplinary
proceedings with respect to that complaint and (4) the attorney waives the right to a hearing
may so swear under oath. Records of such griev- on the merits of the allegations of misconduct, as
ance complaints shall not be public. provided by these rules, and acknowledges that
(f) For purposes of this section, all grievance the court will enter a finding that he or she has
complaints that were pending before a grievance engaged in the misconduct specified in the affida-
panel on July 1, 1986, shall be deemed to have vit concurrently with the acceptance of the resig-
been filed on that date. nation.
(P.B. 1978-1997, Sec. 32.) (Amended June 24, 2002, to (c) If the written resignation is accompanied by
take effect July 1, 2003; May 14, 2003, effective date changed a waiver of the right to apply for readmission to
147
the bar, the affidavit required in (b) shall also state who has resigned from the bar and waived the
that the attorney desires to resign and waive his privilege of applying for readmission or reinstate-
or her right to apply for readmission to the bar at ment to the bar at any future time shall be eligible
any time in the future. to apply for readmission or reinstatement to the
(d) Any resignation submitted in accordance bar under this rule.
with this section shall be in writing, signed by the (c) In no event shall an application for reinstate-
attorney, and filed in sextuplicate with the clerk ment by an attorney disbarred pursuant to the
of the superior court in the judicial district in which provisions of Section 2-47A be considered until
the attorney resides, or if the attorney is not a after twelve years from the effective date of the
resident of this state, with the clerk of the superior disbarment. No such application may be granted
court in Hartford. The clerk shall forthwith send unless the attorney provides satisfactory evidence
one copy to the grievance panel, one copy to the that full restitution has been made of all sums
statewide bar counsel, one copy to disciplinary found to be knowingly misappropriated, including,
counsel, one copy to the state’s attorney, and one but not limited to, restitution to the client security
copy to the standing committee on recommenda- fund for all claims paid resulting from the attor-
tions for admission to the bar. Such resignation ney’s dishonest misconduct.
shall not become effective until accepted by the (d) Unless otherwise ordered by the court, an
court after a hearing, at which the court has application for reinstatement shall not be filed
accepted a report by the statewide grievance until:
committee, made a finding of misconduct based (1) The applicant is in compliance with Sections
upon the respondent’s affidavit, and made a find- 2-27 (d), 2-70 and 2-80;
ing that the resignation is knowingly and volunta- (2) The applicant is no longer the subject of any
rily made. pending disciplinary proceedings or investi-
(e) Acceptance by the court of an attorney’s gations;
resignation from the bar without the waiver of the (3) The applicant has passed the Multistate Pro-
right to apply for readmission to the bar at any fessional Responsibility Examination (MPRE) not
time in the future shall not be a bar to any other more than six months prior to the filing of the appli-
disciplinary proceedings based on conduct cation;
occurring before or after the acceptance of the (4) The applicant has successfully completed
attorney’s resignation. any criminal sentence including, but not limited
(P.B. 1978-1997, Sec. 35.) (Amended June 24, 2002, to to, a sentence of incarceration, probation, parole,
take effect July 1, 2003; May 14, 2003, effective date changed supervised release, or period of sex offender reg-
istration and has fully complied with any orders
amended June 29, 2007, to take effect Jan. 1, 2008; amended regarding conditions, restitution, criminal penal-
June 15, 2012, to take effect Jan. 1, 2013.) ties or fines;
(5) The applicant has fully complied with all
Sec. 2-53. Reinstatement after Suspension, conditions imposed pursuant to the order of disci-
Disbarment or Resignation pline. If an applicant asserts that a certain disci-
(a) An attorney who has been suspended from plinary condition is impossible to fulfill, he or she
the practice of law in this state for a period of must apply to the court that ordered the condition
one year or more shall be required to apply for for relief from that condition prior to filing an appli-
reinstatement in accordance with this section, cation for reinstatement;
unless the court that imposed the discipline (6) The bar examining committee has received
expressly provided in its order that such applica- an application fee. The fee shall be established
tion is not required. An attorney who has been by the chief court administrator and shall be
suspended for less than one year need not file expended in the manner provided by Section 2-
an application for reinstatement pursuant to this 22 of these rules.
section, unless otherwise ordered by the court at (e) An application for reinstatement shall be
the time the discipline was imposed. filed with the clerk of the superior court in the
(b) An attorney who was disbarred or resigned jurisdiction that issued the discipline. The applica-
shall be required to apply for reinstatement pursu- tion shall be filed under oath and on a form
ant to this section, but shall not be eligible to do approved by the office of the chief court adminis-
so until after five years from the effective date trator. The application shall be accompanied by
of disbarment or acceptance by the court of the proof of payment of the application fee to the bar
resignation, unless the court that imposed the dis- examining committee.
cipline expressly provided a shorter period of dis- (f) The application shall be referred by the clerk
barment or resignation in its order. No attorney of the superior court where it is filed to the chief
148
justice or designee, who shall refer the matter to on the Judicial Branch website, in the Connecticut
a standing committee on recommendations for Law Journal and in a newspaper with substantial
admission to the bar whose members do not main- distribution in the county where the application
tain their primary office in the same judicial district was filed.
as the applicant. (j) The standing committee shall take all testi-
(g) The clerk of the superior court shall give mony at its hearings under oath and shall include
notice of the pendency of the application to the in its report subordinate findings of facts and con-
state’s attorney of that court’s judicial district, the clusions as well as its recommendation. The
grievance counsel to the grievance panel whose standing committee shall have a record made of
jurisdiction includes that judicial district court loca- its proceedings which shall include a copy of the
tion, the statewide grievance committee, the office application for reinstatement, any reports filed by
of the chief disciplinary counsel, the client security the statewide grievance committee and office of
fund committee, the attorney or attorneys
the chief disciplinary counsel, a copy of the record
appointed by the court pursuant to Section 2-64,
and to all complainants whose complaints against of the applicant’s disciplinary history, a transcript
the attorney resulted in the discipline for which the of its hearings thereon, any exhibits received by
attorney was disbarred or suspended or resigned. the standing committee, any other documents
The clerk shall also promptly publish notice on considered by the standing committee in making
the Judicial Branch website, in the Connecticut its recommendations, and copies of all notices
Law Journal, and in a newspaper with substantial provided by the standing committee in accord-
distribution in the judicial district where the appli- ance with this section. Record materials con-
cation was filed. taining personal identifying information or medical
(h) Within sixty days of the referral from the information may, in the discretion of the standing
chief justice to a standing committee, the state- committee, be redacted, or open for inspection
wide grievance committee and the office of the only to the applicant and other persons having a
chief disciplinary counsel shall file a report with proper interest therein and upon order of the court.
the standing committee, which report may include The standing committee shall complete work on
additional relevant information, commentary in the the application within 180 days of referral from
information provided in the application and recom- the chief justice. It is the applicant’s burden to
mendations on whether the applicant should be demonstrate by clear and convincing evidence
reinstated. Both the statewide grievance commit- that he or she possesses good moral character
tee and the office of the chief disciplinary counsel and fitness to practice law as defined by Section
may file an appearance and participate in any 2-5A.
investigation into the application and at any hear- (k) Upon completion of its investigation, the
ing before the standing committee, and at any standing committee shall file its recommendation
court proceeding thereon. All filings by the state- in writing together with a copy of the record with
wide grievance committee and the office of the the clerk of the superior court. The report shall
chief disciplinary counsel and any other party shall recommend that the application be granted,
be served and certified to all other parties pursu- granted with conditions, or denied. The standing
ant to Section 10-12. committee’s report shall be served and certified
(i) The standing committee shall investigate the to all other parties pursuant to Section 10-12.
application, hold hearings pertaining thereto and (l) The court shall thereupon inform the chief
render a report with its recommendations to the
justice of the pending application and recommen-
court. The standing committee shall give written
dation, and the chief justice shall designate two
notice of all hearings to the applicant, the state’s
attorney of the court’s judicial district, the griev- other judges of the superior court to sit with the
ance counsel to the grievance panel whose juris- judge presiding at the session. The applicant, the
diction includes that judicial district location where statewide grievance committee, the office of the
the application was filed, the statewide grievance chief disciplinary counsel and the standing com-
committee, the office of the chief disciplinary mittee shall have an opportunity to appear and
counsel, the client security fund committee, the be heard at any hearing. The three judge panel,
attorney or attorneys appointed by the court pur- or a majority of them, shall determine whether the
suant to Section 2-64, and to all complainants application should be granted.
whose complaints against the attorney resulted (m) If the application for reinstatement is
in the discipline for which the attorney was dis- denied, the reasons therefor shall be stated on
barred or suspended or resigned. The standing the record or put in writing. Unless otherwise
committee shall also publish all hearing notices ordered by the court, the attorney may not reapply
149
for reinstatement for a period of at least one year (b) An attorney who has retired pursuant to this
following the denial. section shall thereafter be exempt from payment
(P.B. 1978-1997, Sec. 36.) (Amended Nov. 17, 1999, on of the client security fund fee set forth in Section
an interim basis, to take effect Jan. 1, 2000, and amendment 2-70 (a), but must continue to comply with the
adopted June 26, 2000, to take effect Jan. 1, 2001; amended registration requirements set forth in Sections 2-
June 24, 2002, to take effect July 1, 2003; May 14, 2003,
effective date changed to Oct. 1, 2003; Sept. 30, 2003, effec-
26 and 2-27 (d).
tive date changed to Jan. 1, 2004; amended June 26, 2006, (c) An attorney who has retired pursuant to this
to take effect Jan. 1, 2007; amended June 21, 2010, to take section and thereafter wishes to revoke the retire-
effect Jan. 1, 2011; amended June 15, 2012, to take effect ment and be eligible to practice law again in the
Jan. 1, 2013; amended June 14, 2013, to take effect Jan. state of Connecticut may do so at any time by
1, 2014.) sending written notice to the clerk for the judicial
Sec. 2-54. Publication of Notice of Repri- district of Hartford and the statewide bar counsel.
mand, Suspension, Disbarment, Resigna- (d) Retirement pursuant to this section shall not
tion, Placement on Inactive Status or be a bar to the initiation, investigation and pursuit
Reinstatement of disciplinary complaints filed on or subsequent
to the date of retirement.
(a) Notice of the final action transferring an (e) An attorney who has retired pursuant to this
attorney to inactive status or reprimanding, sus- section may engage in uncompensated services
pending, or disbarring an attorney from practice to clients under the supervision of an organized
in this state shall be published once in the Con- legal aid society, a state or local bar association
necticut Law Journal by the authority accepting project, or a court-affiliated pro bono program.
or approving such action. Notice of a reprimand (P.B. 1978-1997, Sec. 37.) (Amended Nov. 17, 1999, on
by the statewide grievance committee or by a an interim basis pursuant to Section 1-9 (c), to take effect Jan.
reviewing committee shall not be published until 1, 2000, and amendment adopted June 26, 2000, to take effect
the expiration of any stay pursuant to Sections 2- Jan. 1, 2001; amended June 14, 2013, to take effect Jan.
35 (e) and 2-38. 1, 2014.)
(b) Notice of the resignation or reinstatement Sec. 2-55A. Retirement of Attorney—Per-
after suspension, disbarment, resignation or manent
placement on inactive status of an attorney shall
be published once in the Connecticut Law Journal (a) An attorney who is admitted to the bar in
by the authority accepting or approving such the state of Connecticut and is not the subject of
action. any pending disciplinary investigation may submit
(P.B. 1978-1997, Sec. 36A.) (Amended June 28, 1999, to a written request on a form approved by the office
take effect Jan. 1, 2000.) of the chief court administrator to the statewide
bar counsel for permanent retirement under this
Sec. 2-55. Retirement of Attorney—Right section. Upon receipt of the request, the statewide
of Revocation bar counsel shall review it and, if it is found that
(Amended June 14, 2013, to take effect Jan. 1, 2014.) the attorney is eligible for retirement under this
(a) An attorney who is admitted to the bar in section, shall grant the request and notify the
the state of Connecticut and is not the subject of attorney and the clerk for the judicial district of
any pending disciplinary investigation may submit Hartford. Retirement shall not constitute removal
a written request on a form approved by the office from the bar or the roll of attorneys, but it shall
of the chief court administrator to the statewide be noted on the roll of attorneys kept by the clerk
bar counsel for retirement under this section. for the judicial district of Hartford. If granted, the
Upon receipt of the request, the statewide bar attorney shall no longer be eligible to practice law
counsel shall review it and, if it is found that the as an attorney admitted in the state of Con-
attorney is eligible for retirement under this sec- necticut.
tion, shall grant the request and notify the attorney (b) An attorney who has retired pursuant to this
and the clerk for the judicial district of Hartford. section shall thereafter be exempt from the regis-
Retirement shall not constitute removal from the tration requirements set forth in Sections 2-26 and
bar or the roll of attorneys, but it shall be noted 2-27 (d) and from payment of the client security
on the roll of attorneys kept by the clerk for the fund fee set forth in Section 2-70 (a).
judicial district of Hartford. If the request is (c) An attorney who has retired pursuant to this
granted, the attorney shall no longer be eligible section and thereafter wishes to be eligible to
to practice law as an attorney admitted in the state practice law again in the state of Connecticut must
of Connecticut, except as provided in subsection apply for admission to the bar pursuant to Sec-
(e) of this section. tions 2-8 or 2-13.
150
(d) Retirement pursuant to this section shall not take or direct such action as it deems necessary
be a bar to the initiation, investigation and pursuit or proper for such determination, including exami-
of disciplinary complaints filed on or subsequent nation of the attorney by such qualified medical
to the date of retirement. expert or experts as the court shall designate, at
(Adopted June 14, 2013, to take effect Jan. 1, 2014.) the expense of the judicial branch. If, upon due
Sec. 2-56. Inactive Status of Attorney consideration of the matter, the court is satisfied
and concludes that the attorney is incapacitated
During the time an order placing an attorney on from continuing to practice law, it shall enter an
inactive status is in effect, such attorney shall be order placing the attorney in an inactive status on
precluded from practicing law. No entry fee shall the ground of such disability for an indefinite
be required for proceedings pursuant to this sec- period and until the further order of the court, and
tion and Sections 2-57 through 2-62. Any hearings any pending disciplinary proceedings against the
necessitated by the proceedings may, in the dis- attorney shall be held in abeyance.
cretion of the court, be held in chambers, and (b) The court may provide for such notice to the
records and papers filed in connection therewith respondent attorney of proceedings in the matter
shall be open for inspection only to persons having as is deemed proper and advisable and shall
a proper interest therein and upon order of the appoint an attorney, at the expense of the judicial
court. The court shall, in exercising discretion, branch, to represent any respondent who is with-
weigh the public policy in favor of open proceed- out adequate representation.
ings, as well as the duty to protect the public, (P.B. 1978-1997, Sec. 41.) (Amended June 24, 2002, to
against the attorney’s right to medical and mental take effect July 1, 2003; May 14, 2003, effective date changed
health privacy and ability to pursue a livelihood. to Oct. 1, 2003; Sept. 30, 2003, effective date changed to Jan.
(P.B. 1978-1997, Sec. 39.) (Amended June 24, 2002, to 1, 2004.)
to Oct. 1, 2003; Sept. 30, 2003, effective date changed to Jan. Sec. 2-59. —Disability Claimed during
1, 2004.) Course of Disciplinary Proceeding
Sec. 2-57. —Prior Judicial Determination of If, during the course of a disciplinary proceed-
Incompetency or Involuntary Commitment ing, the respondent contends that he or she is
suffering, by reason of mental infirmity or illness,
In the event an attorney is by a court of compe- or because of drug dependency or addiction to
tent jurisdiction (1) declared to be incapable of alcohol, from a disability which makes it impossi-
managing his or her affairs or (2) committed invol- ble for the respondent adequately to defend him-
untarily to a mental hospital for drug dependency, self or herself, the court thereupon shall, in a
mental illness, or the addictive, intemperate, or proceeding instituted in substantial accordance
excessive use of alcohol, the superior court, upon with the provisions of Section 2-58, enter an order
notice from a grievance panel, a reviewing com- placing the respondent on inactive status until a
mittee, the statewide grievance committee or a determination is made of the respondent’s capac-
state’s attorney and upon proof of the fact of inca- ity to defend himself or herself. Notice of the insti-
pacity to engage in the practice of law, shall enter tution of inactive status proceedings shall be
an order placing such attorney upon inactive sta- provided to the statewide bar counsel. If the court
tus, effective immediately, for an indefinite period determines that the respondent is not incapaci-
and until further order of the court. A copy of such tated from practicing law, it shall take such action
order shall be served, in such manner as the court as it deems proper and advisable, including a
shall direct, upon such attorney, the attorney’s direction for the resumption of the disciplinary pro-
conservator if any, and the director of any mental ceeding against the respondent.
hospital in which the attorney may reside. (P.B. 1978-1997, Sec. 42.) (Amended June 24, 2002, to
(P.B. 1978-1997, Sec. 40.) take effect July 1, 2003; May 14, 2003, effective date changed
Sec. 2-58. —No Prior Determination of 1, 2004.)
Incompetency or Involuntary Commitment
(a) Whenever a grievance panel, a reviewing Sec. 2-60. —Reinstatement upon Termina-
committee, the statewide grievance committee or tion of Disability
the disciplinary counsel shall have reason to (a) Any attorney placed upon inactive status
believe that an attorney is incapacitated from con- under the provisions of these rules shall be enti-
tinuing to practice law by reason of mental infirmity tled to apply for reinstatement, without the pay-
or illness or because of drug dependency or addic- ment of an entry fee, at such intervals as the court
tion to alcohol, such panel, committee or counsel, may direct in the order placing the attorney on
shall petition the court to determine whether the inactive status or any modification thereof. Such
attorney is so incapacitated and the court may application shall be granted by the court upon a
151
showing by clear and convincing evidence that to have been engaged in the unauthorized prac-
the attorney’s disability has been removed and tice of law pursuant to General Statutes § 51-88.
the attorney is fit to resume the practice of law. (P.B. 1978-1997, Sec. 46A.)
Upon such application, the court may take or
direct such action as it deems necessary or Sec. 2-64. Appointment of Attorney to Pro-
proper, including the determination whether the tect Clients’ and Attorney’s Interests
attorney’s disability has been removed, and (a) Whenever an attorney is placed upon inac-
including direction of an examination of the attor- tive status, suspended, disbarred, or resigns, the
ney by such qualified medical expert or experts court, upon such notice to him or her as the court
as the court shall designate. The court shall direct may direct, shall appoint an attorney or attorneys
that the expense of such an examination be paid to inventory the files of the inactive, suspended,
either by the attorney or by the judicial branch. disbarred or resigned attorney and to take such
(b) Where an attorney has been placed on inac- action as seems indicated to protect the interests
tive status by an order in accordance with the of the attorney’s clients. The court may also
provisions of Section 2-57 and thereafter, in pro- appoint an attorney to protect the interests of the
ceedings duly taken, has been judicially declared attorney placed on inactive status, suspended,
to be competent, the court may dispense with disbarred or resigned with respect to such files,
further evidence that his or her disability has been when the attorney is not otherwise represented
removed and may direct his or her return to active and the court deems that such representation is
status upon such terms as are deemed proper necessary. If the discipline imposed is not effec-
and advisable. tive immediately as a result of an appeal or stay,
(P.B. 1978-1997, Sec. 44.) the court, after the hearing and consideration of
the merits of the appeal or reason for the stay,
Sec. 2-61. —Burden of Proof in Inactive Sta- may issue interim orders to protect the public dur-
tus Proceedings ing the pendency of the appeal period or stay, until
In a proceeding seeking an order to place an the discipline order becomes effective. In case of
attorney on inactive status, the burden of proof an attorney’s death, the court may appoint an
shall rest with the petitioner. In a proceeding seek- attorney where no partner, executor or other
ing an order terminating inactive status, the bur- responsible party capable of conducting the
den of proof shall rest with the inactive attorney. deceased attorney’s affairs is known to exist or
(P.B. 1978-1997, Sec. 45.) willing to assume the responsibility.
(b) Any attorney so appointed by the court shall
Sec. 2-62. —Waiver of Doctor-Patient Privi- not be permitted to disclose any information con-
lege upon Application for Reinstatement tained in any file so inventoried without the con-
The filing of an application for reinstatement by sent of the client to whom such file relates except
an attorney on inactive status shall be deemed to as is necessary to carry out the order of the court
constitute a waiver of any doctor-patient privilege which appointed the attorney to make such
existing between the attorney and any psychia- inventory.
trist, psychologist, physician or hospital who or (c) Not less frequently than once each year and
which has examined or treated the attorney during at such time as the attorney may be returned
the period of disability. The attorney shall be to active status, reinstated or readmitted to the
required to disclose the name of every psychia- practice of law or when the attorney appointed to
trist, psychologist, physician and hospital by protect clients’ interests has finished rendering
whom or at which the attorney has been examined services to those clients, the appointed attorney
or treated since being placed on inactive status shall file with the court, for its examination and
and shall furnish to the court written consent to approval, a report showing fees earned from the
each to divulge such information and records as clients of the attorney, necessary disbursements,
are requested by court-appointed medical experts and the amount requested by the appointed attor-
or by the clerk of the court. ney as a fee for services rendered, to be paid out
(P.B. 1978-1997, Sec. 46.) of the funds received. Any attorney so appointed
by the court for the inactive, suspended, dis-
Sec. 2-63. Definition of Respondent barred, resigned or deceased attorney may also
When used in Sections 2-29 through 2-62 the be reimbursed for his or her services from any
word ‘‘respondent’’ shall mean the attorney amount found to be due to the inactive, sus-
against whom a grievance complaint or present- pended, disbarred, resigned or deceased attorney
ment has been filed or a person who is alleged for services rendered to such clients. All attorney’s
152
fees paid to any attorney appointed hereunder criminal case in behalf of any accused in any state
shall be subject to court approval. or federal court.
(d) Unless the attorney appointed to protect cli- (d) No chief clerk, deputy chief clerk, clerk, dep-
ents’ interests is a partner or associate of the uty clerk or assistant clerk who has been
attorney, if the attorney is returned to active status, appointed on a full-time basis shall appear as
reinstated or readmitted, the appointed attorney counsel in any civil or criminal case in any state
shall immediately cease representing the clients or federal court. Such persons may otherwise
of the attorney and shall return to the reinstated engage in the practice of law as permitted by
or readmitted attorney, or to the attorney returned established judicial branch policy.
to active status, such files as the appointed attor- (e) No chief public defender, deputy chief public
ney may have received, and the appointed attor- defender, public defender, assistant public
ney and partners and associates shall not defender or deputy assistant public defender shall
represent any person who was a client of the appear in behalf of the state in any criminal case.
reinstated or readmitted attorney, or who was a (P.B. 1978-1997, Sec. 47.)
client of an attorney returned to active status, on Sec. 2-67. Payment of Attorneys by Bank
or before the date when he or she was placed and Trust Companies
upon inactive status, suspended, disbarred or
resigned, unless the court which entered the order (a) No attorney shall directly or indirectly receive
directing reinstatement, readmission, or return to payment from any bank or trust company for legal
active status shall order otherwise after written services rendered to others in the preparation of
request to the court by the client whose interest wills, codicils or drafts of such instruments or for
is involved. advising others as to legal rights under existing
(P.B. 1978-1997, Sec. 46B.) (Amended June 24, 2002, to or proposed instruments of that character.
take effect July 1, 2003; May 1, 2003, effective date changed (b) The violation of this section by an attorney
to Oct. 1, 2003; Sept. 30, 2003, effective date changed to Jan. may be cause for grievance proceedings.
1, 2004.) (P.B. 1978-1997, Sec. 48.)
Sec. 2-65. Good Standing of Attorney Sec. 2-68. Client Security Fund Established
An attorney is in good standing in this state if (a) A client security fund is hereby established
the attorney has been admitted to the bar of this to promote public confidence in the judicial system
state, has registered with the statewide grievance and the integrity of the legal profession by reim-
committee in compliance with Section 2-27 (d), bursing clients, to the extent provided for by these
has complied with Section 2-70, and is not under rules, for losses resulting from the dishonest con-
suspension, on inactive status, disbarred, or duct of attorneys practicing law in this state in the
resigned from the bar. course of the attorney-client relationship and by
(P.B. 1978-1997, Sec. 46C.) (Amended June 22, 2009, to providing crisis intervention and referral assis-
take effect Jan. 1, 2010.) tance to attorneys admitted to the practice of law
in this state who suffer from alcohol or other sub-
Sec. 2-66. Practice by Court Officials stance abuse problems or gambling problems, or
(a) No lawyer who is a judge of the supreme who have behavioral health problems.
court, appellate court or superior court shall prac- (b) It is the obligation of all attorneys admitted
tice law in any state or federal court. to the practice of law in this state to participate in
(b) The chief public defender, the deputy chief the collective effort to reimburse clients who have
public defender, public defenders, assistant public lost money or property as the result of the unethi-
defenders, deputy assistant public defenders, the cal and dishonest conduct of other attorneys and
chief state’s attorney, the deputy chief state’s to provide crisis intervention and referral assis-
attorney, state’s attorneys, assistant state’s attor- tance to attorneys admitted to the practice of law
neys and deputy assistant state’s attorneys who in this state who suffer from alcohol or other sub-
have been appointed on a full-time basis will stance abuse problems or gambling problems, or
devote their full time to the duties of their offices, who have behavioral health problems.
will not engage in the private practice of law, either (c) The client security fund is provided as a
civil or criminal, and will not be connected in any public service to persons using the legal services
way with any attorney or law firm engaged in the of attorneys practicing in this state and as a means
private practice of law. of providing crisis intervention and referral assis-
(c) No state’s attorney or assistant state’s attor- tance to impaired attorneys. All moneys and
ney, no partner or associate of a law firm of which assets of the fund shall constitute a trust.
any of the aforementioned court officials is a part- (d) The establishment, administration and oper-
ner or associate, shall appear as counsel in any ation of the fund shall not impose or create any
153
obligation, expectation of recovery from or liability for more than six months in such year shall be
of the fund to any claimant or attorney, and all exempt from payment of the fee, and an attorney
reimbursements therefrom shall be a matter of who does not engage in the practice of law as an
grace and not of right. occupation and receives less than $450 in legal
(Adopted June 29, 1998, to take effect Jan. 1, 1999; fees or other compensation for services involving
amended May 3, 2005, to take effect May 17, 2005.) the practice of law during the calendar year shall
Sec. 2-68A. —Crisis Intervention and Refer- be obligated to pay one-half of such fee. No attor-
ral Assistance ney who is disbarred, retired or resigned shall be
reinstated pursuant to Sections 2-53 or 2-55 until
(a) The chief court administrator may enter into
any contracts and take such other action as may such time as the attorney has paid the fee due
be reasonably necessary to provide for crisis inter- for the year in which the attorney retired, resigned
vention and referral assistance to attorneys admit- or was disbarred.
ted to the practice of law in this state who suffer (b) An attorney or family support referee who
from alcohol or other substance abuse problems fails to pay the client security fund fee in accord-
or gambling problems, or who have behavioral ance with this section shall be administratively
health problems. suspended from the practice of law in this state
(b) The crisis intervention and referral assis- pursuant to Section 2-79 of these rules until such
tance shall be provided with the assistance of an payment, along with a reinstatement fee of $75,
advisory committee appointed by the chief court has been made. An attorney or family support
administrator that shall include one or more referee who is under suspension for another rea-
behavioral health professionals. son at the time he or she fails to pay the fee, shall
(Adopted May 3, 2005, to take effect May 17, 2005.) be the subject of an additional suspension which
shall continue until the fee and reinstatement fee
Sec. 2-69. —Definition of Dishonest are paid.
Conduct (c) A judge, judge trial referee, state referee,
(a) As used in Sections 2-68 through 2-81, inclu- family support magistrate or workers’ compensa-
sive, ‘‘dishonest conduct’’ means wrongful acts tion commissioner who fails to pay the client secu-
committed by an attorney, in an attorney-client rity fund fee in accordance with this section shall
relationship or in a fiduciary capacity arising out be referred to the judicial review council.
of an attorney-client relationship, in the nature of (Adopted June 29, 1998, to take effect Jan. 1, 1999;
theft or embezzlement of money or the wrongful amended June 28, 1999, to take effect Jan. 1, 2000; amended
taking or conversion of money, property, or other Nov. 17, 1999, on an interim basis pursuant to Section 1-9
things of value, including, but not limited to refusal (c), to take effect Jan. 1, 2000, and amendment adopted June
to refund unearned fees received in advance as 26, 2000, to take effect Jan. 1, 2001; amended June 21, 2004,
required by Rule 1.16 (d) of the Rules of Profes- to take effect July 13, 2004; amended May 3, 2005, to take
effect May 17, 2005; amended June 20, 2005, to take effect
sional Conduct. Jan. 1, 2006; amended June 15, 2012, to take effect Jan.
(b) ‘‘Dishonest conduct’’ does not include such 1, 2013.)
wrongful acts committed in connection with the
provision of investment services to the claimant Sec. 2-71. —Eligible Claims
by the attorney. (a) A claim for reimbursement of a loss must be
based upon the dishonest conduct of an attorney
Sec. 2-70. —Client Security Fund Fee who, in connection with the defalcation upon
(a) The judges of the superior court shall assess which the claim is based, was a member of the
an annual fee in an amount adequate for the Connecticut bar and engaged in the practice of
proper payment of claims and the provision of law in this state.
crisis intervention and referral assistance under (b) The claim shall not be eligible for reimburse-
these rules and the costs of administering the ment unless:
client security fund. Such fee, which shall be $75, (1) the attorney was acting as an attorney or
shall be paid by each attorney admitted to the fiduciary in the matter in which the loss arose;
practice of law in this state and each judge, judge (2) the attorney has died, been adjudged inca-
trial referee, state referee, family support magis- pable, not competent or insane, been disbarred
trate, family support referee and workers’ com- or suspended from the practice of law in Connecti-
pensation commissioner in this state. cut, been placed on probation or inactive status
Notwithstanding the above, an attorney who is by a Connecticut court, resigned from the Con-
disbarred, retired, resigned, or serving on active necticut bar, or become the judgment debtor of
duty with the armed forces of the United States the claimant with respect to such claim; and
154
(3) the claim is presented within four years of term, but a member may be reappointed after a
the time when the claimant discovered or first lapse of one year. The appointment of any mem-
reasonably should have discovered the dishonest ber may be revoked or suspended by the chief
acts and the resulting losses or the claim was justice. In connection with such revocation or sus-
pending before the Connecticut Bar Association’s pension, the chief justice shall appoint a qualified
client security fund committee as of the effective individual to fill the vacancy for the remainder of
date of this rule. the term or for any other appropriate period. In
(c) Except as provided by subsection (d) of this the event that a vacancy arises in this position
section, the following losses shall not be eligible before the end of a term by reason other than
for reimbursement: revocation or suspension, the chief justice shall
(1) losses incurred by spouses, children, par- fill the vacancy for the balance of the term or for
ents, grandparents, siblings, partners, associates any other appropriate period.
and employees of the attorney causing the losses; (b) The client security fund committee shall
(2) losses covered by any bond, surety elect from among its members a chair and a vice-
agreement, or insurance contract to the extent chair who shall serve for a period of one year.
covered thereby, including any loss to which any (c) Seven members of the client security fund
bonding agent, surety or insurer is subrogated, to
committee shall constitute a quorum at its meet-
the extent of that subrogated interest;
ings. The chair may assign individual members
(3) losses incurred by any financial institution
of the committee to investigate and report on
which are recoverable under a ‘‘banker’s blanket
claims to the committee.
bond’’ or similar commonly available insurance or
surety contract; (d) Members shall serve without compensation,
(4) losses incurred by any business entity con- but shall be reimbursed for their necessary and
trolled by the attorney, any person or entity reasonable expenses incurred in the discharge of
described in subdivisions (c) (1), (2), or (3) herein; their duties.
(5) losses incurred by any governmental entity (e) The client security fund committee shall
or agency. operate under the supervision of the superior
(d) In cases of extreme hardship or special and court judges and report on its activities to the
unusual circumstances, the client security fund executive committee of the superior court on at
committee may, in its discretion, consider a claim least a quarterly basis.
eligible for reimbursement which would otherwise (Adopted June 29, 1998, to take effect Jan. 1, 1999.)
be excluded under these rules.
Sec. 2-73. —Powers and Duties of Client
(e) In cases where it appears that there will be
Security Fund Committee
unjust enrichment, or the claimant unreasonably
or knowingly contributed to the loss, the client In addition to any other powers and duties set
security fund committee may, in its discretion, forth in Sections 2-68 through 2-81, the client
deny the claim. security fund committee shall:
(Adopted June 29, 1998, to take effect Jan. 1, 1999.) (a) Publicize its activities to the public and bar,
including filing with the chief justice and the execu-
Sec. 2-72. —Client Security Fund Com-
tive committee of the superior court an annual
mittee
report on the claims made and processed and the
(a) There is hereby established a client security amounts disbursed.
fund committee which shall consist of fifteen mem- (b) Receive, investigate and evaluate claims
bers who shall be appointed by the chief justice. for reimbursement.
Nine of the members shall be attorneys, three
shall not be attorneys and three shall be individu- (c) Determine in its judgment whether reim-
als who serve in one of the following capacities: bursement should be made and the amount of
superior court judge, judge trial referee, appellate such reimbursement.
court judge, supreme court justice, family support (d) Prosecute claims for restitution against
magistrate, family support referee or workers’ attorneys whose conduct has resulted in dis-
compensation commissioner. Members shall be bursements.
appointed for terms of three years, provided, how- (e) Employ such persons and contract with any
ever, that of the members first appointed, five shall public or private entity as may be reasonably nec-
serve for one year, five for two years and five for essary to provide for its efficient and effective
three years. No person shall serve as a member operations, which shall include, but not be limited
for more than two consecutive three year terms, to, the investigation of claims and the prosecution
excluding any appointments for less than a full of claims for restitution against attorneys.
155
(f) Pay to the chief court administrator for the (c) The client security fund committee may, to
provision of crisis intervention and referral assis- the extent permitted by law, request and receive
tance to attorneys admitted to the practice of law from the state’s attorneys and from the superior
in this state who suffer from alcohol or other sub- court information relative to the client security fund
stance abuse problems or gambling problems, or committee’s investigation, processing and deter-
who have behavioral health problems, any mination of claims.
amounts required pursuant to Section 2-77. (d) A certified copy of an order disciplining an
(g) Perform all other acts necessary or proper attorney for the same dishonest act or conduct
for the fulfillment of the purposes and effective alleged in a claim, or a final trial court judgment
administration of the fund. imposing civil or criminal liability therefor, shall be
(Adopted June 29, 1998, to take effect Jan. 1, 1999; evidence that the attorney committed such dis-
amended May 3, 2005, to take effect May 17, 2005.) honest act or conduct.
Sec. 2-74. —Regulations of Client Security (e) The client security fund committee may
Fund Committee require that a claimant, the subject attorney or
any other person give testimony relative to a claim
The client security fund committee shall have and may designate one or more members to
the power and authority to implement these rules receive the testimony and render a report thereon
by regulations relevant to and not inconsistent
to the committee.
with these rules. Such regulations may be
(f) The client security fund committee shall, on
adopted at any regular meeting of the client secu-
rity fund committee or at any special meeting the basis of the record, make its determination in
called for that purpose. The regulations shall be its sole and absolute discretion as to the validity
effective sixty days after publication in one issue of claims. A determination shall require an affirma-
of the Connecticut Law Journal and shall at all tive vote of at least seven members.
times be subject to amendment or revision by the (g) Based upon the claims approved for reim-
committee. A copy shall be provided to the chief bursement, the claims being processed and the
justice, the chief court administrator, and the exec- amounts available in the client security fund, the
utive committee of the superior court. client security fund committee shall determine in
(Adopted June 29, 1998, to take effect Jan. 1, 1999; its sole and absolute discretion the amount, the
amended June 20, 2011, to take effect Jan. 1, 2012.) order and the manner of the payment to be made
on the approved claim.
Sec. 2-75. —Processing Claims (h) Reimbursements shall not include interest,
(a) Upon receipt of a claim the client security expenses, or attorney’s fees in processing the
fund committee shall cause an appropriate inves- claim, and may be paid in a lump sum or in
tigation to be conducted and shall cause the attor- installments.
ney who is the subject of the claim or the attorney’s (i) The client security fund committee shall notify
representative to be notified by certified mail the claimant and the subject attorney of its deter-
within ten days of the filing of such claim. The mination, which shall be final and not be subject
attorney or his or her representative shall have to review by any court.
twenty days from the date the notice was mailed (j) The approval or disapproval of a claim shall
to file a response with the client security fund not be pertinent in any disciplinary proceeding.
committee. Before processing a claim, the client (Adopted June 29, 1998, to take effect Jan. 1, 1999.)
security fund committee may require the claimant
to pursue other remedies he or she may have. Sec. 2-76. —Confidentiality
(b) The client security fund committee shall (a) Claims, proceedings and reports involving
promptly notify the statewide grievance commit- claims for reimbursement for losses caused by
tee of each claim and shall request the grievance the dishonest conduct of attorneys are confiden-
committee to furnish it with a report of its investiga- tial until the client security fund committee autho-
tion, if any, on the matter. The statewide grievance rizes a disbursement to the claimant, at which
committee shall allow the client security fund com- time the committee may disclose the name of the
mittee access to its records during an investiga- claimant, the attorney whose conduct produced
tion of a claim. The client security fund committee the claim and the amount of the reimbursement.
shall evaluate whether the investigation is com- However, the client security fund committee may
plete and determine whether it should conduct provide access to relevant information regarding
additional investigation or await the pendency of such claims to the statewide grievance commit-
any disciplinary investigation or proceeding tee, grievance panels, to law enforcement agen-
involving the same act or conduct as is alleged cies, to the office of the chief disciplinary counsel,
in the claim. and to a judge of the superior court. The client
156
security fund committee may also disclose such specifically approved by the client security fund
information to any attorney retained or employed committee for payment out of the award.
by the committee to protect the interests of the (Adopted June 29, 1998, to take effect Jan. 1, 1999.)
client security fund or the committee in any state
or federal action in which the interests of the com- Sec. 2-79. —Enforcement of Payment of Fee
mittee or the fund may be at issue, and may dis- (a) The client security fund committee shall
close such information as may be necessary to send a notice to each attorney who has not paid
protect the rights of the committee in any action the client security fund fee pursuant to Section 2-
or proceeding in which the committee’s right to 70 of these rules that the attorney’s license to
receive restitution pursuant to Sections 2-80 or 2- practice law in this state may be administratively
81 is at issue. The client security fund committee suspended unless within sixty days from the date
may also provide statistical information regarding of such notice the client security fund committee
claims which does not disclose the names of receives from such attorney proof that he or she
claimants and attorneys until a disbursement is has either paid the fee or is exempt from such
authorized. payment. If the client security fund committee
(b) All information given or received in connec- does not receive such proof within the time
tion with the provision of crisis intervention and required, it shall cause a second notice to be sent
referral assistance under these rules shall be sub- to the attorney advising the attorney that he or
ject to the provisions of General Statutes § 51- she will be referred to the superior court for an
81d (f). administrative suspension of the attorney’s
amended May 3, 2005, to take effect May 17, 2005; amended license to practice law in this state unless within
June 26, 2006, to take effect Jan. 1, 2007.) thirty days from the date of the notice proof of the
payment of the fee or exemption is received. The
Sec. 2-77. —Review of Status of Fund client security fund committee shall submit to the
The client security fund committee shall periodi- clerk of the superior court for the Hartford Judicial
cally analyze the status of the fund, the approved District a list of attorneys who did not provide proof
claims and the pending claims, and the cost to the of payment or exemption within thirty days after
fund of providing crisis intervention and referral the date of the second notice. Upon order of the
assistance to attorneys, to ensure the integrity of court, the attorneys so listed and referred to the
the fund for its intended purposes. Based upon clerk shall be deemed administratively suspended
the analysis and recommendation of the client from the practice of law in this state until such
security fund committee, the judges of the supe- time as payment of the fee and the reinstatement
rior court may increase or decrease the amount fee assessed pursuant to Section 2-70 is made,
of the client security fund fee and the superior which suspension shall be effective upon publica-
court executive committee may fix a maximum tion of the list in the Connecticut Law Journal.
amount on reimbursements payable from the An administrative suspension of an attorney for
fund. failure to pay the client security fund fee shall not
The amount paid from the fund in any calendar be considered discipline, but an attorney who is
year to the chief court administrator for the provi- placed on administrative suspension for such fail-
sion of crisis intervention and referral assistance ure shall be ineligible to practice law as an attor-
to attorneys shall not exceed 15.9 percent of the ney admitted to practice in this state, and shall
amount received by the fund from payments of not be considered in good standing pursuant to
the client security fund fee in the prior calendar Section 2-65 of these rules until such time as the
year. If less than the 15.9 percent maximum fee and reinstatement fee are paid. An attorney
amount is paid from the fund in any calendar year aggrieved by an order placing the attorney on
for the provision of crisis intervention and referral administrative suspension for failing to pay the
assistance to attorneys, the remaining amount client security fund fee may make an application
may not be carried over and added to the amount
to the superior court to have the order vacated,
that may be paid from the fund for that purpose
by filing the application with the superior court for
in any other year.
(Adopted June 29, 1998, to take effect Jan. 1, 1999; the Hartford Judicial District within thirty days of
amended May 3, 2005, to take effect May 17, 2005.) the date that the order is published, and mailing
a copy of the same by certified mail, return receipt
Sec. 2-78. —Attorney’s Fee for Prosecut- requested, to the office of the client security fund
ing Claim committee. The application shall set forth the rea-
No attorney shall accept any fee for prosecuting sons why the application should be granted. The
a claim on behalf of a claimant, except where court shall schedule a hearing on the application,
157
which shall be limited to whether good cause (c) Upon commencement of an action by the
exists to vacate the suspension order. client security fund committee as subrogee or
(b) If a judge, judge trial referee, state referee, assignee of a claim, it shall advise the claimant,
family support magistrate or workers’ compensa- who may then join in such action to recover the
tion commissioner has not paid the client security claimant’s unreimbursed losses.
fund fee, the office of the chief court administrator (d) In the event that the claimant commences
shall send a notice to such person that he or she an action to recover unreimbursed losses against
will be referred to the judicial review council unless the attorney or another entity who may be liable
within sixty days from the date of such notice for the claimant’s loss, the claimant shall be
the office of the chief court administrator receives required to notify the client security fund commit-
from such person proof that he or she has either tee of such action.
paid the fee or is exempt from such payment. If (e) The claimant shall be required to agree to
the office of the chief court administrator does not cooperate in all efforts that the client security fund
receive such proof within the time required, it shall committee undertakes to achieve restitution for
refer such person to the judicial review council. the fund.
(c) Family support referees shall be subject to (Adopted June 29, 1998, to take effect Jan. 1, 1999.)
the provisions of subsection (a) herein until such
Sec. 2-82. Admission of Misconduct; Disci-
time as they come within the jurisdiction of the
pline by Consent
judicial review council, when they will be subject
to the provisions of subsection (b). (a) The disciplinary counsel to whom a com-
(d) The notices required by this section shall plaint is forwarded after a finding that probable
be sent by certified mail, return receipt requested cause exists that the respondent is guilty of mis-
or with electronic delivery confirmation to the last conduct may negotiate a proposed disposition of
address registered by the attorney pursuant to the complaint with the respondent or, if the
Section 2-26 and Section 2-27 (d), and to the respondent is represented by an attorney, with
home address of the judge, judge trial referee, the respondent’s attorney. Such a proposed dis-
state referee, family support magistrate, family position shall be based upon the respondent’s
support referee or workers’ compensation com- admission of misconduct, which shall consist of
missioner. either (1) an admission by the respondent that the
(Adopted June 29, 1998, to take effect Jan. 1, 1999; material facts alleged in the complaint, or a portion
amended June 20, 2005, to take effect Jan. 1, 2006; amended thereof describing one or more acts of misconduct
June 15, 2012, to take effect Jan. 1, 2013.) to which the admission relates, are true, or (2) if
the respondent denies some or all of such material
Sec. 2-80. —Restitution by Attorney facts, an acknowledgment by the respondent that
An attorney whose dishonest conduct has there is sufficient evidence to prove such material
resulted in reimbursement to a claimant shall facts by clear and convincing evidence.
make restitution to the fund including interest and (b) If disciplinary counsel and the respondent
the expense incurred by the fund in processing the agree to a proposed disposition of the matter, they
claim. An attorney’s failure to make satisfactory shall place their agreement in writing and submit
arrangements for restitution shall be cause for it, together with the complaint, the record in the
suspension, disbarment, or denial of an applica- matter, and the respondent’s underlying admis-
tion for reinstatement. sion of misconduct, for approval as follows: (i) by
(Adopted June 29, 1998, to take effect Jan. 1, 1999.) the court, in all matters involving possible suspen-
sion or disbarment, or possible imposition of a
Sec. 2-81. —Restitution and Subrogation period of probation or other sanctions beyond the
(a) An attorney whose dishonest conduct authority of the statewide grievance committee,
results in reimbursement to a claimant shall be as set forth in Section 2-37; or (ii) by a reviewing
liable to the fund for restitution; and the client committee of the statewide grievance committee,
security fund committee may bring such action as in all other matters. If, after a hearing, the admis-
it deems advisable to enforce such obligation. sion of misconduct is accepted and the proposed
(b) As a condition of reimbursement, a claimant disposition is approved by the court or the
shall be required to provide the fund with a pro reviewing committee, the matter shall be disposed
tanto transfer of the claimant’s rights against the of in the manner agreed to. If any resulting admis-
attorney, the attorney’s legal representative, sion of misconduct or proposed disposition is
estate or assigns; and of the claimant’s rights rejected by the court or the reviewing committee,
against any third party or entity who may be liable the admission of misconduct and proposed dispo-
for the claimant’s loss. sition shall be withdrawn, shall not be made public,
158
and shall not be used against the respondent in respondent committed the following acts of mis-
any subsequent proceedings. In that event, the conduct: (list specific acts); and
matter shall be referred for further proceedings to (3) Either (i) that the respondent admits that the
a different judicial authority or reviewing commit- material facts alleged in the complaint, or in that
tee, as appropriate. portion thereof to which the respondent’s admis-
(c) If disciplinary counsel and the respondent sion relates, are true, or (ii) if the respondent
are unable to agree to a proposed disposition denies some or all of such material facts, that the
of the matter, the respondent may nonetheless respondent acknowledges that there is sufficient
tender an admission of misconduct, which shall be evidence to prove such material facts by clear
in accordance with subsection (a) of this section. If and convincing evidence.
such an admission of misconduct without pro- (e) The disciplinary counsel may recommend
posed disposition is tendered, disciplinary coun- dismissal of acts of misconduct alleged in the
sel shall cause it to be forwarded, together with complaint that are not admitted by the respondent.
the complaint and the record in the matter, for The respondent’s admission of some acts of mis-
consideration, possible acceptance and disposi- conduct shall not foreclose the disciplinary coun-
tion as follows: (i) by the court, in all matters involv- sel from pursuing discipline based upon other acts
ing possible suspension or disbarment, or of misconduct alleged in the complaint.
possible imposition of a period of probation or (f) Prior to acceptance by the court or the
other sanctions beyond the authority of the state- reviewing committee of the admission of miscon-
wide grievance committee, as set forth in Section duct, the proposed disposition of the matter, if
2-37; or (ii) by a reviewing committee of the state- applicable, and the imposition of any discipline,
wide grievance committee, in all other matters. If, the complainant will be given the right to com-
after a hearing, the admission of misconduct is ment thereon.
accepted by the court or the reviewing committee, (g) In any disciplinary proceeding where the
the matter shall be disposed of and any resulting respondent already has other disciplinary matters
imposition of discipline shall be made public in pending before a court, either pursuant to an order
the manner prescribed by these rules. If the of interim suspension under Section 2-42, or pur-
admission of misconduct is rejected by the court suant to a presentment filed under Sections 2-35,
or the reviewing committee, it shall be withdrawn, 2-40, 2-41 or 2-47, the respondent and disciplin-
shall not be made public, and shall not be used ary counsel may agree to a presentment. The
against the respondent in any subsequent pro- respondent and disciplinary counsel shall stipu-
ceedings. In that event, the matter shall be late that the order of presentment is requested
referred for further proceedings to a different judi- for the purpose of consolidating all pending disci-
cial authority or reviewing committee, as appro- plinary matters before the court.
(Adopted June 24, 2002, to take effect July 1, 2003; May
priate. 14, 2003, effective date changed to Oct. 1, 2003; Sept. 30,
(d) A respondent who tenders an admission of 2003, effective date changed to Jan. 1, 2004; amended June
misconduct and, if applicable, enters with disci- 26, 2006, to take effect Jan. 1, 2007.)
plinary counsel into a proposed disposition of the Sec. 2-83. Effective Dates
matter, shall present to the court or the reviewing (a) The revisions to this chapter which are effec-
committee an affidavit stating the following: tive January 1, 2004, shall apply to all grievance
(1) That the admission of misconduct and, if complaints filed on or after that date, unless other-
applicable, the proposed disposition are freely wise provided in these rules.
and voluntarily submitted; that the respondent is (b) The rules in effect on December 31, 2003,
not making the admission of misconduct and, if shall govern all grievance complaints filed on or
applicable, the proposed disposition, as a result before that date.
of any threats or other coercion or duress, or any (Adopted June 24, 2002, to take effect July 1, 2003; May
promises or other inducements not set forth in the 14, 2003, effective date changed to Oct. 1, 2003, and amended
proposed disposition; that the respondent is fully on an interim basis, pursuant to the provisions of Section 1-
aware of the consequences of such submissions; 9 (c), to take effect Oct. 1, 2003, and amendment adopted
June 30, 2003, to take effect Oct. 1, 2003; Sept. 30, 2003,
(2) That the respondent is aware that there is effective date changed to Jan. 1, 2004, and amended on an
presently pending a complaint, in connection with interim basis, pursuant to the provisions of Section 1-9 (c), to
which probable cause has been found that the take effect Jan. 1, 2004.)
159
CHAPTER 3
APPEARANCES
Sec. Sec.
3-1. Appearance for Plaintiff on Writ or Complaint in Civil 3-11. Appearance for Several Parties
and Family Cases 3-12. Change in Name, Composition or Membership of a
3-2. Time to File Appearance Firm or Professional Corporation
3-3. Form and Signing of Appearance 3-13. When Creditor May Appear and Defend
3-4. Filing Appearance 3-14. Legal Interns
3-5. Service of Appearances on Other Parties 3-15. —Supervision of Legal Interns
3-16. —Requirements and Limitations
3-6. Appearances for Bail or Detention Hearing Only 3-17. —Activities of Legal Intern
3-7. Consequence of Filing Appearance 3-18. —Certification of Intern
3-8. Appearance for Represented Party 3-19. —Legal Internship Committee
3-9. Withdrawal of Appearance; Duration of Appearance 3-20. —Unauthorized Practice
3-10. Motion to Withdraw Appearance 3-21. —Out-of-State Interns
Sec. 3-1. Appearance for Plaintiff on Writ or (b) An appearance in a criminal case or in a
Complaint in Civil and Family Cases juvenile matter should be filed promptly but may
When a writ has been signed by an attorney at be filed at any stage of the proceeding.
(P.B. 1978-1997, Sec. 64 (b); see also Secs. 66, 630,
law admitted to practice in the courts of this state, 1056.1.)
such writ shall contain the attorney’s name, juris
number, mailing address, and telephone number, Sec. 3-3. Form and Signing of Appearance
all of which shall be typed or printed on the writ, (a) Except as otherwise provided in subsection
and the attorney’s appearance shall be entered (b), each appearance shall: (1) be filed on judicial
for the plaintiff, unless such attorney by endorse- branch form JD-CL-12, (2) include the name and
ment on the writ shall otherwise direct, or unless number of the case, the name of the court location
such attorney shall type or print on the writ the to which it is returnable and the date, (3) be legibly
name, address, juris number and telephone num- signed by the individual preparing the appearance
ber of the professional corporation or firm, of with the individual’s own name and (4) state the
which such attorney shall be a member, entering party or parties for whom the appearance is being
its appearance for the plaintiff. The signature on entered and the official (with position or depart-
the complaint of any person proceeding without ment, if desired), firm, professional corporation or
the assistance of counsel pursuant to Section 8-1 individual whose appearance is being entered,
shall be deemed to constitute the self-represented together with the juris number assigned thereto,
appearance of such party. if any, the mailing address and the telephone
(P.B. 1978-1997, Sec. 64 (a).) number.
Sec. 3-2. Time to File Appearance (b) Each limited appearance pursuant to Sec-
tion 3-8 (b) shall: (1) be filed on judicial branch
(a) After the writ has been filed the attorney for form JD-CL-121; (2) include the name and num-
any party to any action, or any party himself or ber of the case, the name of the court location to
herself, may enter his or her appearance in writing which it is returnable and the date; (3) be legibly
with the clerk of the court location to which such signed by the individual preparing the appearance
action is returnable. Except where otherwise pre- with the individual’s own name; and (4) state the
scribed herein or by statute, an appearance for a party or parties for whom the appearance is being
party in a civil or family case should be filed on entered and the official (with position or depart-
or before the second day following the return day. ment, if desired), firm, professional corporation or
Appearances filed thereafter in such cases shall individual whose appearance is being entered,
be accepted but an appearance for a party after together with the juris number assigned thereto if
the entry against such party of a nonsuit or judg- any, the mailing address and the telephone num-
ment after default for failure to appear shall not ber; (5) define the proceeding or event for which
affect the entry of the nonsuit or any judgment the lawyer is appearing; and (6) state that the
after default. attorney named on the limited appearance is
160
available for service of process only for those mat- Sec. 3-5. Service of Appearances on Other
ters described on the limited appearance. All Parties
pleadings, motions, or other documents served (Amended June 20, 2011, to take effect Jan. 1, 2012.)
on the limited appearance attorney shall also be Service of appearances shall be made in
served in the same manner on the party for whom accordance with Sections 10-12 through 10-17.
the limited appearance was filed. For all other Proof of service shall be endorsed on the appear-
matters, service must be made on the party ance filed with the clerk. This section shall not
instead of the attorney who filed the limited apply to appearances entered pursuant to Section
appearance, unless otherwise ordered by court. 3-1.
(c) This section does not apply to appearances (See Secs. 64 (c), 630, 1056.1, P.B.1978-1997.) (P.B.
entered pursuant to Section 3-1. 1998.) (Amended June 20, 2011, to take effect Jan. 1, 2012.)
(P.B. 1978-1997, Sec. 64 (b).) (Amended June 22, 2009, Sec. 3-6. Appearances for Bail or Detention
to take effect Jan. 1, 2010; amended June 21, 2010, to take
Hearing Only
Jan. 1, 2012; amended June 14, 2013, to take effect Oct. (a) An attorney, prior to the entering of an
1, 2013.) appearance by any other attorney, may enter an
appearance for the defendant in a criminal case
Sec. 3-4. Filing Appearance for the sole purpose of representing the defendant
(Amended June 20, 2011, to take effect Jan. 1, 2012.) at a hearing for the fixing of bail. Such appearance
Appearances shall be filed with the clerk of the shall be in writing and shall be styled, ‘‘for the
court location where the matter is pending. purpose of the bail hearing only.’’ Upon entering
(a) Whenever an appearance is filed in any civil such an appearance, that attorney shall be enti-
or family action, including appearances filed in tled to confer with the prosecuting authority in
addition to or in place of another appearance, a connection with the bail hearing.
copy shall be mailed or delivered to all counsel (b) An attorney may enter an appearance in a
and self-represented parties of record. delinquency proceeding for the sole purpose of
(b) Whenever an appearance is filed in sum- representing the respondent at any detention
mary process actions, including appearances filed hearing; such appearance shall be in writing and
in addition to or in place of another appearance, styled ‘‘for the purpose of detention hearing only.’’
(See Sec. 633, P.B.1978-1997.)(P.B. 1998.)
the attorney for the defendant, or, if there is no
such attorney, the defendant himself or herself, Sec. 3-7. Consequence of Filing Appear-
shall mail or deliver a copy of the appearance to ance
the attorney for the plaintiff, or if there is no such (a) Except by leave of the judicial authority, no
attorney, to the plaintiff himself or herself. attorney shall be permitted to appear in court or
(c) Whenever an appearance is filed in delin- to be heard on behalf of a party until the attorney’s
quency or family with service needs proceedings, appearance has been entered. No attorney shall
including appearances filed in addition to or in be entitled to confer with the prosecuting authority
place of another appearance, the attorney or as counsel for the defendant in a criminal case
guardian ad litem for the respondent, or for any until the attorney’s appearance has been so
other interested party, shall mail or deliver a copy entered.
of the appearance to the prosecutorial official and (b) After the filing of an appearance, the attor-
all other counsel and self-represented parties of ney or self-represented party shall receive copies
record; in child protection proceedings, the attor- of all notices required to be given to parties by
ney or guardian ad litem for the child, respondent, statute or by these rules.
or any other interested party, shall mail or deliver (c) The filing of an appearance by itself shall
a copy of the appearance to the attorney for the not waive the right to attack defects in jurisdiction
petitioner and to all other counsel and self-repre- or any claimed violation of constitutional rights.
sented parties of record. (See also Secs. 630, 631, 1056.1, P.B.1978-1997.)(P.B.
(d) Whenever an appearance is filed in criminal 1998.)
cases, including appearances filed in addition to Sec. 3-8. Appearance for Represented Party
or in place of another appearance, the attorney
for the defendant shall mail or deliver a copy of (a) Whenever an attorney files an appearance
the appearance to the prosecuting authority. for a party, or the party files an appearance for
(P.B. 1978-1997, Sec. 64 (c); see also Secs. 630, 1056.1.) himself or herself, and there is already an appear-
(P.B. 1998.) (Amended June 20, 2011, to take effect Jan. 1, ance of an attorney or party on file for that party,
2012; amended June 15, 2012, to take effect Jan. 1, 2013; the attorney or party filing the new appearance
amended June 13, 2014, to take effect Jan. 1, 2015.) shall state thereon whether such appearance is
161
in place of or in addition to the appearance or that a new appearance has been filed in place
appearances already on file. of the appearance of such attorney or party in
(b) An attorney is permitted to file an appear- accordance with Section 3-8. An attorney or party
ance limited to a specific event or proceeding in whose appearance is deemed to have been with-
any family or civil case. If an event or proceeding drawn may file an appearance for the limited pur-
in a matter in which a limited appearance has pose of filing an objection to the in lieu of
been filed has been continued to a later date, for appearance.
any reason, it is not deemed completed unless (b) An attorney may withdraw his or her appear-
otherwise ordered by the court. Except with leave ance for a party or parties in any action after the
of court, a limited appearance may not be filed to appearance of other counsel representing the
address a specific issue or to represent the client same party or parties has been entered. An appli-
at or for a portion of a hearing. A limited appear-
cation for withdrawal in accordance with this sub-
ance may not be limited to a particular length of
time or the exhaustion of a fee. Whenever an section shall state that such an appearance has
attorney files a limited appearance for a party, the been entered and that such party or parties are
limited appearance shall be filed in addition to any being represented by such other counsel at the
self-represented appearance that the party may time of the application. Such an application may
have already filed with the court. Upon the filing be granted by the clerk as of course, if such an
of the limited appearance, the client may not file or appearance by other counsel has been entered.
serve pleadings, discovery requests or otherwise (c) In addition to the grounds set forth in subsec-
represent himself or herself in connection with tions (a), (b), and (d), a lawyer who represents a
the proceeding or event that is the subject of the party or parties on a limited basis in accordance
limited appearance. An attorney shall not file a with Section 3-8 (b) and has completed his or her
limited appearance for a party when filing a new representation as defined in the limited appear-
action or during the pendency of an action if there ance, shall file a certificate of completion of limited
is no appearance on file for that party, unless the appearance on judicial branch form JD-CL-122.
party for whom the limited appearance is being The certificate shall constitute a full withdrawal of
filed files an appearance in addition to the attor- a limited appearance. Copies of the certificate
ney’s limited appearance at the same time. A lim- must be served in accordance with Sections 10-
ited appearance may not be filed on behalf of a 12 through 10-17 on the client, and all attorneys
firm or corporation. A limited appearance may not and self-represented parties of record.
be filed in criminal or juvenile cases. (d) All appearances of counsel shall be deemed
(c) The provisions of this section regarding par- to have been withdrawn 180 days after the entry
ties filing appearances for themselves do not of judgment in any action seeking a dissolution
apply to criminal cases.
(P.B. 1978-1997, Sec. 65.) (Amended June 15, 2012, to of marriage or civil union, annulment, or legal sep-
take effect Jan. 1, 2013; amended June 14, 2013, to take aration, provided no appeal shall have been
effect Oct. 1, 2013; amended June 12, 2015, to take effect taken. In the event of an appeal or the filing of a
Jan. 1, 2016.) motion to open a judgment within such 180 days,
HISTORY—2016: Prior to 2016, the first two sentences all appearances of counsel shall be deemed to
of subsection (b) read: ‘‘The chief court administrator may
establish, for such period or periods of time as he or she have been withdrawn after final judgment on such
determines, a pilot program in one or more judicial districts appeal or motion or within 180 days after the entry
permitting an attorney to file an appearance limited to a specific of the original judgment, whichever is later. Noth-
event or proceeding in matters that have been designated as ing herein shall preclude or prevent any attorney
being within the purview of the pilot. Limited appearances may
only be filed in connection with such pilot program.’’ In 2016,
from filing a motion to withdraw with leave of the
those sentences were deleted and were replaced by what is court during that period subsequent to the entry of
now the first sentence of subsection (b). judgment. In the absence of a specific withdrawal,
COMMENTARY—2016: The revision to this section counsel will continue of record for all postjudg-
removes the pilot status of limited appearances and expands ment purposes until 180 days have elapsed from
the application of such appearances to any family or civil case.
the entry of judgment or, in the event an appeal
Sec. 3-9. Withdrawal of Appearance; Dura- or a motion to open a judgment is filed within such
tion of Appearance 180 day period, until final judgment on that appeal
(a) An attorney or party whose appearance has or determination of that motion, whichever is later.
been filed shall be deemed to have withdrawn (e) Except as provided in subsections (a), (b),
such appearance upon failure to file a written (c) and (d), no attorney shall withdraw his or her
objection within ten days after written notice has appearance after it has been entered upon the
been given or mailed to such attorney or party record of the court without the leave of the court.
162
(f) All appearances in juvenile matters shall be file an appearance on his or her own behalf with
deemed to continue during the period of delin- the court; and (5) if the party does neither, the
quency probation, family with service needs party will not receive notice of court proceedings
supervision, or any commitment to the commis- in the case and a nonsuit or default judgment may
sioner of the department of children and families be rendered against such party.
or protective supervision. An attorney appointed (c) In criminal and juvenile matters, the motion
by the chief public defender to represent a parent to withdraw shall comply with subsections (b)(1),
in a pending neglect or uncared for proceeding (2) and (3) of this section and the client shall also
shall continue to represent the parent for any sub- be advised by the attorney that if the motion to
sequent petition to terminate parental rights if the withdraw is granted the client should request court
attorney remains under contract to the office of appointed counsel, obtain another attorney or file
the chief public defender to represent parties in an appearance on his or her own behalf with the
child protection matters, the parent appears at court and be further advised that if none is done,
the first hearing on the termination petition and there may be no further notice of proceeding and
qualifies for appointed counsel, unless the attor- the court may act.
ney files a motion to withdraw pursuant to Section (d) In addition to the above, each motion to
3-10 that is granted by the judicial authority or the withdraw appearance and each notice to the party
parent requests a new attorney. The attorney shall or parties who are the subject of the motion shall
represent the client in connection with appeals, state whether the case has been assigned for pre-
subject to Section 35a-20, and with motions for trial or trial and, if so, the date so assigned.
review of permanency plans, revocations or post- (e) The attorney’s appearance for the party shall
judgment motions and shall have access to any be deemed to have been withdrawn upon the
documents filed in court. The attorney for the child granting of the motion without the necessity of
shall continue to represent the child in all proceed- filing a withdrawal of appearance.
ings relating to the child, including termination of (P.B. 1978-1997, Sec. 77 (d).) (Amended June 26, 2000,
parental rights and during the period until final to take effect Jan. 1, 2001; amended June 25, 2001, to take
adoption following termination of parental rights. effect Jan. 1, 2002; amended June 21, 2004, to take effect
(P.B. 1978-1997, Sec. 77.) (Amended June 26, 2006, to Jan. 1, 2005.)
Sec. 3-11. Appearance for Several Parties
Jan. 1, 2011; amended June 15, 2012, to take effect Jan. 1, Where there are several plaintiffs or defend-
2013; amended June 14, 2013, to take effect Oct. 1, 2013.) ants, the appearance shall state specifically either
that it is for all or that it is for certain specified
Sec. 3-10. Motion to Withdraw Appearance parties; otherwise the appearance shall not be
(a) No motion for withdrawal of appearance entered by the clerk.
shall be granted unless good cause is shown and (P.B. 1978-1997, Sec. 76.)
until the judicial authority is satisfied that reason-
able notice has been given to other attorneys of Sec. 3-12. Change in Name, Composition or
record and that the party represented by the attor- Membership of a Firm or Professional Cor-
ney was served with the motion and the notice poration
required by this section or that the attorney has (a) Whenever the appearance of a firm or pro-
made reasonable efforts to serve such party. All fessional corporation (hereinafter collectively
motions to withdraw appearance shall be set referred to as ‘‘unit’’) has been entered upon the
down for argument and when the attorney files record of the court and there is a change in the
such motion, he or she shall obtain such argument name, composition or membership of such unit,
date from the clerk. it shall be the duty of such unit forthwith to notify,
(b) In civil and family cases, a motion to within writing, the director of court operations of the
draw shall include the last known address of any judicial branch, giving the name, mailing address
party as to whom the attorney seeks to withdraw and telephone number of the successor firm, pro-
his or her appearance and shall have attached to fessional corporation or individual who will con-
it a notice to such party advising of the following: tinue the major portion of such unit’s business. In
(1) the attorney is filing a motion which seeks the court locations having access to the automated
court’s permission to no longer represent the party roll of attorneys, upon receipt of such notice the
in the case; (2) the date and time the motion will appearance of such successor will be automati-
be heard; (3) the party may appear in court on cally entered in lieu of the appearance of the for-
that date and address the court concerning the mer unit in all pending cases. In other court
motion; (4) if the motion to withdraw is granted, locations, unless such successor unit files a notice
the party should either obtain another attorney or to the clerks pursuant to Section 2-26 or withdraws
163
its appearance under the provisions of Section tribunal, subject to its permission, on behalf of any
3-10, the former unit’s original appearance shall person, if that person has indicated in writing his
remain on file in each case in which it had been or her consent to the intern’s appearance and the
entered and the clerk may rely on the information supervising attorney has also indicated in writing
contained therein for the purpose of giving notice approval of that appearance.
to such unit regarding court activities involving the (P.B. 1978-1997, Sec. 68.)
cases in which the unit remains active.
(b) In each case where such successor will no Sec. 3-15. —Supervision of Legal Interns
longer represent the party or parties for whom the The member of the bar under whose supervi-
original unit had entered an appearance, it is the sion an eligible legal intern does any of the things
duty of the new attorney who will represent such permitted by these rules shall:
party or parties to enter an appearance, and it is (1) be an attorney who has been admitted to
the duty of the successor firm, professional corpo- the Connecticut bar for at least three years, or
ration or individual to withdraw such unit’s appear- one who is employed by an attorney of five years’
ance under the provisions of Section 3-10. standing, or one who is employed by an accred-
(P.B. 1978-1997, Sec. 78.) ited law school in Connecticut, or one who is
approved as a supervising attorney by the presid-
Sec. 3-13. When Creditor May Appear and ing judge in the case at bar;
Defend (2) assume personal professional responsibility
In any action in which property has been for the intern’s work;
attached, any person may appear and defend in (3) assist the intern in his or her preparation to
the name of the defendant, upon filing in the court the extent the supervising attorney considers nec-
an affidavit that he or she is a creditor of the essary;
defendant and has good reason to believe, and (4) be present in court with the intern.
does believe, that the amount which the plaintiff (P.B. 1978-1997, Sec. 69.)
claims was not justly due at the commencement
of the suit and that he or she is in danger of being Sec. 3-16. —Requirements and Limitations
defrauded by a recovery by the plaintiff, and upon (a) In order to appear pursuant to these rules,
giving bond with surety to the plaintiff, in such the legal intern must:
amount as the judicial authority approves, for the (1) be certified by a law school approved by
payment of such costs as the plaintiff may there- the American Bar Association or by the state bar
after recover. If the plaintiff recovers the whole examining committee of the superior court;
claim, costs shall be taxed against the defendant (2) have completed legal studies amounting to
to the time of the appearance of such creditor, at least two semesters of credit in a three or four
and for the residue of the costs such creditor shall year course of legal studies, or the equivalent if
be liable upon his or her bond; if only a part of the school is on some basis other than a semester
the plaintiff’s claim is recovered, the whole costs basis except that the dean may certify a student
shall be taxed against the defendant, and the under this section who has completed less than
creditor shall not be liable for the same; if judg- two semesters of credit or the equivalent to enable
ment is rendered in favor of the defendant, costs that student to participate in a faculty supervised
shall be taxed in his or her favor against the plain- law school clinical program;
tiff, but the judicial authority may order that the (3) be certified by the dean of his or her law
judgment and execution therefor shall belong to school as being of good character and competent
such creditor. No creditor so appearing shall be legal ability;
permitted to file a motion to dismiss, or to plead (4) be introduced to the court in which he or she
or give in evidence the statute of limitations, or to is appearing by an attorney admitted to practice in
plead that the contract was not in writing according that court;
to the requirements of the statute, or to plead any (5) comply with the provisions of Section 3-
other statutory defense consistent with the justice 21 if enrolled in a law school outside the state
of the plaintiff’s claim. (See General Statutes § 52- of Connecticut.
86 and annotations.) (b) A legal intern may not be employed or com-
(P.B. 1978-1997, Sec. 79.) pensated directly by a client for services rendered.
Sec. 3-14. Legal Interns This section shall not prevent an attorney, legal
aid bureau, law school, public defender agency
An eligible legal intern may, under supervision or the state from compensating an eligible intern.
by a member of the Connecticut bar as provided (P.B. 1978-1997, Sec. 70.) (Amended June 28, 1999, to
in Section 3-15, appear in court with the approval take effect Jan. 1, 2000; amended June 22, 2009, to take
of the judicial authority or before an administrative effect Jan. 1, 2010.)
164
Sec. 3-17. —Activities of Legal Intern is not necessary that the notice to the superior
(a) The legal intern, supervised in accordance court state the cause for termination.
with these rules, may appear in court or at other (4) may be terminated by the superior court at
hearings in the following situations: any time upon notice to the intern, to the dean
(1) where the client is financially unable to afford and to the superior court in Hartford.
(P.B. 1978-1997, Sec. 72.)
counsel; or
(2) where the intern is assisting a privately Sec. 3-19. —Legal Internship Committee
retained attorney; or There shall be established a legal internship
(3) where the intern is assisting an established committee appointed by the chief justice and com-
legal aid bureau or organization, a public defender posed of four judges, four practicing attorneys,
or prosecutor’s office, or a state agency. three law professors, and three law students. This
(b) In each case, the written consent and committee shall consult with the deans of law
approval referred to in Section 3-14 shall be filed schools located in Connecticut, review the prog-
in the record of the case and shall be brought to ress of the legal internship program, and consider
the attention of the judicial authority or the presid- any complaints or suggestions regarding the
ing officer of the administrative tribunal. program.
(c) In addition, an intern may, under the supervi- (P.B. 1978-1997, Sec. 73.)
sion of a member of the bar: Sec. 3-20. —Unauthorized Practice
(1) prepare pleadings and other documents to Nothing contained in these rules shall affect the
be filed in any matter; right of any person who is not admitted to the
(2) prepare briefs, abstracts and other doc- practice of law to do anything that he or she might
uments. lawfully do prior to their adoption, nor shall they
(d) Each document or pleading must contain enlarge the rights of persons, not members of the
the name of the intern who participated in drafting bar or legal interns covered by these rules, to
it and must be signed by the supervising attorney. engage in activities customarily considered to be
(P.B. 1978-1997, Sec. 71.) the practice of law.
(P.B. 1978-1997, Sec. 74.)
Sec. 3-18. —Certification of Intern
Sec. 3-21. —Out-of-State Interns
The certification of an intern by the law
A legal intern who is certified under a legal
school dean: internship program or student practice rule in
(1) shall be filed with the clerk of the superior another state or in the District of Columbia may
court in Hartford and, unless it is sooner with- appear in a court or before an administrative tribu-
drawn, shall remain in effect until the announce- nal of Connecticut under the same circumstances
ment of the results of the second Connecticut bar and on the same conditions as those applicable
examination following the intern’s graduation. For to certified Connecticut legal interns, if the out-of-
any intern who passes that examination, the certi- state intern files with the clerk of the superior court
fication shall continue in effect until the date of in Hartford, with a copy to the legal internship
admission to the bar. committee, a certification by the dean of his or
(2) shall terminate if the intern, prior to gradua- her law school of his or her admission to internship
tion, is no longer duly enrolled in an accredited or student practice in that state or in the District
law school. of Columbia, together with the text of that state’s
(3) may be terminated by the dean at any time or the District of Columbia’s applicable statute or
by mailing a notice to that effect to the clerk of rule governing such admissions.
the superior court in Hartford and to the intern. It (P.B. 1978-1997, Sec. 75.)
165
CHAPTER 4
PLEADINGS
Sec. Sec.
4-1. Form of Pleading 4-6. Page Limitations for Briefs, Memoranda of Law and
4-2. Signing of Pleading Reply Memoranda
4-3. Filing and Endorsing Pleadings 4-7. Personal Identifying Information to Be Omitted or
4-4. Electronic Filing Redacted from Court Records in Civil and Family
4-5. Notice Required for Ex Parte Temporary Injunctions Matters
Sec. 4-1. Form of Pleading other papers. The name of the attorney or party
(a) All documents filed in paper format shall be who signs such document shall be legibly typed
typed or printed on size 81/2 by 11 inch paper, shall or printed beneath the signature.
have no back or cover sheet, and shall include a (b) The signing of any pleading, motion, objec-
page number on each page other than the first tion or request shall constitute a certificate that
page. Those subsequent to the complaint shall the signer has read such document, that to the
be headed with the title and number of the case, best of the signer’s knowledge, information and
the name of the court, and the date and designa- belief there is good ground to support it, that it is
tion of the particular pleading, in conformity with not interposed for delay, and that the signer has
the applicable form in the rules of practice which complied with the requirements of Section 4-7
is set forth in the Appendix of Forms in this volume. regarding personal identifying information. Each
(b) At the bottom of the first page of each paper, pleading and every other court-filed document
a blank space of approximately two inches shall signed by an attorney or party shall set forth the
be reserved for notations of receipt or time of signer’s telephone number and mailing address.
filing by the clerk and for statements by counsel (c) An attorney may assist a client in preparing
pursuant to Section 11-18 (a) (2). Papers shall be a pleading, motion or other document to be signed
punched with two holes, two and twelve-six- and filed in court by the client. In such cases, the
teenths inches apart, each centered seven-six- attorney shall insert the notation ‘‘prepared with
teenths of an inch from the upper edge, one being assistance of counsel’’ on any pleading, motion
two and fourteen-sixteenths inches from the left- or document prepared by the attorney. The attor-
hand edge and the other being the same distance ney is not required to sign the pleading, motion
from the right-hand edge, and each four-six- or document and the filing of such a pleading,
teenths of an inch in diameter. motion or document shall not constitute an
(c) All documents filed electronically shall be appearance by the attorney.
in substantially the same format as required by (P.B. 1978-1997, Sec. 119.) (Amended June 22, 2009, to
subsection (a) of this section. take effect Jan. 1, 2010; amended June 14, 2013, to take
effect Oct. 1, 2013.)
(d) The clerk may require a party to correct any
filed paper which is not in compliance with this Sec. 4-3. Filing and Endorsing Pleadings
section by substituting a paper in proper form. All pleadings, written motions, and papers in
(e) This section shall not apply to forms supplied pending cases shall be filed with and kept by the
by the Judicial Branch or generated by the elec- clerk of the court, who shall endorse upon each
tronic filing system. the time when it is filed, and make a like entry
(P.B. 1978-1997, Sec. 118.) (Amended Aug. 24, 2001, to
take effect Jan. 1, 2002; amended June 20, 2011, to take upon the clerk’s docket and the file.
effect Jan. 1, 2012; amended June 13, 2014, to take effect (P.B. 1978-1997, Sec. 127.)
Jan. 1, 2015.)
Sec. 4-4. Electronic Filing
Sec. 4-2. Signing of Pleading Papers may be filed, signed or verified by elec-
(a) Every pleading and other paper of a party tronic means that comply with procedures and
represented by an attorney shall be signed by technical standards established by the office of
at least one attorney of record in the attorney’s the chief court administrator, which may also set
individual name. A party who is not represented forth the manner in which such papers shall be
by an attorney shall sign his or her pleadings and kept by the clerk. A paper filed by electronic
166
means in compliance with such procedures and authority. The judicial authority may also permit
standards constitutes a written paper for the pur- the filing of a supplemental brief of a particular
pose of applying these rules. number of pages. The text of any brief shall be
(Adopted June 29, 1998, to take effect Jan. 1, 1999; double-spaced and the type font shall be no
smaller than 12 point. The judicial authority may
Sec. 4-5. Notice Required for Ex Parte Tem- in its discretion limit the number of pages of any
porary Injunctions brief to less than thirty-five.
(a) No temporary injunction shall be granted (b) Any reply memorandum filed pursuant to
without notice to each opposing party unless the Section 11-10 (b) shall not exceed ten pages with-
applicant certifies one of the following to the court out the permission of the judicial authority.
in writing: (Adopted June 26, 2000, to take effect Jan. 1, 2001;
(1) facts showing that within a reasonable time amended June 12, 2015, to take effect Jan. 1, 2016.)
prior to presenting the application the applicant HISTORY—2016: Prior to 2016, this section was titled
‘‘Page Limitations for Briefs.’’ In 2016, what had been the text
gave notice to each opposing party of the time of this section was designated subsection (a), and what is
when and the place where the application would now subsection (b) was added to this section.
be presented and provided a copy of the applica- COMMENTARY—2016: The revision to this section sets
tion; or the page limitations for reply memoranda filed under Section
(2) the applicant in good faith attempted but 11-10 (b).
was unable to give notice to an opposing party or
parties, specifying the efforts made to contact Sec. 4-7. Personal Identifying Information to
such party or parties; or Be Omitted or Redacted from Court Records
(3) facts establishing good cause why the appli- in Civil and Family Matters
cant should not be required to give notice to each (a) As used in this section, ‘‘personal identifying
opposing party. information’’ means: an individual’s date of birth;
(b) When an application for a temporary injunc- mother’s maiden name; motor vehicle operator’s
tion is granted without notice or without a hearing, license number; Social Security number; other
the court shall schedule an expeditious hearing government issued identification number except
as to whether the temporary injunction should
for juris, license, permit or other business related
remain in effect. Any temporary injunction which
was granted without a hearing shall automatically identification numbers that are otherwise made
expire thirty days following its issuance, unless available to the public directly by any government
the court, following a hearing, determines that said agency or entity; health insurance identification
injunction should remain in effect. number; or any financial account number, security
(c) For purposes of this rule, notice to the code or personal identification number (PIN). For
opposing party means notice to the opposing par- purposes of this section, a person’s name is spe-
ty’s attorney if the applicant knows who the oppos- cifically excluded from this definition of personal
ing party’s attorney is; if the applicant does not identifying information unless the judicial authority
know who the opposing party’s attorney is, notice has entered an order allowing the use of a pseud-
shall be given to the opposing party. If the tempo- onym in place of the name of a party. If such an
rary injunction is sought against the state of Con- order has been entered, the person’s name is
necticut, a city or town, or an officer or agency included in this definition of ‘‘personal identi-
thereof, notice shall be given to the attorney gen- fying information.’’
eral or to the city or town attorney or corporation (b) Persons who file documents with the court
counsel, as the case may be. shall not include personal identifying information,
(d) This section shall not apply to applications and if any such personal identifying information
for relief from physical abuse filed pursuant to is present, shall redact it from any documents filed
General Statutes § 46b-15 or to motions for orders with the court, whether filed in electronic or paper
of temporary custody in juvenile matters filed pur- format, unless otherwise required by law or
suant to General Statutes § 46b-129. ordered by the court. The party filing the redacted
documents shall retain the original unredacted
Sec. 4-6. Page Limitations for Briefs, Memo- documents throughout the pendency of the action,
randa of Law and Reply Memoranda any appeal period, and any applicable appellate
(Amended June 12, 2015, to take effect Jan. 1, 2016.) process.
(a) The text of any trial brief or any other brief (c) The responsibility for omitting or redacting
concerning a motion in any case shall not exceed personal identifying information rests solely with
thirty-five pages without permission of the judicial the person filing the document. The court or the
167
clerk of the court need not review any filed docu- COMMENTARY—2016: The revision to this section is to
ment for compliance with this rule. include a person’s name in the definition of personal identifying
(Adopted June 22, 2009, to take effect Jan. 1, 2010; information if the judicial authority has entered an order permit-
amended June 21, 2010, to take effect Jan. 1, 2011; amended ting the person to use a pseudonym in an action. By including
June 15, 2012, to take effect Jan. 1, 2013; amended June 12, the name in the definition of personal identifying information,
2015, to take effect Jan. 1, 2016.) the rule permits a party, the person identified by name or the
HISTORY—2016: In 2016, in the second sentence of sub-
judicial authority on its own motion to proceed under Section
section (a), ‘‘unless the judicial authority has entered an order
allowing the use of a pseudonym in place of the name of a 11-20B to move quickly to protect the identity of the person
party’’ was added after ‘‘information.’’ In addition, what is now in accordance with the existing order of the judicial authority.
the third sentence of subsection (a) was added.
168
CHAPTER 5
TRIALS
Sec. Sec.
5-1. Trial Briefs 5-9. Citation of Opinion Not Officially Published
5-2. Raising Questions of Law Which May Be the Subject [Repealed]
of an Appeal 5-10. Sanctions for Counsel’s Failure to Appear
5-3. Administering Oath 5-11. Testimony of Party or Child in Family Relations Matter
5-4. Examination of Witnesses When Protective Order, Restraining Order, Stand-
5-5. Objections to Evidence; Interlocutory Questions; ing Criminal Protective Order or Standing Criminal
Exceptions Not Required Restraining Order Issued on Behalf of Party or
5-6. Reception of Evidence Objected to Child
5-7. Marking Exhibits
5-8. Interlocutory Matters
Sec. 5-1. Trial Briefs Sec. 5-5. Objections to Evidence; Interlocu-

The parties shall, if the judicial authority so tory Questions; Exceptions Not Required
orders, file, at such time as the judicial authority Whenever an objection to the admission of evi-
shall determine, written trial briefs discussing the dence is made, counsel shall state the grounds
issues in the case and the factual or legal basis upon which it is claimed or upon which objection
upon which they ought to be resolved. is made, succinctly and in such form as he or
(P.B. 1978-1997, Sec. 285A.) (Amended June 14, 2013, she desires it to go upon the record, before any
to take effect Jan. 1, 2014.) discussion or argument is had. Argument upon
Sec. 5-2. Raising Questions of Law Which such objection or upon any interlocutory question
May Be the Subject of an Appeal arising during the trial of a case shall not be made
by either party unless the judicial authority
Any party intending to raise any question of law requests it and, if made, must be brief and to
which may be the subject of an appeal must either the point.
state the question distinctly to the judicial authority (P.B. 1978-1997, Secs. 288, 850A.)
in a written trial brief under Section 5-1 or state
the question distinctly to the judicial authority on Sec. 5-6. Reception of Evidence Objected to
the record before such party’s closing argument Whenever evidence offered upon trial is
and within sufficient time to give the opposing objected to as inadmissible, the judicial authority
counsel an opportunity to discuss the question. If or committee trying such case shall not admit such
the party fails to do this, the judicial authority will evidence subject to the objection, unless both par-
be under no obligation to decide the question. ties agree that it be so admitted; but, if either party
(See Secs. 877, 285A, P.B.1978-1997.)(P.B. 1998.) requests a decision, such judicial authority or
committee shall pass upon such objection and
Sec. 5-3. Administering Oath
admit or reject the testimony. (See General Stat-
The oath or affirmation shall be administered utes § 52-208 and annotations.)
deliberately and with due solemnity, as the wit- (P.B. 1978-1997, Sec. 289.)
ness takes the stand. The reporter shall note by
whom it was administered. Sec. 5-7. Marking Exhibits
(P.B. 1978-1997, Sec. 286.) Unless otherwise ordered by the judicial author-
ity, the clerk shall mark all exhibits not marked in
Sec. 5-4. Examination of Witnesses advance of trial and shall keep a list of all exhibits
The counsel who commences the examination marked for identification or received in evidence
of a witness, either in chief or on cross-examina- during the course of the trial.
tion, must alone conduct it; and no associate (P.B. 1978-1997, Sec. 291.)
counsel will be permitted to interrogate the wit-
ness, except by permission of the judicial Sec. 5-8. Interlocutory Matters
authority. No more than one counsel on each side shall
(P.B. 1978-1997, Secs. 287, 875.) be heard on any question of evidence, or upon any
169
interlocutory motion or motion to dismiss, without required by law and within available resources,
permission of the judicial authority. upon motion of any party, order that the testimony
(P.B. 1978-1997, Sec. 293.) of a party or a child who is a subject of the pro-
ceeding be taken outside the physical presence
Sec. 5-9. Citation of Opinion Not Officially of any other party if a protective order, restraining
Published order, standing criminal protective order or stand-
[Repealed as of Jan. 1, 2014.] ing criminal restraining order has been issued on
Sec. 5-10. Sanctions for Counsel’s Failure behalf of the party or child, and the other party is
to Appear subject to the protective order or restraining order.
Such order may provide for the use of alternative
Counsel who fails to appear on a scheduled means to obtain the testimony of any party or
date for any hearing or trial or who requests a child, including, but not limited to, the use of a
continuance without cause or in any other way secure video connection for the purpose of con-
delays a case unnecessarily will be subject to ducting hearings by videoconference. Such testi-
sanctions pursuant to General Statutes § 51-84. mony may be taken outside the courtroom or at
(P.B. 1978-1997, Sec. 983.) another location inside or outside the state. The
Sec. 5-11. Testimony of Party or Child in court shall provide for the administration of an
Family Relations Matter When Protective oath to such party or child prior to the taking of
Order, Restraining Order, Standing Criminal such testimony as required by law.
Protective Order or Standing Criminal (b) Nothing in this section shall be construed to
Restraining Order Issued on Behalf of Party limit any party’s right to cross-examine a witness
or Child whose testimony is taken pursuant to an order
under subsection (a) hereof.
(c) An order under this section may remain in
(a) In any court proceeding in a family relations effect during the pendency of the proceedings in
matter, as defined in General Statutes § 46b-1, the family relations matter.
or in any proceeding pursuant to General Statutes (Adopted June 21, 2010, to take effect Jan. 1, 2011;
§ 46b-38c, the court may, except as otherwise amended June 20, 2011, to take effect Jan. 1, 2012.)
170
CHAPTER 6
JUDGMENTS
Sec. Sec.
6-1. Statement of Decision; When Required 6-4. —Signing of Judgment File
6-2. Judgment Files; Captions and Contents 6-5. —Notation of Satisfaction
6-3. —Preparation; When; By Whom; Filing
Sec. 6-1. Statement of Decision; When shall file a brief with the trial court discussing the
Required legal and factual issues in the matter. Within
(a) The judicial authority shall state its decision twenty days after the briefs have been filed by
either orally or in writing, in all of the following: the parties, the judicial authority shall file a written
(1) in rendering judgments in trials to the court in memorandum of decision stating the factual basis
civil and criminal matters, including rulings regard- for its decision on the issues in the matter and
ing motions for stay of execution, (2) in ruling its conclusion as to each claim of law raised by
on aggravating and mitigating factors in capital the parties.
penalty hearings conducted to the court, (3) in (P.B. 1978-1997, Sec. 334A.) (Amended June 28, 1999,
ruling on motions to dismiss under Sections 41-8
through 41-11, (4) in ruling on motions to suppress Sec. 6-2. Judgment Files; Captions and
under Sections 41-12 through 41-17, (5) in grant- Contents
ing a motion to set aside a verdict under Sections The name and residence of every party to the
16-35 through 16-38, and (6) in making any other action, at the date of judgment, must be given in
rulings that constitute a final judgment for pur- the caption of every judgment file. In the captions
poses of appeal under General Statutes § 52-263, of pleas, answers, etc., the parties may be
including those that do not terminate the proceed- described as John Doe v. Richard Roe et al., but
ings. The judicial authority’s decision shall encom- this will not be sufficient in a judgment file, which
pass its conclusion as to each claim of law raised must give all the data necessary for use in drawing
by the parties and the factual basis therefor. If any execution that may be necessary. All judg-
oral, the decision shall be recorded by a court ment files in actions for dissolution of marriage or
reporter and, if there is an appeal, the trial judge civil union, legal separation and annulment shall
shall create a memorandum of decision for use state the date and place, including the city or town,
in the appeal by ordering a transcript of the portion of the marriage and the jurisdictional facts as
of the proceedings in which it stated its oral deci- found by the judicial authority upon the hearing.
sion. The transcript of the decision shall be signed (P.B. 1978-1997, Sec. 336.) (Amended June 26, 2006, to
by the trial judge and filed in the trial court take effect Jan. 1, 2007.)
clerk’s office.
This section does not apply in small claims Sec. 6-3. —Preparation; When; By Whom;
actions and to matters listed in subsection (b). Filing
(b) In any uncontested matter where no aspect (a) Judgment files in civil, criminal, family and
of the matter is in dispute, in a pendente lite family juvenile cases shall be prepared when: (1) an
relations matter whether contested or uncon- appeal is taken; (2) a party requests in writing that
tested, or in any dismissal under Section 14-3, the judgment be incorporated into a judgment file;
the oral or written decision as provided in subsec- (3) a judgment has been entered involving the
tion (a) is not required, except as provided in sub- granting of a dissolution of marriage or civil union,
section (c). The clerk of the trial court shall, a legal separation, an annulment, injunctive relief,
however, promptly notify the trial judge of the filing or title to property (including actions to quiet title
of the appeal. but excluding actions of foreclosure), except in
(c) Within twenty days from the filing of an those instances where judgment is entered in
appeal from a contested pendente lite order or such cases pursuant to Section 14-3 and no
from a dismissal under Section 14-3 in which an appeal has been taken from the judicial authority’s
oral or written decision has not been made pursu- judgment; (4) a judgment has been entered in a
ant to subsection (b), each party to the appeal juvenile matter involving allegations that a child
171
has been neglected, abused, or uncared for, or hereby certify that the foregoing judgment file con-
involving termination of parental rights, commit- forms to the judgment entered by the court"; the
ment of a delinquent child or commitment of a clerk or assistant clerk, after ascertaining that the
child from a family with service needs; (5) in crimi- terms of the judgment have been correctly incor-
nal cases, sentence review is requested; or (6) porated into the judgment file, may sign any judg-
ordered by the judicial authority. ment file so endorsed.
(b) Unless otherwise ordered by the judicial (c) In those cases in which there is no provision
authority, the judgment file in juvenile cases shall in this section for a clerk to sign a judgment file
be prepared by the clerk and in all other cases, and in which a case has been tried and judgment
in the clerk’s discretion, by counsel or the clerk. has been directed in open court or by memoran-
As to judgments of foreclosure, the clerk’s office dum of decision and the trial judge shall die or
shall prepare a certificate of judgment in accord- become incapacitated before the judgment file is
ance with a form prescribed by the chief court signed, any judge holding such court may exam-
administrator only when requested in the event ine the docket and file and, if it appears therefrom
of a redemption. In those cases in which a plaintiff that the issues have been definitely decided and
has secured a judgment of foreclosure under that the only thing remaining to be done is the
authority of General Statutes § 49-17, when signing of the judgment file, the judgment file may
requested, the clerk shall prepare a decree of be drawn up by that judge or under that judge’s
foreclosure in accordance with a form prescribed direction and signed by him or her.
(d) Whenever a clerk or assistant clerk signs a
by the chief court administrator.
judgment file, the signer’s name shall be legibly
(c) Judgment files in family cases shall be filed typed or printed beneath such signature.
within sixty days of judgment. (P.B. 1978-1997, Sec. 338.) (Amended June 24, 2002, to
(P.B. 1978-1997, Sec. 337.) (Amended June 26, 2006, to take effect Jan. 1, 2003; amended June 26, 2006, to take
take effect Jan. 1, 2007; amended June 15, 2012, to take effect Jan. 1, 2007.)
Jan. 1, 2015.) Sec. 6-5. —Notation of Satisfaction
When the judgment is satisfied in a civil action,
Sec. 6-4. —Signing of Judgment File the party recovering the judgment shall file written
(a) Except as hereinafter provided, the judg- notice thereof with the clerk, who shall endorse
ment file, where it is necessary that it be prepared judgment satisfied on the judgment file, if there is
pursuant to Section 6-3, shall be signed by the one, and make a similar notation on the file and
clerk or assistant clerk unless otherwise ordered docket sheet, giving the name of the party and
by the judicial authority. the date. An execution returned fully satisfied shall
(b) In all actions involving dissolution of mar- be deemed a satisfaction of judgment and the
riage or civil union where counsel have appeared notice required in this section shall not be filed.
for both the plaintiff and the defendant, unless the The judicial authority may, upon motion, make a
judicial authority shall order otherwise, counsel determination that the judgment has been sat-
isfied.
for the parties shall endorse their approval of the (P.B. 1978-1997, Sec. 339.) (Amended June 25, 2001, to
judgment file immediately below the line for the take effect Jan. 1, 2002; amended June 30, 2003, to take
subscribing authority in the following words: "I effect Jan. 1, 2004.)
172
CHAPTER 7
CLERKS; FILES AND RECORDS
Sec. Sec.
7-1. Dockets; Clerk’s Records 7-11. —Judgments on the Merits—Stripping and Retention
7-2. General Duties of Clerk 7-12. —Actions Affecting the Title to Land
7-3. Financial Accounts 7-13. —Criminal/Motor Vehicle Files and Records
7-4. Daybook 7-14. —Reports from Adult Probation and Family Division
7-4A. Identification of Cases 7-15. —Retention Ordered by Chief Court Administrator;
7-4B. Motion to File Record under Seal Transfer to State Library
7-4C. Lodging a Record
7-16. —Motion to Prevent Destruction of File
7-5. Notice to Attorneys and Self-Represented Parties
7-6. Filing of Papers 7-17. Clerks’ Offices
7-7. Custody of Files 7-18. Hospital, Psychiatric and Medical Records
7-8. Lost File or Pleading 7-19. Issuing Subpoenas for Witnesses on Behalf of Self-
7-9. Completing Records Represented Litigants
7-10. Retention and Destruction of Files and Records; 7-20. Records of Short Calendar Matters
Withdrawals, Dismissals, Satisfactions of 7-21. Removing Exhibits and Other Papers
Judgment
Sec. 7-1. Dockets; Clerk’s Records Sec. 7-4. Daybook

The clerk shall keep a record of all pending The clerk shall keep daybooks in which to enter
cases, including applications and petitions made each case on the date upon which the matter is
to the court, together with a record of each paper filed on a docket of the court location. Each entry
filed and order made or judgment rendered shall state the first named plaintiff and the first
therein, with the date of such filing, making or named defendant, unless otherwise prohibited by
rendition. Duplicates of these records shall be statute or ordered by the judicial authority, the
kept with the original file in the case. date of filing and the number assigned to the case.
(P.B. 1978-1997, Sec. 250.) Daybooks shall be retained for a period deter-
mined by the chief court administrator.
Sec. 7-2. General Duties of Clerk (P.B. 1978-1997, Sec. 397.)
The clerk at each court location shall receive
Sec. 7-4A. Identification of Cases
files, processes and documents, make records of
all proceedings required to be recorded, have the Except as otherwise required by statute, every
custody of the files and records of the court loca- case filed in the superior court shall be identified
tion except those sent to the records center, make as existing in the records of the court by docket
and certify true copies of the files and records at number and by the names of the parties, and this
the court location of which each is the clerk, make information shall be available to the public.
(Adopted May 14, 2003, to take effect July 1, 2003.)
and keep dockets of causes therein, issue execu- COMMENTARY—2003: In all cases brought, the records
tions on judgments and perform all other duties of the clerk’s office shall reflect a docket number and names
imposed on such clerks by law. Each such clerk of the parties involved. This information shall be available to
shall collect and receive all fines and forfeitures any member of the public who shall request such information.
imposed or decreed by the court, including fines The names of the parties reflected in the records of the clerk’s
office shall reflect the true identity of the parties unless permis-
paid after commitment. (See General Statutes sion has been granted for use of a pseudonym pursuant to
§ 51-52 and annotations.) Section 11-20A. If a motion for use of a pseudonym is granted,
(P.B. 1978-1997, Sec. 395.) then the records of the clerk’s office shall reflect that
pseudonym.
Sec. 7-3. Financial Accounts
The clerk shall make and keep adequate Sec. 7-4B. Motion to File Record under Seal
accounts showing all receipts and disbursements. (a) As used in this section, ‘‘record’’ means any
Records of such accounts shall be retained for affidavit, document, or other material.
such period as determined by the chief court (b) A party filing a motion requesting that a
administrator. record be filed under seal or that its disclosure
(P.B. 1978-1997, Sec. 396.) be limited shall lodge the record with the court
173
pursuant to Section 7-4C when the motion is filed, (e) If the judicial authority grants the motion to
unless the judicial authority, for good cause seal the record or to limit its disclosure, the clerk
shown, orders that the record need not be lodged. shall prominently place on the envelope or con-
The motion must be accompanied by an appro- tainer in bold letters the words ‘‘Sealed by Order
priate memorandum of law to justify the sealing of the Court on (Date)’’ or ‘‘Disclosure Limited
or limited disclosure. by Order of the Court on (Date),’’ as appro-
(c) If necessary to prevent disclosure, the priate, and shall affix to the envelope or container
motion, any objection thereto, and any supporting a copy of the court’s order and the public redacted
records must be filed in a public redacted version version of the motion. If the judicial authority
and lodged in a nonredacted version conditionally denies the motion and the submitting party
under seal. requests in writing that the record be retained as
(d) If the judicial authority denies the motion to
a lodged record, the clerk shall prominently place
seal or to limit disclosure, the clerk shall either (1)
return the lodged record to the submitting party on the envelope or container in bold letters the
and shall not place it in the court file or (2) upon words ‘‘Motion Denied, Retain as Lodged
written request of the submitting party retain the Record’’ and shall affix to the envelope or con-
record as a lodged record so that in the event the tainer a copy of the court’s order and the public
submitting party appeals the denial of the motion, redacted version of the motion.
the lodged record can be part of the record on (Adopted May 14, 2003, to take effect July 1, 2003.)
appeal of the final judgment in the case. In the
latter event or if the judicial authority grants the Sec. 7-5. Notice to Attorneys and Self-Rep-
motion, the clerk shall follow the procedure set resented Parties
forth in Section 7-4C (e). If the lodged record is The clerk shall give notice, by mail or by elec-
retained pursuant to (2) above, the clerk shall tronic delivery, to the attorneys of record and self-
return it to the submitting party or destroy it upon represented parties unless otherwise provided by
the expiration of the appeal period if no appeal statute or these rules, of all judgments, nonsuits,
has been filed. defaults, decisions, orders and rulings unless
(Adopted May 14, 2003, to take effect July 1, 2003; made in their presence. The clerk shall record in
COMMENTARY—2003: Sections 7-4B and 7-4C are nec- the court file the date of the issuance of the notice.
essary to provide a uniform procedure for the filing of motions (P.B. 1978-1997, Sec. 398.) (Amended June 20, 2011, to
to seal records and the processing of such motions by the take effect Jan. 1, 2012.)
clerks. These rules are based on Rule 243.2 of the California
Rules of Court. Sec. 7-6. Filing of Papers
HISTORY—2005: In 2005, the words ‘‘or limited disclosure’’
were added to the end of subsection (b). No document in any case shall be filed by the
COMMENTARY—2005: The above change made the rule clerk unless it has been signed by counsel or a
internally consistent. self-represented party and contains the title of
the case to which it belongs, the docket number
Sec. 7-4C. Lodging a Record assigned to it by the clerk and the nature of the
(a) A ‘‘lodged’’ record is a record that is tempo- document. The document shall contain a certifica-
rarily placed or deposited with the court but not tion of service in accordance with Sections 10-12
filed. through 10-17, and, if required by Section 11-1,
(b) A party who moves to file a record under a proper order and order of notice if one or both
seal or to limit its disclosure shall put the record in are necessary.
a manila envelope or other appropriate container, (P.B. 1978-1997, Sec. 399.)
seal the envelope or container, and lodge it with
the court. Sec. 7-7. Custody of Files
(c) The party submitting the lodged record must
affix to the envelope or container a cover sheet Clerks will not permit files, records, transcripts,
that contains the case caption and docket number, or exhibits to be taken from their offices, except
the words ‘‘Conditionally Under Seal,’’ the name for use in the courtroom or upon order of a judicial
of the party submitting the record and a statement authority. No person shall take any file from the
that the enclosed record is subject to a motion to custody of the clerk or from the courtroom without
file the record under seal. the express authority of a judicial authority or a
(d) Upon receipt of a record lodged under this clerk of the court and unless a proper receipt is
section, the clerk shall note on the affixed cover given to the clerk on a form prescribed by the
sheet the date of its receipt and shall retain but office of the chief court administrator.
not file the record unless the court orders it filed. (P.B. 1978-1997, Sec. 400.)
174
Sec. 7-8. Lost File or Pleading (7) The judgment file or notation of the entry of
If any file or pleading be mislaid, lost or judgment, and all modifications of judgment;
destroyed the clerk may permit the original dupli- (8) All executions issued and returned.
cate or a sworn copy to be substituted therefor in (c) Upon the expiration of the stripping date, or
the files, and such substitution shall be certified at any time if facilities are not available for local
by the clerk thereon. retention, the file in any action set forth in subsec-
(P.B. 1978-1997, Sec. 402.) tion (d) may be transferred to the records center
or other proper designated storage area, where
Sec. 7-9. Completing Records it shall be retained for the balance of the retention
The clerk may, when so directed by a judicial period. Files in actions concerning dissolution of
authority, make up, amend and complete any marriage or civil union, legal separation, or annul-
imperfect or unfinished record in such manner ment may, upon agreement with officials of the
as the judicial authority may direct. (See General state library, be transferred to the state library at
Statutes § 51-52a (b).) the expiration of their retention period.
(P.B. 1978-1997, Sec. 403.) (d) The following is a schedule which sets forth
when a file may be stripped and the length of
Sec. 7-10. Retention and Destruction of time the file shall be retained. The time periods
Files and Records; Withdrawals, Dismiss- indicated below shall run from the date judgment
als, Satisfactions of Judgment is rendered, except receivership actions or actions
The files in all civil, family and juvenile actions, for injunctive relief, which shall run from the date
including summary process and small claims, of the termination of the receivership or injunction.
which, before a final judgment has been rendered
on the issues, have been terminated by the filing Type of Case Stripping Retention
of a withdrawal or by a judgment of dismissal or Date Date
nonsuit when the issues have not been resolved (1) Administrative appeals 3 years
on the merits or upon motion by any party or the (2) Contracts (where money dam- 1 year 20 years
court, or in which judgment for money damages ages are not awarded)
only has been rendered and a full satisfaction of (3) Eminent domain (except as 10 years
such judgment has been filed, may be destroyed provided in Section 7-12)
upon the expiration of one year after such termina- (4) Family
tion or the rendition of such judgment. -Dissolution of marriage or civil 5 years 75 years
(P.B. 1978-1997, Sec. 403B.) (Amended June 29, 1998, union, legal separation, annul-
to take effect Jan. 1, 1999.) ment and change of name
-Delinquency Until subject is 25
Sec. 7-11. —Judgments on the Merits— years of age
Stripping and Retention -Family with service needs Until subject is 25
years of age
(a) With the exception of actions which affect
-Termination of parental rights Permanent
the title to land and actions which have been dis- -Neglect and uncared for 75 years
posed of pursuant to Section 7-10, the files in civil, -Emancipation of minor 5 years
family and juvenile actions in which judgment has -Orders in relief from physical 5 years
been rendered may be stripped and destroyed abuse (General Statutes
pursuant to the schedule set forth in subsection § 46b-15)
(d) below, except that requests relating to discov- -Other 75 years
ery, responses and objections thereto may be (5) Family support magistrate 75 years
stripped after the expiration of the appeal period. matters
(b) When a file is to be stripped, all papers in -Uniform reciprocal enforce- 6 years after
ment of support (General Stat- youngest child
the file shall be destroyed except: utes §§ 46b-180 through 46b- reaches majority
(1) The complaint, including any amendment 211) age or after activ-
thereto, substituted complaint or amended com- ity ceases, which-
ever is shorter,
plaint; subject to federal
(2) All orders of notice, appearances and offi- law on filing an
cers’ returns; amended tax
return
(3) All military or other affidavits; -Uniform Interstate Family Sup- 6 years after
(4) Any cross complaint, third-party complaint, port Act (General Statutes youngest child
or amendment thereto; §§ 46b-212 through 46b-213w) reaches majority
age or after activ-
(5) All responsive pleadings; ity ceases, which-
(6) Any memorandum of decision; ever is shorter,
175
subject to federal state library pursuant to Section 7-15 (b) or to the

law on filing an
amended tax judicial branch record center.
return (P.B. 1978-1997, Sec. 403D.)
(6) Landlord/Tenant Sec. 7-13. —Criminal/Motor Vehicle Files

-Summary process 3 years and Records
-Housing code enforcement 5 years
(General Statutes § 47a-14h) (Amended June 29, 1998, to take effect Jan. 1, 1999.)
-Contracts/Leases (where 1 year 20 years (a) Upon the disposition of any criminal case,
money damages are not except a case in which a felony or a capital felony
awarded)
conviction resulted, or any motor vehicle case,
-Money damages (except 1 year 26 years
where a satisfaction of judg-
including any matter brought pursuant to the com-
ment has been filed) mission of an infraction or a violation, the file may
be stripped of all papers except (1) the executed
(7) Miscellaneous
-Bar discipline 50 years arrest warrant and original affidavit in support of
-Money damages (except 1 year 26 years probable cause, the misdemeanor/motor vehicle
where a satisfaction of judg- summons, prosecutorial summons or the com-
ment has been filed) plaint ticket, (2) the uniform arrest report, (3) the
-Mandamus, habeas corpus, 10 years information or indictment and any substitute infor-
arbitration, petition for new trial,
action for an accounting, inter-
mation, (4) a written plea of nolo contendere, (5)
pleader documents relating to programs for adjudication
-Injunctive relief (where no 5 years and treatment as a youthful offender, programs
other relief is requested) relating to family violence education, community
(8) Property (except as provided 5 years 26 years service labor, accelerated pretrial rehabilitation,
in Section 7-12) pretrial drug education, pretrial alcohol education
and treatment, determination of competency to
(9) Receivership 10 years
stand trial or suspension of prosecution or any
(10) Small Claims 15 years other programs for adjudication or treatment
(11) Torts (except as noted below) 1 year 26 years
which may be created from time to time, (6) any
-Money damages if the judg- Permanent official receipts, (7) the judgment mittimus, (8) any
ment was rendered in an action written notices of rights, (9) orders regarding pro-
to recover damages for per-
sonal injury caused by sexual
bation, (10) any exhibits on file, (11) any tran-
assault where the party at fault scripts on file of proceedings held in the matter,
was convicted under General and (12) the transaction sheet.
Statutes § 53a-70 or § 53a-70a
(except where a satisfaction of (b) Unless otherwise ordered by the court, the
judgment has been filed) copy of the application for a search warrant and
affidavits filed pursuant to General Statutes § 54-
(12) Wills and estates 10 years
33c shall be destroyed upon the expiration of three
(13) Asset forfeiture (General Stat- 10 years years from the filing of the copy of the application
utes § 54-36h) and affidavits with the clerk.
(14) Alcohol and drug commitment 10 years (c) Except as otherwise provided, the papers
(General Statutes § 17a-685) stripped from the court file may be destroyed upon
(15) All other civil actions (except as 75 years the expiration of ninety days from the date of dis-
provided in Section 7-12) position of the case.
(d) Upon the disposition of any criminal or motor
(P.B. 1978-1997, Sec. 403C.) (Amended June 29, 1998, to vehicle case in which the defendant has been
effect Jan. 1, 2000; amended June 30, 2003, to take effect released pursuant to a bond, the clerk shall
Jan. 1, 2004; amended June 26, 2006, to take effect Jan. 1, remove the bond form from the file and maintain
2007; amended June 15, 2012, to take effect Jan. 1, 2013.) it in the clerk’s office for such periods as deter-
mined by the chief court administrator.
Sec. 7-12. —Actions Affecting the Title to (e) Upon the disposition of any criminal or motor
Land vehicle case in which property is seized, whether
Files in any actions concerning title to land pursuant to a search warrant, an arrest, an in rem
which are terminated by a final judgment affecting proceeding or otherwise, the clerk shall remove
any right, title or interest in real property shall be the executed search warrant, if any, papers relat-
retained for forty years in the office of the clerk ing to any in rem proceedings, if any, and the
of the court location in which the judgment is ren- inventory of the seized property from the court file
dered and thereafter may be transferred to the and maintain them in the clerk’s office during the
176
pendency of proceedings to dispose of the prop- clerk may be destroyed upon the expiration of one
erty and for such further periods as determined year from the date of final disposition of the case.
by the chief court administrator. (P.B. 1978-1997, Sec. 403F.)
(f) In cases in which there has been neither a Sec. 7-15. —Retention Ordered by Chief
conviction nor the payment of a fine on any Court Administrator; Transfer to State
charge, the file shall be destroyed upon the expira- Library
tion of three years from the date of disposition.
(a) The chief court administrator may require
(g) In cases in which a fine has been paid pursu-
that any files and records of the judicial branch,
ant to an infraction or a violation, the file shall be the retention of which is not otherwise provided for
destroyed upon the expiration of five years from by rule or statute, be retained either for a specific
the date of disposition. period or permanently, and may authorize the
(h) In cases in which there has been a convic- transfer of any such files and records to the
tion of a misdemeanor charge but not a conviction records center or other proper facility for retention.
of a felony charge, the file shall be destroyed Such files and records may be destroyed upon
upon the expiration of ten years from the date the expiration of the specific period required for
of disposition. their retention.
(i) In cases in which there has been a conviction (b) Except where prohibited by rule or statute,
of a felony charge but not a conviction of a capital any files and records of the judicial branch may,
felony charge, the file, all exhibits and the tran- with the written consent of the chief court adminis-
scripts of all proceedings held in the matter shall trator and upon agreement with the appropriate
be destroyed upon the expiration of twenty years officials of the state library, be transferred to the
from the date of disposition or upon the expiration state library for retention.
of the sentence, whichever is later. (P.B. 1978-1997, Sec. 403G.)
(j) In cases in which there has been a conviction
Sec. 7-16. —Motion to Prevent Destruction
of a capital felony charge, the file, all exhibits and
of File
the transcripts of all proceedings held in the matter
shall be destroyed upon the expiration of seventy- Upon the motion of any interested party, the
five years from such conviction. judicial authority may, for good cause shown,
(k) The file and records in any case in which exempt from destruction for a specified period the
an individual is adjudged a youthful offender shall file in any case which has gone to judgment for
be retained for ten years. reasons other than dismissal.
(P.B. 1978-1997, Sec. 403H.)
(l) The file in any case in which the disposition
is not guilty by reason of mental disease or defect Sec. 7-17. Clerks’ Offices
shall be retained for seventy-five years. Clerks’ offices shall be open each weekday
(m) Investigatory grand jury records shall be from Monday to Friday inclusive, between 9
retained permanently. o’clock in the forenoon and 5 o’clock in the after-
(P.B. 1978-1997, Sec. 403E.) (Amended June 29, 1998, noon, but they shall not be open on legal holidays.
to take effect Jan. 1, 1999; amended June 30, 2003, to take The chief court administrator may increase the
effect Jan. 1, 2004; amended June 29, 2007, to take effect hours of the clerk’s office for the purpose of the
Jan. 1, 2008; amended June 22, 2009, to take effect Jan.
1, 2010.)
acceptance of bonds or for other limited purposes
for one or more court locations. If the last day for
Sec. 7-14. —Reports from Adult Probation filing any matter in the clerk’s office falls on a day
and Family Division on which such office is not open as thus provided
or is closed pursuant to authorization by the
(a) The office of adult probation shall maintain administrative judge in consultation with the chief
one copy of each presentence investigation report court administrator or the chief court administrator
for twenty-five years. Copies of such reports in due to the existence of special circumstances,
the custody of the clerk pursuant to Section 43- then the last day for filing shall be the next busi-
8 may be destroyed upon the expiration of one ness day upon which such office is open. Except
year from the date of final disposition of the case. as provided below, a document that is electroni-
(b) Except as provided in General Statutes cally received by the clerk’s office for filing after
§ 45a-757, the family division of the superior court 5 o’clock in the afternoon on a day on which the
shall maintain one copy of each case study report clerk’s office is open or that is electronically
prepared pursuant to Section 25-60 for two years received by the clerk’s office for filing at any time
beyond the youngest child’s eighteenth birthday on a day on which the clerk’s office is closed, shall
and copies of such reports in the custody of the be deemed filed on the next business day upon
177
which such office is open. If a party is unable to and future opportunities for examination of wit-
electronically file a document because the court’s nesses, as may be appropriate. If an application
electronic filing system is nonoperational for thirty is denied in whole or in part, the applicant may
consecutive minutes from 9 o’clock in the fore- request a hearing which shall be scheduled by
noon to 3 o’clock in the afternoon or for any period the court.
of time from 3 o’clock to 5 o’clock in the afternoon (P.B. 1978-1997, Sec. 395A.) (Amended June 12, 2015,
of the day on which the electronic filing is to take effect Jan. 1, 2016.)
HISTORY—2016: Prior to 2016, the first sentence of this
attempted, and such day is the last day for filing section read: ‘‘Self-represented litigants seeking to compel the
the document, the document shall be deemed to attendance of necessary witnesses in connection with the
be timely filed if received by the clerk’s office on hearing of any civil matter, including matters scheduled on
the next business day the electronic system is short calendar or special proceeding lists or for trial, shall file
operational. an application to have the clerk of the court issue subpoenas
(P.B. 1978-1997, Sec. 405.) (Amended June 24, 2002, to for that purpose.’’ In addition, in the second sentence, ‘‘matter’’
take effect Jan. 1, 2003; amended June 21, 2004, to take was added after ‘‘scheduling of the’’ and ‘‘short calendar hear-
effect July 13, 2004; amended June 21, 2010, to take effect ing, special proceeding or trial’’ was deleted. Also in 2016,
Jan. 1, 2011.) what is now the last sentence was added to this section.
COMMENTARY—2016: The revision to this section
Sec. 7-18. Hospital, Psychiatric and Medi- expands the applicability of the section to any matter and
cal Records comports with State v. Nowacki, 155 Conn. App. 758, 767
and n.5, 111 A.3d 911 (2015). Also, if an application is denied,
Hospital, psychiatric and medical records shall the applicant may request a hearing that must be scheduled
not be filed with the clerk unless such records are by the court.
submitted in a sealed envelope clearly identified
with the case caption, the subject’s name and Sec. 7-20. Records of Short Calendar
the health care provider, institution or facility from Matters
which said records were issued. Such records The clerk shall keep a record of all matters
shall be opened only pursuant to court order. assigned for hearing on the civil short calendar
(P.B. 1978-1997, Secs. 397B, 1011E.) together with the disposition made of them. Such
Sec. 7-19. Issuing Subpoenas for Witnesses records shall be retained for such period and in
on Behalf of Self-Represented Litigants such format as determined by the chief court
Self-represented litigants seeking to compel the administrator.
(P.B. 1978-1997, Sec. 397A.) (Amended June 30, 2008,
attendance of necessary witnesses in connection to take effect Jan. 1, 2009.)
with the hearing of any matter shall file an applica-
tion to have the clerk of the court issue subpoenas Sec. 7-21. Removing Exhibits and Other
for that purpose. The clerk, after verifying the Papers
scheduling of the matter, shall present the applica- Unless otherwise ordered by the judicial author-
tion to the judge before whom the matter is sched- ity, it is the duty of attorneys and self-represented
uled for hearing, or the administrative judge or parties, upon the final determination of any civil
any judge designated by the administrative judge case, to remove from the courthouse all exhibits
if the matter has not been scheduled before a that have been entered into evidence, briefs,
specific judge, which judge shall conduct an ex depositions, and memoranda and, if not so
parte review of the application and may direct or removed, such items may be destroyed by the
deny the issuance of subpoenas as such judge clerk four months after the final determination of
deems warranted under the circumstances, keep- the case, without notice.
ing in mind the nature of the scheduled hearing (P.B. 1978-1997, Sec. 401.)
178
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 8-7. Request to Furnish Bond
8-2. Waiver of Court Fees and Costs 8-8. Member of Community Defending to Give Bond
8-3. Bond for Prosecution 8-9. Bond by Nonresident in Realty Action
8-4. Certification of Financial Responsibility 8-10. Surety Company Bond Acceptable
8-5. Remedy for Failure to Give Bond 8-11. Action on Probate Bond; Endorsement of Writ
8-6. Bond Ordered by Judicial Authority 8-12. Renewal of Bond
Sec. 8-1. Process (7) Any actions or proceedings in which an

(Amended June 14, 2013, to take effect Jan. 1, 2014.) attachment, garnishment or replevy is sought.
(a) Process in civil actions shall be a writ of (8) Applications for custody.
summons or attachment, describing the parties, (9) Applications for visitation.
the court to which it is returnable and the time (d) A plaintiff may, before service on a defend-
and place of appearance, and shall be accompa- ant, alter printed forms JD-FM-3, JD-HM-32, and
nied by the plaintiff’s complaint. Such writ may JD-CV-1 in order to make them conform to any
run into any judicial district or geographical area relevant amendments to the rules of practice or
and shall be signed by a commissioner of the statutes.
superior court or a judge or clerk of the court to (P.B. 1978-1997, Sec. 49.) (Amended June 28, 1999, to
which it is returnable. Except in those actions and take effect Jan. 1, 2000; amended June 21, 2004, to take
proceedings indicated below, the writ of summons
Jan. 1, 2014.)
shall be on a form substantially in compliance with
the following judicial branch forms prescribed by Sec. 8-2. Waiver of Court Fees and Costs
the chief court administrator: Form JD-FM-3 in
family actions, Form JD-HM-32 in summary pro- (a) Prior to the commencement of an action, or
cess actions, and Form JD-CV-1 in other civil at any time during its pendency, a party may file
actions, as such forms shall from time to time with the clerk of the court in which the action is
be amended. Any person proceeding without the pending, or in which the party intends to return a
assistance of counsel shall sign the complaint and writ, summons and complaint, an application for
present the complaint and proposed writ of sum- waiver of fees payable to the court and for pay-
mons to the clerk; the clerk shall review the pro- ment by the state of the costs of service of pro-
posed writ of summons and, unless it is defective cess. The application shall set forth the facts
as to form, shall sign it. which are the basis of the claim for waiver and
for payment by the state of any costs of service
(b) For administrative appeals brought pursuant
of process; a statement of the applicant’s current
to General Statutes § 4-183 et seq., process and
income, expenses, assets and liabilities; pertinent
service of process shall be made in accordance
records of employment, gross earnings, gross
with General Statutes § 4-183 (c) and Practice
wages and all other income; and the specific fees
Book Section 14-7A (a).
and costs of service of process sought to be
(c) Form JD-FM-3, Form JD-HM-32, and Form waived or paid by the state and the amount of
JD-CV-1 shall not be used in the following actions each. The application and any representations
and proceedings: shall be supported by an affidavit of the applicant
(1) Applications for change of name. to the truth of the facts recited.
(2) Proceedings pertaining to arbitration. (b) The clerk with whom such an application is
(3) Probate appeals. filed shall refer it to the court of which he or she
(4) Administrative appeals. is clerk. If the court finds that a party is indigent
(5) Verified petitions for paternity. and unable to pay a fee or fees payable to the
(6) Verified petitions for support orders. court or to pay the cost of service of process, the
179
Sec. 8-2 SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS
court shall waive such fee or fees and the cost of process between the time of signing and of serv-
service of process shall be paid by the state. ing it. (See General Statutes § 52-185 and anno-
(c) There shall be a rebuttable presumption that tations.)
a person is indigent and unable to pay a fee or (b) No recognizance shall be required of a self-
fees or the cost of service of process if (1) such represented complainant in a summary process
person receives public assistance or (2) such per- action.
son’s income after taxes, mandatory wage deduc- (P.B. 1978-1997, Sec. 51.)
tions and child care expenses is one hundred
twenty-five per cent or less of the federal poverty Sec. 8-4. Certification of Financial Respon-
level. For purposes of this subsection, ‘‘public sibility
assistance’’ includes, but is not limited to, state (a) Except as provided below, in all actions
administered general assistance, temporary fam- wherein costs may be taxed against the plaintiff,
ily assistance, aid to the aged, blind and disabled, no mesne process shall be issued until the recog-
food stamps and supplemental security income. nizance of a third party for costs has been taken,
(d) Nothing in this section shall preclude the unless the authority signing the writ shall certify
court from (1) finding that a person whose income thereon that he or she has personal knowledge
does not meet the criteria of subsection (c) of this as to the financial responsibility of the plaintiff and
section is indigent and unable to pay a fee or fees deems it sufficient.
or the cost of service of process, or (2) denying (b) No recognizance shall be required of a self-
an application for the waiver of the payment of a represented complainant in a summary process
fee or fees or the cost of service of process when action.
the court finds that (A) the applicant has repeat- (c) No attorney shall enter into a recognizance
edly filed actions with respect to the same or simi- upon a writ which such attorney signs.
lar matters, (B) such filings establish an extended (P.B. 1978-1997, Sec. 52.)
pattern of frivolous filings that have been without Sec. 8-5. Remedy for Failure to Give Bond
merit, (C) the application sought is in connection
with an action before the court that is consistent (a) When there has been a failure to comply
with the applicant’s previous pattern of frivolous with the provisions of Sections 8-3 and 8-4; the
filings, and (D) the granting of such application validity of the writ and service shall not be affected
would constitute a flagrant misuse of Judicial unless the neglect is made a ground of a motion
Branch resources. to dismiss.
If an application for the waiver of the payment (b) If the judicial authority, upon the hearing of
of a fee or fees or the cost of service of process the motion to dismiss, directs the plaintiff to file a
is denied, the court clerk shall, upon the request bond to prosecute in an amount deemed sufficient
of the applicant, schedule a hearing on the appli- by the judicial authority, the action shall be dis-
cation. Nothing in this section shall affect the missed unless the plaintiff complies with the order
inherent authority of the court to manage its of the judicial authority within two weeks of
docket. such order.
(P.B. 1978-1997, Sec. 50.) (Amended June 21, 2010, to (c) Upon the filing of such bond, the case shall
take effect Jan. 1, 2011; amended June 13, 2014, to take proceed in the same manner and to the same
effect Jan. 1, 2015.) effect as to rights of attachment and in all other
respects as though the neglect had not occurred.
Sec. 8-3. Bond for Prosecution The judicial authority may, in its discretion, order,
(a) Except as provided below, if the plaintiff in as a condition to the acceptance of the bond,
any civil action is not an inhabitant of this state, that the plaintiff pay to the defendant costs not to
or if it does not appear to the authority signing exceed the costs in full to the date of the order.
the process that the plaintiff is able to pay the (See General Statutes § 52-185 and annotations.)
costs of the action should judgment be rendered (P.B. 1978-1997, Sec. 53.)
against the plaintiff, he or she shall, before such
process is signed, enter into a recognizance to Sec. 8-6. Bond Ordered by Judicial
the adverse party with some substantial inhabitant Authority
of this state as surety, or some substantial inhabit- If the judicial authority in which any action is
ant of this state shall enter into a recognizance pending finds that any bond taken therein for pros-
to the adverse party, that the plaintiff shall prose- ecution, or on appeal, is insufficient, or that the
cute the action to effect, and answer all damages plaintiff has given no bond for prosecution and is
in case the plaintiff does not make his or her plea not able to pay the costs, it shall order a sufficient
good; and no such recognizance shall be dis- bond to be given before trial, unless the trial will
charged by any amendment or alteration of the thereby necessarily be delayed. In determining
180
the sufficiency of the bond to be given, the judicial the judicial authority may direct, conditioned for
authority shall consider only the taxable costs the payment of costs. Judgment as on default
which the plaintiff may be responsible for under may be rendered against any defendant who fails
General Statutes § 52-257, except that in no event to comply with such order. (See General Statutes
shall the judicial authority consider the fees or § 52-188.)
charges of expert witnesses notwithstanding that (P.B. 1978-1997, Sec. 57.)
such fees or charges may be allowable under that Sec. 8-10. Surety Company Bond Ac-
section. Any party failing to comply with such order ceptable
may be nonsuited or defaulted, as the case may
be. Bonds for the prosecution of any civil action Any surety company chartered by this state or
or appeal, pending in any court, may be taken in authorized to do business herein may be accepted
vacation by its clerk. (See General Statutes § 52- as surety or recognizor upon any bond or recogni-
186 and annotations.) zance required by law in any civil action or in any
(P.B. 1978-1997, Sec. 54.) proceeding instituted under the statutes of this
state and, in any case where a bond or recogni-
Sec. 8-7. Request to Furnish Bond zance is by law required, the bond of such com-
No order for a bond for prosecution will be made pany, duly executed and conditioned for the
by the judicial authority unless it be shown that performance of the obligations expressed in such
the adverse party has been requested in writing bond or recognizance, may be accepted by the
to furnish the same and has refused such request person having authority thereto, and shall be filed
or has failed to file a satisfactory bond within a by him or her in the court to which such action or
reasonable time after the request was made. proceeding is returnable or pending. (See General
(P.B. 1978-1997, Sec. 55.) Statutes § 52-189 and annotations.)
(P.B. 1978-1997, Sec. 58.)
Sec. 8-8. Member of Community Defending
to Give Bond Sec. 8-11. Action on Probate Bond;
If, in any action against a community, any indi- Endorsement of Writ
vidual member of such community appears to The writ in any action brought upon a probate
defend, he or she shall procure bond with surety bond, or bond taken to a judge of probate and
to the acceptance of the court in which the action such judge’s successors in office, shall be dis-
is pending, to save such community harmless missed unless, before its issue, some responsible
from all costs which may arise by reason of such inhabitant of the state signs a written endorsement
appearance, which bond shall be payable to such upon it, agreeing to be responsible for the costs
community and be filed in such court. Any such of suit. If the endorser dies or removes from this
individual member who successfully defends state, a new endorser on such writ shall be substi-
against such action shall be entitled to the costs tuted; and the court before which the suit is pend-
recoverable from the plaintiff unless the commu- ing may at any time order the substitution of a
nity likewise appeared and incurred the costs of new endorser to be approved by it. For any failure
such defense. (See General Statutes § 52-187 to comply with such an order the plaintiff may be
and annotations.) nonsuited. (See General Statutes § 52-190 and
(P.B. 1978-1997, Sec. 56.) annotations.)
(P.B. 1978-1997, Sec. 59.)
Sec. 8-9. Bond by Nonresident in Realty
Action Sec. 8-12. Renewal of Bond
Each nonresident defendant in any civil action Bonds given in the course of any judicial pro-
relating to real estate or any interest therein, if ceedings may, for reasonable cause and upon
any relief other than money damages is claimed, due notice, be renewed, or other bonds taken in
may be ordered by the judicial authority, during lieu of them, by the court, or by the judge before
the pendency of such action, to give such bond whom the matter is pending.
to such other party or parties to such action as (P.B. 1978-1997, Sec. 60.)
181
CHAPTER 9
PARTIES
Sec. Sec.
9-1. Continuance for Absent or Nonresident Defendant 9-13. Persons Liable on Same Instrument
9-2. Defense by Garnishee; Continuance 9-14. Defendants Alternately Liable
9-3. Joinder of Parties and Actions; Interested Persons 9-15. Assignee of Part Interest
as Plaintiffs 9-16. Assignment Pending Suit
9-4. —Joinder of Plaintiffs in One Action 9-17. Unsatisfied Judgment against One Defendant
9-5. —Consolidation of Actions 9-18. Addition or Substitution of Parties; Additional Parties
9-6. —Interested Persons as Defendants Summoned in by Court
9-19. —Nonjoinder and Misjoinder of Parties
9-7. Class Actions; Prerequisites to Class Actions
9-20. —Substituted Plaintiff
9-8. —Class Actions Maintainable 9-21. —Counterclaim; Third Parties
9-9. —Procedure for Class Certification and Management 9-22. —Motion to Cite in New Parties
of Class 9-23. Suit by Real Party in Interest
9-10. —Orders to Ensure Adequate Representation 9-24. Change of Name by Minor Child
9-11. Executor, Administrator or Trustee of Express Trust 9-25. Action on Bond to Municipal Officer
9-12. Personal Representatives of Cocontractor
Sec. 9-1. Continuance for Absent or Nonres- for relief incident thereto and part thereof, judg-
ident Defendant ment may then be rendered upon the plaintiff’s
Every civil action in which the defendant is an motion for judgment of foreclosure. The provisions
inhabitant of this state but is absent therefrom at of this section shall not apply in the case of any
the commencement of the suit and continues to civil action brought under and pursuant to General
be absent until after the return day, without having Statutes § 47-33 or § 52-69 and no continuance
entered any appearance therein, shall be contin- or postponement of any such action or additional
ued or postponed for thirty days by order of the notice of the pendency thereof shall be required
judicial authority. If the defendant does not then unless the judicial authority so orders. (See Gen-
appear and no special reason is shown for further eral Statutes § 52-87 and annotations.)
delay, judgment by default may be rendered (P.B. 1978-1997, Sec. 80.)
against the defendant. If the defendant is not an
inhabitant or resident of this state at the com- Sec. 9-2. Defense by Garnishee; Con-
mencement of the action and does not appear tinuance
therein, the judicial authority shall continue or In any action by foreign attachment, if the
postpone it for a period of three months and may, defendant does not appear, any garnishee may
if it deems further notice advisable, direct such be admitted to defend his or her principal; but, if
further notice of the pendency of the action to be the defendant is not in this state and does not
given to the defendant by publication in some appear, personally or by attorney, and the gar-
newspaper, or otherwise, as it deems expedient, nishee does not appear to defend, the action shall
or may authorize any person empowered to serve be continued, postponed or adjourned for a period
process by the laws of the foreign jurisdiction in of three months from the return day of the writ.
which such defendant resides to serve upon such Any continuance, postponement or adjournment,
defendant a copy of the summons and complaint prescribed in this or Section 9-1, shall not be
and of the order of notice and such person shall granted or, if granted, shall terminate whenever
make affidavit of his or her doings thereon on the the judicial authority finds that the absent or non-
original order of notice. If, upon the expiration of resident defendant, or authorized agent or attor-
such three months, the defendant does not then ney, has received actual notice of the pendency
appear and no special reason is shown for further of the case at least twelve days prior to such
delay, judgment may be rendered against such finding, and thereupon, unless some special rea-
defendant by default. Upon the expiration of any son is shown for further delay, the cause may be
such continuance, it shall be presumed prima brought to trial. (See General Statutes § 52-88
facie that no special reason for further delay and annotations.)
exists. In actions of foreclosure, including prayers (P.B. 1978-1997, Sec. 81.)
182
Sec. 9-3. Joinder of Parties and Actions; separate files and all documents submitted by
Interested Persons as Plaintiffs counsel or the parties shall bear only the docket
All persons having an interest in the subject of number and case title of the file in which it is to
the action, and in obtaining the judgment be filed.
demanded, may be joined as plaintiffs, except (P.B. 1978-1997, Sec. 84A.) (Amended June 29, 1998, to
as otherwise expressly provided; and, if one who take effect Jan. 1, 1999.)
ought to be joined as plaintiff declines to join, such Sec. 9-6. —Interested Persons as De-
person may be made a defendant, the reason fendants
therefor being stated in the complaint. (See Gen-
eral Statutes § 52-101 and annotations.) Any person may be made a defendant who has
(P.B. 1978-1997, Sec. 83.) or claims an interest in the controversy, or any
part thereof, adverse to the plaintiff, or whom it is
Sec. 9-4. —Joinder of Plaintiffs in One necessary, for a complete determination or settle-
Action ment of any question involved therein, to make a
All persons may be joined in one action as plain- party. (See General Statutes § 52-102 and anno-
tiffs in whom any right of relief in respect to or tations.)
arising out of the same transaction or series of (P.B. 1978-1997, Sec. 85.)
transactions is alleged to exist either jointly or
severally when, if such persons brought separate Sec. 9-7. Class Actions; Prerequisites to
actions, any common question of law or fact would Class Actions
arise; provided, if, upon the motion of any party, One or more members of a class may sue or
it would appear that such joinder might embarrass be sued as representative parties on behalf of all
or delay the trial of the action, the judicial authority only if (1) the class is so numerous that joinder
may order separate trials, or make such other of all members is impracticable, (2) there are
order as may be expedient, and judgment may questions of law or fact common to the class,
be given for such one or more of the plaintiffs as (3) the claims or defenses of the representative
may be found to be entitled to relief, for the relief parties are typical of the claims or defenses of the
to which he, she or they may be entitled; and there class, and (4) the representative parties will fairly
shall be but one entry fee, one jury fee, if claimed and adequately protect the interests of the class.
for jury trial, and such other costs as may by rule (P.B. 1978-1997, Sec. 87.)
be prescribed.
(P.B. 1978-1997, Sec. 84.) Sec. 9-8. —Class Actions Maintainable
Sec. 9-5. —Consolidation of Actions An action may be maintained as a class action
if the prerequisites of Section 9-7 are satisfied,
(a) Whenever there are two or more separate and in addition:
actions which should be tried together, the judicial
(1) the prosecution of separate actions by or
authority may, upon the motion of any party or
upon its own motion, order that the actions be against individual members of the class would
consolidated for trial. create a risk of: (A) inconsistent or varying adjudi-
(b) If a party seeks consolidation, the motion to cations with respect to individual members of the
consolidate shall be filed in all of the court files class which would establish incompatible stan-
proposed to be consolidated, shall include the dards of conduct for the party opposing the class;
docket number and judicial district of each of the or (B) adjudications with respect to individual
cases, and shall contain a certification specifically members of the class which would, as a practical
stating that the motion was served in accordance matter, be dispositive of the interests of the other
with Sections 10-12 through 10-17 on all parties members who are not parties to the adjudications
to such actions. The certification shall specifically or substantially impair or impede their ability to
recite the name and address of each counsel and protect their interests, or
self-represented party served, the date of such (2) the party opposing the class has acted or
service and the name and docket number of the refused to act on grounds generally applicable to
case in which that person has appeared. The mov- the class, thereby making appropriate final injunc-
ing party shall give reasonable notice to all such tive relief or corresponding declaratory relief with
parties of the date on which the motion will be respect to the class as a whole; or
heard on short calendar. The judicial authority (3) the court finds that the questions of law or
shall not consider the motion unless it is satisfied fact common to the members of the class predom-
that such notice was given. inate over any questions affecting only individual
(c) The court files in any actions consolidated members and that a class action is superior to
pursuant to this section shall be maintained as other available methods for the fair and efficient
183
adjudication of the controversy. The matters perti- respect to particular issues, or (B) a class may be
nent to the findings include: (A) the interest of divided into subclasses and each subclass treated
members of the class in individually controlling as a class, and the provisions of Sections 9-7 and
the prosecution or defense of separate actions; 9-8 shall then be construed and applied
(B) the extent and nature of any litigation concern- accordingly.
ing the controversy already commenced by or (b) In the conduct of actions to which Section
against members of the class; (C) the desirability 9-7 et seq. apply, the court may make appro-
or undesirability of concentrating the litigation of priate orders:
the claims in the particular forum; (D) the difficul- (1) determining the course of proceedings or
ties likely to be encountered in the management prescribing measures to prevent undue repetition
of class action. or complication in the presentation of evidence
(P.B. 1978-1997, Sec. 88.) (Amended June 22, 2009, to or argument;
take effect Jan. 1, 2010.) (2) requiring, for the protection of the members
Sec. 9-9. —Procedure for Class Certification of the class or otherwise for the fair conduct of
and Management of Class the action, that notice be given in such manner
(Amended June 22, 2009, to take effect Jan. 1, 2010.) as the court may direct to some or all of the mem-
(a) (1) (A) When a person sues or is sued as bers of:
a representative of a class, the court must, at an (i) any step in the action;
early practicable time, determine by order whether (ii) the proposed extent of the judgment; or
to certify the action as a class action. (iii) the opportunity of members to signify
(B) An order certifying a class action must whether they consider the representation fair and
define the class and the class claims, issues or adequate, to intervene and to present claims or
defenses, and must appoint class counsel. defenses, or otherwise to come into the action;
(C) An order under Section 9-9 (a) (1) (A) may (3) imposing conditions on the representative
be altered or amended before final judgment. parties or on intervenors;
(2) (A) For any class certified under Section 9-8 (4) requiring that the pleadings be amended to
(1) or (2), the court must direct notice to the class. eliminate therefrom allegations as to representa-
(B) For any class certified under Section 9-8 tion of absent persons, and that the action pro-
(3), the court must direct to class members the ceed accordingly;
best notice practicable under the circumstances, (5) dealing with similar procedural matters.
including individual notice to all members who can The orders may be altered or amended as may
be identified through reasonable effort. The notice be desirable from time to time.
must concisely and clearly state in plain, easily (c) (1) (A) The court must approve any settle-
understood language: ment, withdrawal, or compromise of the claims,
(i) the nature of the action; issues, or defense of a certified class. Court
(ii) the definition of the class certified; approval is not required for settlement, withdrawal
(iii) the class claims, issues or defenses; or compromise of a claim in which a class has
(iv) that a class member may enter an appear- been alleged but no class has been certified.
ance through counsel if the member so desires; (B) The court must direct notice in a reasonable
(v) that the court will exclude from the class any manner to all class members who would be bound
member who requests exclusion, stating when by a proposed settlement, withdrawal or com-
and how members may elect to be excluded; and promise.
(vi) the binding effect of a class judgment on (C) The court may approve a settlement, with-
class members under Section 9-8 (3). drawal, or compromise that would bind class
(3) The judgment in an action maintained as a members only after a hearing and on finding that
class action under Section 9-8 (1) or (2), whether the settlement, withdrawal, or compromise is fair,
or not favorable to the class, shall include and reasonable, and adequate.
describe those whom the court finds to be mem- (2) The parties seeking approval of a settle-
bers of the class. The judgment in an action main- ment, withdrawal, or compromise of an action in
tained as a class action under Section 9-8 (3), which a class has been certified must file a state-
whether or not favorable to the class, shall include ment identifying any agreement made in connec-
and specify or describe those to whom the notice tion with the proposed settlement, withdrawal or
provided in Section 9-9 (a) (2) (B) was directed, compromise.
and who have not requested exclusion, and whom (3) In an action previously certified as a class
the court finds to be members of the class. action under Section 9-8 (3), the court may refuse
(4) When appropriate, (A) an action may be to approve a settlement unless it affords a new
brought or maintained as a class action with opportunity to request exclusion to individual class
184
members who had an earlier opportunity to (2) A class member or a party from whom pay-
request exclusion but did not do so. ment is sought, may object to the motion.
(4) (A) Any class member may object to a pro- (3) The court may hold a hearing and must
posed settlement, withdrawal or compromise that find the facts and state its conclusions of law on
requires court approval under (c) (1) (A). such motion.
(B) An objection made under (c) (4) (A) may be (g) (1) ‘‘Residual funds’’ are funds that remain
withdrawn only with the court’s approval. after the payment of approved class member
(d) Unless a statute provides otherwise, a court claims, expenses, litigation costs, attorney’s fees,
that certifies a class must appoint class counsel. and other court-approved disbursements made to
An attorney appointed to serve as class counsel implement the relief granted. Nothing in this rule
must fairly and adequately represent the interests is intended to limit the parties to a class action
of the class. from recommending, or the trial court from approv-
(1) In appointing class counsel, the court ing, a settlement that does not create residual
must consider: funds.
(i) the work counsel has done in identifying or (2) Any order, judgment or approved settlement
investigating potential claims in the action; in a class action that establishes a process for
(ii) counsel’s experience in handling class identifying and compensating members of the
actions, other complex litigation, and claims of the class may designate the recipient or recipients of
type asserted in the action; any such residual funds that may remain after the
(iii) counsel’s knowledge of the applicable claims payment process has been completed. In
law; and the absence of such designation, the residual
(iv) the resources counsel will commit to repre- funds shall be disbursed to the organization
senting the class. administering the program for the use of interest
(2) The court may: on lawyers’ client funds pursuant to General Stat-
(i) consider any other matter pertinent to coun- utes § 51-81c for the purpose of funding those
sel’s ability to represent the interests of the class organizations that provide legal services for the
fairly and adequately; poor in Connecticut.
(ii) direct potential class counsel to provide take effect Jan. 1, 2010; amended June 13, 2014, to take
information on any subject pertinent to the effect Jan. 1, 2015.)
appointment and to propose terms for attorney’s
fees and nontaxable costs; and Sec. 9-10. —Orders to Ensure Adequate
(iii) make further orders in connection with Representation
the appointment. The judicial authority at any stage of an action
(e) The court may designate interim counsel to under this section may require such security and
act on behalf of the putative class before determin- impose such terms as shall fairly and adequately
ing whether to certify the action as a class action. protect the interests of the class in whose behalf
When there is one applicant for appointment as the action is brought or defended. It may order
class counsel, the court may appoint that appli- that notice be given, in such manner as it may
cant only if the applicant is adequate under sub- direct, of the pendency of the action, of a proposed
section (d). If more than one adequate applicant settlement, of entry of judgment, or of any other
seeks appointment as class counsel, the court proceedings in the action, including notice to the
must appoint the applicant best able to represent absent persons that they may come in and present
the interests of the class. The order appointing claims and defenses if they so desire. Whenever
class counsel may include provisions about the the representation appears to the judicial authority
award of attorney’s fees or nontaxable costs inadequate fairly to protect the interests of absent
under subsection (f). parties who may be bound by the judgment, it
(f) In an action certified as a class action, the may at any time prior to judgment order an amend-
court may award reasonable attorney’s fees and ment of the pleadings, eliminating therefrom all
nontaxable costs authorized by law or by consent reference to representation of absent persons,
of the parties as follows: and it shall order entry of judgment in such form
as to affect only the parties to the action and those
(1) a request for an award of attorney’s fees
adequately represented.
and nontaxable costs must be made by motion (P.B. 1978-1997, Sec. 90.)
subject to the provisions of this subdivision, at a
time set by the court. Notice of the motion must Sec. 9-11. Executor, Administrator or
be served on all parties and, for motions by class Trustee of Express Trust
counsel, directed to class members in a reason- An executor, administrator, or trustee of an
able manner. express trust may sue or be sued without joining
185
the persons represented by him or her and benefi- Sec. 9-17. Unsatisfied Judgment against
cially interested in the suit. The term ‘‘trustee of One Defendant
an express trust’’ shall be construed to include any Where the plaintiff may at his or her option join
person with whom, or in whose name, a contract is several persons as defendants, or sue them sepa-
made for the benefit of another. (See General rately, judgment without satisfaction against one
Statutes § 52-106 and annotations.) shall not bar a suit against another.
(P.B. 1978-1997, Sec. 91.) (P.B. 1978-1997, Sec. 97.)
Sec. 9-12. Personal Representatives of Co- Sec. 9-18. Addition or Substitution of Par-
ties; Additional Parties Summoned in by
contractor
Court
In suits on a joint contract, whether partnership The judicial authority may determine the contro-
or otherwise, the personal representatives of a versy as between the parties before it, if it can do
deceased cocontractor may join, as plaintiffs, and so without prejudice to the rights of others; but, if
be joined, as defendants, with the survivor; pro- a complete determination cannot be had without
vided, where the estate of the decedent is in set- the presence of other parties, the judicial authority
tlement in this state as an insolvent estate, his or may direct that they be brought in. If a person not
her personal representatives cannot be joined as a party has an interest or title which the judgment
defendants. (See General Statutes § 52-78.) will affect, the judicial authority, on its motion, shall
(P.B. 1978-1997, Sec. 92.) direct that person to be made a party. (See Gen-
eral Statutes § 52-107 and annotations.)
Sec. 9-13. Persons Liable on Same (P.B. 1978-1997, Sec. 99.)
Instrument
Sec. 9-19. —Nonjoinder and Misjoinder of
Persons severally and immediately liable on the Parties
same obligation or instrument, including parties Except as provided in Sections 10-44 and 11-
to bills of exchange and promissory notes, and 3 no action shall be defeated by the nonjoinder
endorsers, guarantors, and sureties, whether on or misjoinder of parties. New parties may be
the same or by separate instruments, may all, or added and summoned in, and parties misjoined
any of them, be joined as defendants, and a joint may be dropped, by order of the judicial authority,
judgment may be rendered against those so at any stage of the cause, as it deems the interests
joined. of justice require. (See General Statutes § 52-108
(P.B. 1978-1997, Sec. 93.) and annotations.)
(P.B. 1978-1997, Sec. 100.)
Sec. 9-14. Defendants Alternately Liable Sec. 9-20. —Substituted Plaintiff
Persons may be joined as defendants against When any action has been commenced in the
whom the right to relief is alleged to exist in the name of the wrong person as plaintiff, the judicial
alternative, although a right to relief against one authority may, if satisfied that it was so com-
may be inconsistent with a right to relief against menced through mistake and that it is necessary
the other. for the determination of the real matter in dispute
(P.B. 1978-1997, Sec. 94.) so to do, allow any other person to be substituted
or added as plaintiff. (See General Statutes § 52-
Sec. 9-15. Assignee of Part Interest 109 and annotations.)
If a part interest in a contract obligation be (P.B. 1978-1997, Sec. 101.)
assigned, the assignor retaining the remaining Sec. 9-21. —Counterclaim; Third Parties
interest and the assignee may join as plaintiffs. When a counterclaim raises questions affecting
(P.B. 1978-1997, Sec. 95.) the interests of third parties, the defendant may,
and if required by the judicial authority shall, cause
Sec. 9-16. Assignment Pending Suit such parties to be summoned in as parties to such
If, pending the action, the plaintiff assigns the suit. (See General Statutes § 52-110 and anno-
cause of action, the assignee, upon written tations.)
motion, may either be joined as a coplaintiff or (P.B. 1978-1997, Sec. 102.)
be substituted as a sole plaintiff, as the judicial Sec. 9-22. —Motion to Cite in New Parties
authority may order; provided that it shall in no Any motion to cite in or admit new parties must
manner prejudice the defense of the action as it comply with Section 11-1 and state briefly the
stood before such change of parties. grounds upon which it is made.
(P.B. 1978-1997, Sec. 96.) (P.B. 1978-1997, Sec. 103.)
186
Sec. 9-23. Suit by Real Party in Interest manner as shall be ordered by the court or a
An action may be brought in all cases in the judge thereof.
(P.B. 1978-1997, Sec. 105.)
name of the real party in interest, but any claim
or defense may be set up which would have been Sec. 9-25. Action on Bond to Municipal
available had the plaintiff sued in the name of the Officer
nominal party in interest. When any bond, note or other security is taken
(P.B. 1978-1997, Sec. 104.) to any officer of a community or corporation in
this state, wherein the beneficial interest belongs,
Sec. 9-24. Change of Name by Minor Child
or on the face of such security appears to belong,
In all proceedings for change of name under to such community or corporation, any action to
General Statutes § 52-11, brought by a minor recover or enforce the same may be maintained
child through his or her next friend, the parents by such community or corporation in its own cor-
of such child, not named as next friends, shall be porate name. (See General Statutes § 52-73a.)
necessary parties and shall be cited in, in such (P.B. 1978-1997, Sec. 106.)
187
CHAPTER 10
PLEADINGS
Sec. Sec.
10-1. Fact Pleading 10-42. —Memorandum of Law—Motion and Objection
10-2. Pleading Legal Effect [Repealed]
10-3. Allegations Based on Statutory Grounds; Foreign 10-43. —When Memorandum of Decision Required on
Law Motion to Strike
10-4. Implied Duty 10-44. —Substitute Pleading; Judgment
10-5. Untrue Allegations or Denials 10-45. —Stricken Pleading Part of Another Cause or
10-6. Pleadings Allowed and Their Order Defense
10-7. Waiving Right to Plead 10-46. The Answer; General and Special Denial
10-8. Time to Plead 10-47. —Evasive Denials
10-9. Common Counts 10-48. —Express Admissions and Denials to Be Direct
10-10. Supplemental Pleadings; Counterclaims and Specific
10-11. Impleading of Third Party by Defendant in Civil 10-49. —Suit by Corporation; Admission by General
Action Denial
10-12. Service of the Pleading and Other Papers; Respon- 10-50. —Denials; Special Defenses
sibility of Counsel or Self-Represented Party: 10-51. —Several Special Defenses
Documents and Persons to Be Served 10-52. —Admissions and Denials in Special Defense
10-13. —Method of Service 10-53. —Pleading Contributory Negligence
10-14. —Proof of Service 10-54. —Pleading of Counterclaim and Setoff
10-15. —Numerous Defendants 10-55. —Withdrawal of Action after Counterclaim
10-16. —Several Parties Represented by One Attorney 10-56. Subsequent Pleadings; Plaintiff’s Response to
10-17. —Service by Indifferent Person Answer
10-18. Penalty for Failing to Plead 10-57. —Matter in Avoidance of Answer
10-19. Implied Admissions 10-58. —Pleadings Subsequent to Reply
10-20. Contents of Complaint 10-59. Amendments; Amendment as of Right by Plaintiff
10-21. Joinder of Causes of Action 10-60. —Amendment by Consent, Order of Judicial
10-22. —Transactions Connected with Same Subject Authority, or Failure to Object
10-23. —Joinder of Torts 10-61. —Pleading after Amendment
10-24. —Legal and Equitable Relief 10-62. —Variance; Amendment
10-25. Alternative Relief 10-63. —Amendment; Legal or Equitable Relief
10-26. Separate Counts 10-64. —Amendment Calling for Legal Relief; Jury Trial
10-27. Claim for Equitable Relief 10-65. —Amending Contract to Tort and Vice Versa
10-28. Interest and Costs Need Not Be Claimed 10-66. —Amendment of Amount in Demand
10-67. —Amendment of Claim against Insolvent Estate
10-29. Exhibits as Part of Pleading
10-68. Pleading Special Matters; Pleading Notice
10-30. Motion to Dismiss; Grounds
10-69. —Foreclosure Complaint; Pleading Encumbrances
10-31. —Opposition; Date for Hearing Motion to Dismiss 10-70. —Foreclosure of Municipal Liens
10-32. —Waiver Based on Certain Grounds 10-71. —Action on Probate Bond
10-33. —Waiver and Subject Matter Jurisdiction 10-72. —Action by Assignee of Chose in Action
10-34. —Further Pleading by Defendant 10-73. —Pleading Charters
10-35. Request to Revise 10-74. —Wrongful Sale; Wrongful Conversion
10-36. —Reasons in Request to Revise 10-75. —Goods Sold; Variance
10-37. —Granting of and Objection to Request to Revise 10-76. —Probate Appeals; Reasons of Appeal
10-38. —Waiver of Pleading Revisions 10-77. —Appeals from Commissioners
10-39. Motion to Strike; Grounds 10-78. —Pleading Collateral Source Payments
10-40. —Opposition; Date for Hearing Motion to Strike 10-79. —Pleading Issues of Policy Limitations
10-41. —Reasons in Motion to Strike [Repealed]
Sec. 10-1. Fact Pleading each containing as nearly as may be a separate

Each pleading shall contain a plain and concise allegation. If any such pleading does not fully dis-
statement of the material facts on which the close the ground of claim or defense, the judicial
pleader relies, but not of the evidence by which authority may order a fuller and more particular
they are to be proved, such statement to be statement; and, if in the opinion of the judicial
divided into paragraphs numbered consecutively, authority the pleadings do not sufficiently define
188
the issues in dispute, it may direct the parties to (3) The defendant’s request to revise the com-
prepare other issues, and such issues shall, if the plaint.
parties differ, be settled by the judicial authority. (4) The defendant’s motion to strike the com-
(P.B. 1978-1997, Sec. 108.) plaint.
(5) The defendant’s answer (including any spe-
Sec. 10-2. Pleading Legal Effect
cial defenses) to the complaint.
Acts and contracts may be stated according to (6) The plaintiff’s request to revise the defend-
their legal effect, but in so doing the pleading ant’s answer.
should be such as fairly to apprise the adverse (7) The plaintiff’s motion to strike the defend-
party of the state of facts which it is intended to ant’s answer.
prove. Thus an act or promise by a principal, other (8) The plaintiff’s reply to any special defenses.
than a corporation, if in fact proceeding from an (P.B. 1978-1997, Sec. 112.)
agent known to the pleader, should be so stated;
and the obligation of a spouse to pay for necessar- Sec. 10-7. Waiving Right to Plead
ies furnished to his or her spouse, whom he or In all cases, when the judicial authority does
she has driven from the marital house, should be not otherwise order, the filing of any pleading pro-
stated according to the facts. vided for by the preceding section will waive the
(P.B. 1978-1997, Sec. 109.) right to file any pleading which might have been
filed in due order and which precedes it in the
Sec. 10-3. Allegations Based on Statutory
order of pleading provided in that section.
Grounds; Foreign Law (P.B. 1978-1997, Sec. 113.)
(a) When any claim made in a complaint, cross
complaint, special defense, or other pleading is Sec. 10-8. Time to Plead
grounded on a statute, the statute shall be specifi- Commencing on the return day of the writ, sum-
cally identified by its number. mons and complaint in civil actions, pleadings,
(b) A party to an action who intends to raise an including motions and requests addressed to the
issue concerning the law of any jurisdiction or pleadings, shall advance within thirty days from
governmental unit thereof outside this state shall the return day, and any subsequent pleadings,
give notice in his or her pleadings or other reason- motions and requests shall advance at least one
able written notice. step within each successive period of thirty days
(P.B. 1978-1997, Sec. 109A.) from the preceding pleading or the filing of the
decision of the judicial authority thereon if one is
Sec. 10-4. Implied Duty required, except that in summary process actions
It is unnecessary to allege any promise or duty the time period shall be three days and in actions
which the law implies from the facts pleaded. to foreclose a mortgage on real estate the time
(P.B. 1978-1997, Sec. 110.) period shall be fifteen days. The filing of interroga-
Sec. 10-5. Untrue Allegations or Denials tories or requests for discovery shall not suspend
the time requirements of this section unless upon
Any allegation or denial made without reason- motion of either party the judicial authority shall
able cause and found untrue shall subject the find that there is good cause to suspend such
party pleading the same to the payment of such time requirements.
reasonable expenses, to be taxed by the judicial (P.B. 1978-1997, Sec. 114.) (Amended June 14, 2013, to
authority, as may have been necessarily incurred take effect Jan. 1, 2014.)
by the other party by reason of such untrue plead-
ing; provided that no expenses for counsel fees Sec. 10-9. Common Counts
shall be taxed exceeding $500 for any one The common counts writ and complaint is
offense. Such expenses shall be taxed against hereby abolished.
the offending party whether that party prevails in (P.B. 1978-1997, Sec. 115.)
the action or not. (See General Statutes § 52-99
and annotations.) Sec. 10-10. Supplemental Pleadings; Coun-
(P.B. 1978-1997, Sec. 111.) terclaims
Supplemental pleadings showing matters aris-
Sec. 10-6. Pleadings Allowed and Their ing since the original pleading may be filed in
Order actions for equitable relief by either party. In any
The order of pleading shall be as follows: action for legal or equitable relief, any defendant
(1) The plaintiff’s complaint. may file counterclaims against any plaintiff and
(2) The defendant’s motion to dismiss the com- cross claims against any codefendant provided
plaint. that each such counterclaim and cross claim
189
arises out of the transaction or one of the transac- (d) When a counterclaim is asserted against a
tions which is the subject of the plaintiff’s com- plaintiff, the plaintiff may cause a third party to be
plaint; and if necessary, additional parties may be brought in under circumstances which under this
summoned in to answer any such counterclaim section would entitle a defendant to do so.
or cross claim. A defendant may also file a coun- (e) When any civil action in which such a third
terclaim or cross claim under this section against party has been brought in is reached for trial,
any other party to the action for the purpose of the judicial authority hearing the case may order
establishing that party’s liability to the defendant separate trials of different parts of the action and
for all or part of the plaintiff’s claim against that may make such other order respecting the trial of
defendant. the action as will do justice to the parties and
(P.B. 1978-1997, Sec. 116.) expedite final disposition of the case.
(P.B. 1978-1997, Sec. 117.)
Sec. 10-11. Impleading of Third Party by
Defendant in Civil Action Sec. 10-12. Service of the Pleading and
(a) A defendant in any civil action may move Other Papers; Responsibility of Counsel or
the court for permission as a third party plaintiff Self-Represented Party: Documents and
to serve a writ, summons and complaint upon a Persons to Be Served
person not a party to the action who is or may (a) It is the responsibility of counsel or a self-
be liable to such defendant for all or part of the represented party filing the same to serve on each
plaintiff’s claim against him or her. Such a motion other party who has appeared one copy of every
may be filed at any time before trial and such pleading subsequent to the original complaint,
permission may be granted by the judicial author- every written motion other than one in which an
ity if, in its discretion, it deems that the granting order is sought ex parte and every paper relating
of the motion will not unduly delay the trial of the to discovery, request, demand, claim, notice or
action or work an injustice upon the plaintiff or the similar paper, except a request for mediation
party sought to be impleaded. The writ, summons under General Statutes § 49-31l. When a party is
and complaint so served shall be equivalent in all represented by an attorney, the service shall be
respects to an original writ, summons and com- made upon the attorney unless service upon the
plaint, and the person upon whom it is served, party is ordered by the judicial authority.
hereinafter called the third party defendant, shall (b) It shall be the responsibility of counsel or a
have available to him or her all remedies available self-represented party at the time of filing a motion
to an original defendant, including the right to for default for failure to appear to serve the party
assert setoffs or counterclaims against the third sought to be defaulted with a copy of the motion.
party plaintiff, and shall be entitled to file cross Upon good cause shown, the judicial authority
complaints against any other third party defend- may dispense with this requirement when judg-
ant. The third party defendant may also assert ment is rendered.
against the plaintiff any defenses which the third (c) Any pleading asserting new or additional
party plaintiff has to the plaintiff’s claim and may claims for relief against parties who have not
assert any claim against the plaintiff arising out of appeared or who have been defaulted shall be
the transaction or occurrence which is the subject served on such parties.
matter of the plaintiff’s claim against the third take effect Jan. 1, 2010.)
party plaintiff.
(b) The plaintiff, within twenty days after the Sec. 10-13. —Method of Service
third party defendant appears in the action, may Service upon the attorney or upon a self-repre-
assert any claim against the third party defendant sented party, except service pursuant to Section
arising out of the transaction or occurrence which 10-12 (c), may be by delivering a copy or by mail-
is the subject matter of the original complaint, and ing it to the last known address of the attorney or
the third party defendant, as against such claim, party. Delivery of a copy within this section means
shall have available to him or her all remedies handing it to the attorney or to the party; or leaving
available to an original defendant, including the it at the attorney’s office with a person in charge
right to assert setoffs or counterclaims against thereof; or, if there is no one in charge, leaving it
the plaintiff. in a conspicuous place therein; or, if the office is
(c) A third party defendant may proceed under closed or the person to be served has no office,
this section against any person not a party to the leaving it at the usual place of abode. Delivery of
action who is or may be liable to such defendant a copy within this rule may also mean electronic
for all or any part of the third party plaintiff’s claim delivery to the last known electronic address of the
against him or her. attorney or party, provided that electronic delivery
190
was consented to in writing by the person served. some other manner, in which event service may
An attorney or self-represented party who files a be proved as prescribed in subsection (a) above.
document electronically with the court must serve (P.B. 1978-1997, Sec. 123.) (Amended June 29, 1998, to
it electronically on any attorney or self-repre- effect Jan. 1, 2005; amended June 13, 2014, to take effect
sented party who consented in writing to elec- Jan. 1, 2015.)
tronic delivery under this section. Service by mail
is complete upon mailing. Service by electronic Sec. 10-15. —Numerous Defendants
delivery is complete upon sending the electronic In any action in which there is an unusually
notice unless the party making service learns that large number of defendants, the judicial authority,
the attempted service did not reach the electronic upon motion or of its own initiative, may order that
address of the person to be served. Service pursu- service of the pleadings of the defendants and
ant to Section 10-12 (c) shall be made in the same replies thereto need not be made as between the
manner as an original writ and complaint is served defendants and that any cross complaint, counter-
or as ordered by the judicial authority. claim, or matter constituting an avoidance or affir-
mative defense contained therein shall be
take effect Jan. 1, 1999; amended June 21, 2004, to take deemed to be denied or avoided by all other
effect Jan. 1, 2005; amended June 22, 2009, to take effect defendants and that the filing of any such pleading
Jan. 1, 2010; amended June 15, 2012, to take effect Jan. and service thereof upon the plaintiff shall be
1, 2013.) deemed to constitute due notice of it to the parties.
A copy of every such order shall be served upon
Sec. 10-14. —Proof of Service the parties in such manner and form as the judicial
(a) Proof of service pursuant to Section 10-12 authority directs.
(P.B. 1978-1997, Sec. 124.)
(a) and (b) may be made by written acknowledg-
ment of service by the party served, by a certificate Sec. 10-16. —Several Parties Represented
of counsel for the party filing the pleading or paper by One Attorney
or by the self-represented party, or by affidavit of When several parties have entered their
the person making the service, but these methods appearance by one attorney or one firm of attor-
of proof shall not be exclusive. Proof of service neys, such several parties shall be treated as a
shall include the address at which such service single party under this section.
was made. If proof of such service is made by a (P.B. 1978-1997, Sec. 125.)
certificate of counsel or by the self-represented Sec. 10-17. —Service by Indifferent Person
party, it shall be in substantially the following form:
Service of copies of any written pleading subse-
I certify that a copy of the above was or will quent to the original complaint, motion, claim,
immediately be mailed or delivered electronically notice or demand, when required by law or rule of
or nonelectronically on (Date) to all counsel and the court, may be made by any indifferent person.
self-represented parties of record and that written (P.B. 1978-1997, Sec. 126.)
consent for electronic delivery was received from
all counsel and self-represented parties of record Sec. 10-18. Penalty for Failing to Plead
who were or will immediately be electronically Parties failing to plead according to the rules
served. (Here list the name of each party served and orders of the judicial authority may be non-
or immediately to be served and the address at suited or defaulted, as the case may be. (See
which service was made or will immediately be General Statutes § 52-119 and annotations.)
(P.B. 1978-1997, Sec. 128.)
made.)
Or Sec. 10-19. Implied Admissions
to the party against whom the default for failure Every material allegation in any pleading which
to appear is claimed. (Here list the name of each is not denied by the adverse party shall be
nonappearing party served or immediately to be deemed to be admitted, unless such party avers
served and the address at which service was that he or she has not any knowledge or informa-
made or will immediately be made.) tion thereof sufficient to form a belief.
(P.B. 1978-1997, Sec. 129.)
(Individual Signature of
Counsel or Self-Represented Party) Sec. 10-20. Contents of Complaint
(b) Proof of service pursuant to Section 10-12 The first pleading on the part of the plaintiff
(c) shall be made in the same manner as proof of shall be known as the complaint. It shall contain
service is made of an original writ and complaint, a concise statement of the facts constituting the
unless the judicial authority ordered service in cause of action and, on a separate page of the
191
complaint, a demand for relief which shall be a of subdivision (3) of Section 10-21, may embrace
statement of the remedy or remedies sought. libel, slander, and malicious prosecution.
When money damages are sought in the demand (P.B. 1978-1997, Sec. 134.)
for relief, the demand for relief shall include the Sec. 10-23. —Joinder of Torts
information required by General Statutes § 52-91.
(P.B. 1978-1997, Sec. 131.) Where several torts are committed simultane-
ously against the plaintiff, as a battery accompa-
Sec. 10-21. Joinder of Causes of Action nied by slanderous words, they may be joined,
In any civil action the plaintiff may include in within the meaning of subdivision (7) of Section
the complaint both legal and equitable rights and 10-21, as causes of action arising out of the same
causes of action, and demand both legal and equi- transaction, although they may belong to different
table remedies; but, if several causes of action classes of torts.
are united in the same complaint, they shall all (P.B. 1978-1997, Sec. 135.)
be brought to recover, either (1) upon contract, Sec. 10-24. —Legal and Equitable Relief
express or implied, or (2) for injuries, with or with-
out force, to person and property, or either, includ- A cause of action for legal relief for breach of
ing a conversion of property to the defendant’s contract may be joined with another cause of
use, or (3) for injuries to character, or (4) upon action for equitable relief growing out of another
claims to recover real property, with or without contract, although such contracts in no way relate
damages for the withholding thereof, and the rents to each other.
(P.B. 1978-1997, Sec. 136.)
and profits of the same, or (5) upon claims to
recover personal property specifically, with or Sec. 10-25. Alternative Relief
without damages for the withholding thereof, or The plaintiff may claim alternative relief, based
(6) claims arising by virtue of a contract or by upon an alternative construction of the cause of
operation of law in favor of or against a party in action.
some representative or fiduciary capacity, or (7) (P.B. 1978-1997, Sec. 137.)
upon claims, whether in contract or tort or both,
arising out of the same transaction or transactions Sec. 10-26. Separate Counts
connected with the same subject of action. The Where separate and distinct causes of action,
several causes of action so united shall all belong as distinguished from separate and distinct claims
to one of these classes, and, except in an action for relief founded on the same cause of action
for the foreclosure of a mortgage or lien, shall or transaction, are joined, the statement of the
affect all the parties to the action, and not require second shall be prefaced by the words Second
different places of trial, and shall be separately Count, and so on for the others; and the several
stated; and, in any case in which several causes paragraphs of each count shall be numbered sep-
of action are joined in the same complaint, or as arately beginning in each count with the num-
matter of counterclaim or setoff in the answer, if ber one.
it appears to the judicial authority that they cannot (P.B. 1978-1997, Sec. 138.)
all be conveniently heard together, it may order Sec. 10-27. Claim for Equitable Relief
a separate trial of any such cause of action or A party seeking equitable relief shall specifically
may direct that any one or more of them be demand it as such, unless the nature of the
deleted from the complaint or answer. (See Gen- demand itself indicates that the relief sought is
eral Statutes § 52-97 and annotations.) equitable relief.
(P.B. 1978-1997, Sec. 133.)
(P.B. 1978-1997, Sec. 139.)
Sec. 10-22. —Transactions Connected with Sec. 10-28. Interest and Costs Need Not
Same Subject Be Claimed
Transactions connected with the same subject Interest and costs need not be specially claimed
of action within the meaning of subdivision (7) in the demand for relief, in order to recover them.
of Section 10-21, may include any transactions (P.B. 1978-1997, Sec. 140.)
which grew out of the subject matter in regard to
which the controversy has arisen; as, for instance, Sec. 10-29. Exhibits as Part of Pleading
the failure of a bailee to use the goods bailed for (a) Any plaintiff, except as otherwise provided
the purpose agreed, also an injury to them by his in subsection (b) in connection with a plaintiff in
or her fault or neglect; the breach of a covenant the housing division as defined in Section 1-7,
for quiet enjoyment by the entry of the lessor, also desiring to make a copy of any document a part
a trespass to goods, committed in the course of of the complaint shall refer to it as Exhibit A, B,
the entry. Injuries to character, within the meaning C, etc. No later than the return date, the plaintiff
192
shall file the original or a copy of such exhibit or Sec. 10-31. —Opposition; Date for Hearing
exhibits in court. The plaintiff shall serve a copy Motion to Dismiss
of such exhibit or exhibits on each party no later (Amended June 14, 2013, to take effect Jan. 1, 2014.)
than ten days after receipt of notice of the appear- (a) Any adverse party shall have thirty days
ance of such party, in the manner provided in from the filing of the motion to dismiss to respond
Sections 10-12 through 10-17, and shall file proof to the motion to dismiss by filing and serving in
of service on each appearing party with the court. accordance with Sections 10-12 through 10-17
Except as required by statute, the plaintiff shall a memorandum of law in opposition and, where
not annex the document or documents referred appropriate, supporting affidavits as to facts not
to as exhibits to the complaint, or incorporate them apparent on the record.
in the complaint, at full length, and if the plaintiff (b) Except in summary process matters, the
does so, the plaintiff shall not be allowed in costs motion shall be placed on the short calendar to
for such part of the fees of the officer for copies be held not less than forty-five days following the
of such complaint left in service, as are chargeable filing of the motion, unless the judicial authority
for copying such document or documents referred otherwise orders. If an evidentiary hearing is
to as exhibits. required, any party shall file a request for such
hearing with the court.
(b) The provisions of subsection (a) shall apply (P.B. 1978-1997, Sec. 143.) (Amended June 14, 2013, to
to a plaintiff in the housing division, as defined take effect Jan. 1, 2014.)
in Section 1-7, desiring to make a copy of any
document a part of the complaint, except that the Sec. 10-32. —Waiver Based on Certain
plaintiff shall serve on each party who has Grounds
appeared a copy of such exhibit or exhibits at the Any claim of lack of jurisdiction over the person
first court session of the matter or no later than or improper venue or insufficiency of process or
seven days after receipt of notice of the appear- insufficiency of service of process is waived if not
ance of such party, whichever is earlier. raised by a motion to dismiss filed in the sequence
(c) When either the plaintiff or the defendant in provided in Sections 10-6 and 10-7 and within the
any pleading subsequent to the complaint desires time provided by Section 10-30.
(P.B. 1978-1997, Sec. 144.)
to make a copy of any document a part of his or
her pleading, such party may, without reciting it Sec. 10-33. —Waiver and Subject Matter
therein, either annex it thereto, or refer to it therein, Jurisdiction
and shall serve it and file it in court with proof of Any claim of lack of jurisdiction over the subject
service in the manner provided in Sections 10-12 matter cannot be waived; and whenever it is found
through 10-17. after suggestion of the parties or otherwise that
(P.B. 1978-1997, Sec. 141.) (Amended June 15, 2012, to the court lacks jurisdiction of the subject matter,
the judicial authority shall dismiss the action.
(P.B. 1978-1997, Sec. 145.)
Sec. 10-30. Motion to Dismiss; Grounds
(Amended June 30, 2003, to take effect Jan. 1, 2004; Sec. 10-34. —Further Pleading by Defend-
amended June 14, 2013, to take effect Jan. 1, 2014.) ant
(a) A motion to dismiss shall be used to assert: If any motion to dismiss is denied with respect to
(1) lack of jurisdiction over the subject matter; (2) any jurisdictional issue, the defendant may plead
lack of jurisdiction over the person; (3) insuffi- further without waiving the right to contest jurisdic-
ciency of process; and (4) insufficiency of service tion further.
of process. (P.B. 1978-1997, Sec. 146.)
(b) Any defendant, wishing to contest the court’s
Sec. 10-35. Request to Revise
jurisdiction, shall do so by filing a motion to dismiss
within thirty days of the filing of an appearance. Whenever any party desires to obtain (1) a more
(c) This motion shall always be filed with a sup- complete or particular statement of the allegations
porting memorandum of law and, where appro- of an adverse party’s pleading, or (2) the deletion
priate, with supporting affidavits as to facts not of any unnecessary, repetitious, scandalous,
apparent on the record. impertinent, immaterial or otherwise improper
allegations in an adverse party’s pleading, or (3)
take effect Jan. 1, 2004; amended June 21, 2004, to take separation of causes of action which may be
effect Jan. 1, 2005; amended June 14, 2013, to take effect united in one complaint when they are improperly
Jan. 1, 2014; amended June 13, 2014, to take effect Jan. combined in one count, or the separation of two
1, 2015.) or more grounds of defense improperly combined
193
in one defense, or (4) any other appropriate cor- the order of the judicial authority shall be filed
rection in an adverse party’s pleading, the party within fifteen days of such order.
desiring any such amendment in an adverse par- (P.B. 1978-1997, Sec. 149.) (Amended June 20, 2012, to
ty’s pleading may file a timely request to revise take effect Jan. 1, 2012.)
that pleading.
(P.B. 1978-1997, Sec. 147.)
Sec. 10-38. —Waiver of Pleading Revisions
Whenever any party files any request to revise
Sec. 10-36. —Reasons in Request to Revise or any subsequent motion or pleading in the
The request to revise shall set forth, for each sequence provided in Sections 10-6 and 10-7,
requested revision, the portion of the pleading that party thereby waives any right to seek any
sought to be revised, the requested revision, and further pleading revisions which that party might
the reasons therefor, and, except where the then have requested.
request is served electronically in accordance with (P.B. 1978-1997, Sec. 150.)
Section 10-13, in a format that allows the recipient Sec. 10-39. Motion to Strike; Grounds
to insert electronically the objection and reasons
therefor, provide sufficient space in which the
party to whom the request is directed can insert (a) A motion to strike shall be used whenever
an objection and reasons therefor. any party wishes to contest: (1) the legal suffi-
(P.B. 1978-1997, Sec. 148.) (Amended June 20, 2011, to ciency of the allegations of any complaint, coun-
take effect Jan. 1, 2012.) terclaim or cross claim, or of any one or more
counts thereof, to state a claim upon which relief
Sec. 10-37. —Granting of and Objection to can be granted; or (2) the legal sufficiency of any
Request to Revise prayer for relief in any such complaint, counter-
(a) Any such request, after service upon each claim or cross complaint; or (3) the legal suffi-
party as provided by Sections 10-12 through 10- ciency of any such complaint, counterclaim or
17 and with proof of service endorsed thereon, cross complaint, or any count thereof, because
shall be filed with the clerk of the court in which of the absence of any necessary party or, pursu-
the action is pending, and such request shall be ant to Section 17-56 (b), the failure to join or give
deemed to have been automatically granted by notice to any interested person; or (4) the joining
the judicial authority on the date of filing and shall of two or more causes of action which cannot
be complied with by the party to whom it is directed properly be united in one complaint, whether the
same be stated in one or more counts; or (5) the
within thirty days of the date of filing the same,
legal sufficiency of any answer to any complaint,
unless within thirty days of such filing the party to
counterclaim or cross complaint, or any part of
whom it is directed shall file objection thereto.
that answer including any special defense con-
(b) The objection and the reasons therefor shall tained therein.
be inserted on the request to revise in the space
(b) Each claim of legal insufficiency enumerated
provided under the appropriate requested revi-
in this section shall be separately set forth and
sion. In the event that a reason for objection
shall specify the reason or reasons for such
requires more space than that provided on the
claimed insufficiency.
request to revise, it shall be continued on a sepa-
(c) Each motion to strike must be accompanied
rate sheet of paper which shall be attached to that
by a memorandum of law citing the legal authori-
document, except where the request is served
ties upon which the motion relies.
electronically as provided in Section 10-13 and in
a format that allows the recipient to electronically (d) A motion to strike on the ground of the non-
insert the objection and reasons therefor. The joinder of a necessary party or noncompliance
request to revise on which objections have been with Section 17-56 (b) must give the name and
inserted shall be appended to a cover sheet which residence of the missing party or interested per-
son or such information as the moving party has
shall comply with Sections 4-1 and 4-2 and the
as to the identity and residence of the missing
objecting party shall specify thereon to which of
party or interested person and must state the
the requested revisions objection is raised. The
missing party’s or interested person’s interest in
cover sheet with the appended objections shall
the cause of action.
be filed with the clerk within thirty days from the (P.B. 1978-1997, Sec. 152.) (Amended June 28, 1999, to
date of the filing of the request for the next short take effect Jan. 1, 2000; amended June 14, 2013, to take
calendar list. If the judicial authority overrules the effect Jan. 1, 2014; amended June 13, 2014, to take effect
objection, a substitute pleading in compliance with Jan. 1, 2015.)
194
Sec. 10-40. —Opposition; Date for Hearing Sec. 10-45. —Stricken Pleading Part of
Motion to Strike Another Cause or Defense
(Amended June 30, 2003, to take effect Jan. 1, 2004; Whenever the judicial authority grants a motion
amended June 14, 2013, to take effect Jan. 1, 2014.) to strike the whole or any portion of any pleading
(a) Any adverse party shall have thirty days or count which purports to state an entire cause
from the filing of the motion to strike to respond of action or defense, and such pleading or portion
to a motion to strike filed pursuant to Section 10- thereof states or constitutes a part of another
39 by filing and serving in accordance with Sec- cause of action or defense, the granting of that
tions 10-12 through 10-17 a memorandum of law motion shall remove from the case only the cause
in opposition. of action or defense which was the subject of the
(b) Except in summary process matters, the granting of that motion, and it shall not remove
such pleading or count or any portion thereof so
motion to strike shall be placed on the short calen-
far as the same is applicable to any other cause
dar to be held not less than forty-five days follow- of action or defense.
ing the filing of the motion, unless the judicial (P.B. 1978-1997, Sec. 158.)
authority otherwise orders.
(P.B. 1978-1997, Sec. 153.) (Amended June 30, 2003, to Sec. 10-46. The Answer; General and Spe-
take effect Jan. 1, 2004; amended June 21, 2004, to take cial Denial
effect Jan. 1, 2005; amended June 14, 2013, to take effect The defendant in the answer shall specially
Jan. 1, 2014.)
deny such allegations of the complaint as the
Sec. 10-41. —Reasons in Motion to Strike defendant intends to controvert, admitting the
truth of the other allegations, unless the defendant
[Repealed as of Jan. 1, 2014.] intends in good faith to controvert all the allega-
tions, in which case he or she may deny them
Sec. 10-42. —Memorandum of Law—Motion generally. Any defendant who intends to contro-
and Objection vert the right of the plaintiff to sue as executor, or
[Repealed as of Jan. 1, 2014.] as trustee, or in any other representative capacity,
or as a corporation, or to controvert the execution
Sec. 10-43. —When Memorandum of Deci- or delivery of any written instrument or recogni-
sion Required on Motion to Strike zance sued upon, shall deny the same in the
Whenever a motion to strike is filed and more answer specifically.
(P.B. 1978-1997, Sec. 160.)
than one ground of decision is set up therein,
the judicial authority, in rendering the decision Sec. 10-47. —Evasive Denials
thereon, shall specify in writing the grounds upon Denials must fairly meet the substance of the
which that decision is based. allegations denied. Thus, when the payment of a
(P.B. 1978-1997, Sec. 156.) certain sum is alleged, and in fact a lesser sum
was paid, the defendant cannot simply deny the
Sec. 10-44. —Substitute Pleading; Judg- payment generally, but must set forth how much
ment was paid to the defendant; and where any matter
Within fifteen days after the granting of any of fact is alleged with divers circumstances, some
motion to strike, the party whose pleading has of which are untruly stated, it shall not be sufficient
been stricken may file a new pleading; provided to deny it as alleged, but so much as is true and
that in those instances where an entire complaint, material should be stated or admitted, and the
counterclaim or cross complaint, or any count in rest only denied.
(P.B. 1978-1997, Sec. 161.)
a complaint, counterclaim or cross complaint has
been stricken, and the party whose pleading or a Sec. 10-48. —Express Admissions and
count thereof has been so stricken fails to file a Denials to Be Direct and Specific
new pleading within that fifteen day period, the Express admissions and denials must be direct,
judicial authority may, upon motion, enter judg- precise and specific, and not argumentative,
ment against said party on said stricken com- hypothetical or in the alternative. Accordingly, any
plaint, counterclaim or cross complaint, or count pleader wishing expressly to admit or deny a por-
thereof. Nothing in this section shall dispense with tion only of a paragraph must recite that portion;
the requirements of Sections 61-3 or 61-4 of the except that where a recited portion of a paragraph
appellate rules. has been either admitted or denied, the remainder
(P.B. 1978-1997, Sec. 157.) (Amended June 30, 2003, to of the paragraph may be denied or admitted with-
take effect Jan. 1, 2004.) out recital. Admissions or denials of allegations
195
identified only by a summary or generalization that denial is material to such defense. An admis-
thereof, or by describing the facts alleged as ‘‘con- sion of any allegation of the complaint or counter-
sistent’’ or ‘‘inconsistent’’ with other facts recited claim in a special defense will be deemed to
or referred to, are improper. incorporate such allegation in the defense.
(P.B. 1978-1997, Sec. 162.) (P.B. 1978-1997, Sec. 166.)
Sec. 10-49. —Suit by Corporation; Admis- Sec. 10-53. —Pleading Contributory Neg-
sion by General Denial ligence
In an action by a corporation, foreign or domes- If contributory negligence is relied upon as a
tic, founded upon any contract, express or implied, defense, it shall be affirmatively pleaded by the
the defendant shall not, under a general denial, defendant and the defendant shall specify the
be permitted to dispute, but shall be deemed to negligent acts or omissions on which the defend-
admit, the capacity of the plaintiff to make such ant relies. (See General Statutes § 52-114 and
contract. annotations.)
(P.B. 1978-1997, Sec. 163.) (P.B. 1978-1997, Sec. 167.)
Sec. 10-50. —Denials; Special Defenses Sec. 10-54. —Pleading of Counterclaim
No facts may be proved under either a general and Setoff
or special denial except such as show that the In any case in which the defendant has either
plaintiff’s statements of fact are untrue. Facts in law or in equity or in both a counterclaim, or
which are consistent with such statements but right of setoff, against the plaintiff’s demand, the
show, notwithstanding, that the plaintiff has no defendant may have the benefit of any such setoff
cause of action, must be specially alleged. Thus, or counterclaim by pleading the same as such in
accord and satisfaction, arbitration and award, the answer, and demanding judgment accord-
coverture, duress, fraud, illegality not apparent ingly; and the same shall be pleaded and replied
on the face of the pleadings, infancy, that the to according to the rules governing complaints
defendant was non compos mentis, payment and answers. (See General Statutes §§ 52-139
(even though nonpayment is alleged by the plain- to 52-142.)
tiff), release, the statute of limitations and res judi- (P.B. 1978-1997, Sec. 168.)
cata must be specially pleaded, while advantage
may be taken, under a simple denial, of such Sec. 10-55. —Withdrawal of Action after
matters as the statute of frauds, or title in a third Counterclaim
person to what the plaintiff sues upon or alleges The withdrawal of an action after a counter-
to be the plaintiff’s own. claim, whether for legal or equitable relief, has
(P.B. 1978-1997, Sec. 164.) been filed therein shall not impair the right of the
defendant to prosecute such counterclaim as fully
Sec. 10-51. —Several Special Defenses as if said action had not been withdrawn, provided
Where several matters of defense are pleaded, that the defendant shall, if required by the judicial
each must refer to the cause of action which it is authority, give bond to pay costs as in civil actions.
intended to answer, and be separately stated and (P.B. 1978-1997, Sec. 169.)
designated as a separate defense, as, First
Defense, Second Defense, etc. Where the com- Sec. 10-56. Subsequent Pleadings; Plain-
plaint or counterclaim is for more than one cause tiff’s Response to Answer
of action, set forth in several counts, each sepa- The plaintiff’s reply pleading to each of the
rate matter of defense should be preceded by defendant’s special defenses may admit some
a designation of the cause of action which it is and deny others of the allegations of that defense,
designed to meet, in this manner: First Defense or by a general denial of that defense put the
to First Count, Second Defense to First Count, defendant upon proof of all the material facts
First Defense to Second Count, and so on. Any alleged therein.
statement of a matter of defense resting in part (P.B. 1978-1997, Sec. 171.)
upon facts pleaded in any preceding statement in
Sec. 10-57. —Matter in Avoidance of Answer
the same answer may refer to those facts as thus
recited, without otherwise repeating them. Matter in avoidance of affirmative allegations
(P.B. 1978-1997, Sec. 165.) in an answer or counterclaim shall be specially
pleaded in the reply. Such a reply may contain
Sec. 10-52. —Admissions and Denials in two or more distinct avoidances of the same
Special Defense defense or counterclaim, but they must be sepa-
No special defense shall contain a denial of any rately stated.
allegation of the complaint or counterclaim unless (P.B. 1978-1997, Sec. 172.)
196
Sec. 10-58. —Pleadings Subsequent to Sec. 10-61. —Pleading after Amendment

Reply When any pleading is amended the adverse
Further pleadings, subsequent in their nature, party may plead thereto within the time provided
may be had if necessary by leave of the judicial by Section 10-8 or, if the adverse party has
authority. already pleaded, alter the pleading, if desired,
(P.B. 1978-1997, Sec. 173.) within ten days after such amendment or such
Sec. 10-59. Amendments; Amendment as of other time as the rules of practice, or the judicial
Right by Plaintiff authority, may prescribe, and thereafter pleadings
The plaintiff may amend any defect, mistake or shall advance in the time provided by that section.
informality in the writ, complaint or petition and If the adverse party fails to plead further, pleadings
insert new counts in the complaint, which might already filed by the adverse party shall be
have been originally inserted therein, without regarded as applicable so far as possible to the
costs, during the first thirty days after the return amended pleading.
day. (See General Statutes § 52-128 and anno- (P.B. 1978-1997, Sec. 177.)
tations.) Sec. 10-62. —Variance; Amendment
(P.B. 1978-1997, Sec. 175.)
In all cases of any material variance between
Sec. 10-60. —Amendment by Consent, allegation and proof, an amendment may be per-
Order of Judicial Authority, or Failure to mitted at any stage of the trial. If such allegation
Object was made without reasonable excuse, or if the
(a) Except as provided in Section 10-66, a party adverse party was actually misled thereby to his or
may amend his or her pleadings or other parts of her prejudice in maintaining the action or defense
the record or proceedings at any time subsequent upon the merits, or if such amendment requires
to that stated in the preceding section in the follow- postponement of the trial or additional expense
ing manner: to the adverse party and this is shown to the satis-
(1) By order of judicial authority; or faction of the judicial authority, such amendment
(2) By written consent of the adverse party; or shall be made only upon payment of costs or upon
(3) By filing a request for leave to file such such terms as the judicial authority may deem
amendment, with the amendment appended, after proper; but in any other case, without costs. Imma-
service upon each party as provided by Sections terial variances shall be wholly disregarded.
10-12 through 10-17, and with proof of service (P.B. 1978-1997, Sec. 178.)
endorsed thereon. If no objection thereto has
been filed by any party within fifteen days from Sec. 10-63. —Amendment; Legal or Equita-
the date of the filing of said request, the amend- ble Relief
ment shall be deemed to have been filed by con- If, on the trial, whether upon an issue of fact
sent of the adverse party. If an opposing party or of law, of a cause wherein equitable relief is
shall have objection to any part of such request demanded, it appears that the plaintiff is not enti-
or the amendment appended thereto, such objec-
tled to such relief but may be entitled to legal relief,
tion in writing specifying the particular paragraph
the judicial authority may permit the complaint to
or paragraphs to which there is objection and the
reasons therefor, shall, after service upon each be amended so as to present a proper case for
party as provided by Sections 10-12 through 10- the latter relief; and in like manner a complaint
17 and with proof of service endorsed thereon, demanding legal relief may be so amended as to
be filed with the clerk within the time specified entitle the plaintiff to equitable relief. (See General
above and placed upon the next short calendar Statutes § 52-137 and annotations.)
(P.B. 1978-1997, Sec. 179.)
list.
(b) The judicial authority may restrain such Sec. 10-64. —Amendment Calling for Legal
amendments so far as may be necessary to com- Relief; Jury Trial
pel the parties to join issue in a reasonable time
for trial. If the amendment occasions delay in the If on the trial any complaint is so amended as to
trial or inconvenience to the other party, the judi- call for legal instead of equitable relief, the judicial
cial authority may award costs in its discretion in authority shall not proceed to judgment until the
favor of the other party. For the purposes of this defendant has had a reasonable opportunity to
rule, a substituted pleading shall be considered put the issue or issues, on which the new claim
an amendment. (See General Statutes § 52-130 for relief may be based, on the jury docket. (See
and annotations.) General Statutes § 52-138 and annotations.)
(P.B. 1978-1997, Sec. 176.) (P.B. 1978-1997, Sec. 180.)
197
Sec. 10-65. —Amending Contract to Tort shall set forth, in addition to the other essentials
and Vice Versa of such complaint: All encumbrances of record
A complaint for breach of contract may be upon the property both prior and subsequent to
amended so as to set forth a cause of action the encumbrance sought to be foreclosed, the
founded on a tort arising from the same transac- dates of such encumbrances, the amount of each
tion or subject of action; and a complaint founded and the date when such encumbrance was
on a tort may be amended so as to set forth a recorded; if such encumbrance be a mechanic’s
cause of action for a breach of contract arising lien, the date of commencing to perform services
out of the same transaction or subject of action. or furnish materials as therein recited; and if such
(See General Statutes § 52-136 and annotations.) encumbrance be a judgment lien, whether said
(P.B. 1978-1997, Sec. 181.) judgment lien contains a reference to the previous
attachment of the same premises in the same
Sec. 10-66. —Amendment of Amount in action, as provided by General Statutes § 52-
Demand 380a.
A party may amend the party’s statement con- (P.B. 1978-1997, Sec. 186.)
cerning the amount in demand by order of the
judicial authority upon filing of a motion for leave Sec. 10-70. —Foreclosure of Municipal
to file such amendment, with a copy of the amend- Liens
ment appended, after service upon each party as (a) In any action to foreclose a municipal tax or
provided by Sections 10-12 through 10-17, and assessment lien the plaintiff need only allege and
with proof of service endorsed thereon. After prove: (1) the ownership of the liened premises
obtaining permission of the judicial authority, the on the date when the same went into the tax
moving party shall file the original amendment list, or when said assessment was made; (2) that
with the clerk. If the amount, legal interest or prop- thereafter a tax in the amount specified in the list,
erty in demand was alleged to be less than $2500 or such assessment in the amount made, was
in accordance with the provisions of Section 10- duly and properly assessed upon the property and
20, or, prior to October 1, 1979, was alleged to became due and payable; (3) (to be used only
be less than $7500, and the party has been given in cases where the lien has been continued by
permission by a judicial authority to amend the certificate) that thereafter a certificate of lien for
demand to an amount in excess of either amount, the amount thereof was duly and properly filed
the party shall pay any entry fee prescribed by and recorded in the land records of the said town
statute to the clerk when the amendment is filed. on the date stated; (4) that no part of the same
(P.B. 1978-1997, Sec. 182.) has been paid; and (5) other encumbrances as
Sec. 10-67. —Amendment of Claim against required by the preceding section.
Insolvent Estate (b) When the lien has been continued by certifi-
cate, the production in court of the certificate of
In any hearing on appeal from the doings of lien, or a certified copy thereof, shall be prima
commissioners on the estate of an insolvent facie evidence that all requirements of law for the
debtor or a deceased person, the claimant may assessment and collection of the tax or assess-
amend any defect, mistake or informality in the ment secured by it, and for the making and filing
statement of the claim, not changing the ground of the certificate, have been duly and properly
of action; such amendment to be upon such terms complied with. Any claimed informality, irregularity
as to costs as the judicial authority directs. (See or invalidity in the assessment or attempted col-
General Statutes § 52-131 and annotations.) lection of the tax, or in the lien filed, shall be a
(P.B. 1978-1997, Sec. 183.)
matter of affirmative defense to be alleged and
Sec. 10-68. Pleading Special Matters; Plead- proved by the defendant.
ing Notice (P.B. 1978-1997, Sec. 187.)
Whenever in an action of tort or upon a statute Sec. 10-71. —Action on Probate Bond
the plaintiff is compelled to allege the giving of a
notice required by statute, the plaintiff shall either In any action upon a bond taken in a court of
recite the same in the complaint or annex a probate, not brought by a representative of the
copy thereto. estate in connection with which the bond was
(P.B. 1978-1997, Sec. 185.) given or by some person in that person’s own
behalf and that of all other persons interested in
Sec. 10-69. —Foreclosure Complaint; Plead- the estate, the plaintiff shall aver in the complaint
ing Encumbrances or reply for whose special benefit the action is
The complaint in all actions seeking the foreclo- prosecuted, and how such persons are interested
sure of a mortgage or other lien upon real estate in the same, and how the act or neglect of the
198
defendant has injured their rights or affected their Sec. 10-76. —Probate Appeals; Reasons of
interests and the judgment rendered in any such Appeal
case shall not, in any future proceedings, by scire (a) Unless otherwise ordered, in all appeals
facias or otherwise, bar or conclude the rights of from probate the appellant shall file reasons of
other persons interested in the bond. (See Gen- appeal, which upon motion shall be made reason-
eral Statutes § 52-117 and annotations.) ably specific, within ten days after the return day;
(P.B. 1978-1997, Sec. 189.) and pleadings shall thereafter follow in analogy
to civil actions.
Sec. 10-72. —Action by Assignee of Chose (b) Appellees opposing the probate of a will
in Action shall specifically deny such of the reasons of
appeal as they intend to controvert and affirma-
Where the assignee and equitable and bona tively allege any other grounds upon which they
fide owner of any chose in action, not negotiable, propose to rely.
sues thereon in his or her own name, such party (c) The appellant in appeals involving the pro-
shall in the complaint allege that he or she is the bate of a will shall file, with the reasons of appeal,
actual bona fide owner thereof, and set forth when a copy of the will. (See General Statutes §§ 45a-
and how such party acquired title thereto. (See 186 to 45a-193.)
(P.B. 1978-1997, Sec. 194.)
General Statutes § 52-118 and annotations.)
(P.B. 1978-1997, Sec. 190.) Sec. 10-77. —Appeals from Commissioners
In all appeals from the allowance or disallow-
Sec. 10-73. —Pleading Charters ance of any claim by commissioners appointed
by courts of probate, the party presenting the
All acts of incorporation passed by the General claim shall, within ten days after the return day,
Assembly may be declared on or pleaded as pub- unless otherwise ordered, file a statement of the
lic acts. (See General Statutes § 52-115 and amount and nature of the claim, and of the facts
annotations.) upon which it is based, which statement shall con-
(P.B. 1978-1997, Sec. 191.) form, as far as may be, in form and substance,
to the requirements of a complaint brought to
Sec. 10-74. —Wrongful Sale; Wrongful Con- recover upon said claim in a civil action. To such
version statement the adverse party, unless otherwise
Where the defendant has wrongfully sold per- ordered by the judicial authority, shall plead, and
thereafter the pleadings shall continue until issues
sonal property of the plaintiff, the latter may waive are joined, as in civil actions.
the tort, affirm the sale, and sue for the proceeds; (P.B. 1978-1997, Sec. 195.)
but in case of wrongful conversion of property, Sec. 10-78. —Pleading Collateral Source
without a sale, the plaintiff cannot waive the tort Payments
and declare as on a contract. No pleading shall contain any allegations
(P.B. 1978-1997, Sec. 192.) regarding receipt by a party of collateral source
payments as described in General Statutes §§ 52-
Sec. 10-75. —Goods Sold; Variance 225a and 52-225b.
In an action for goods sold at a reasonable (P.B. 1978-1997, Sec. 195A.)
price, if the proof is that they were sold at an Sec. 10-79. —Pleading Issues of Policy Lim-
agreed price, the plaintiff shall not be precluded, itations
on the ground of a variance, from recovering such An insurer should raise issues of monetary pol-
agreed price; and in an action for goods sold at an icy limits, or credits for payments by or on behalf of
agreed price the plaintiff may recover a different or third party tortfeasors, by special defense. When a
jury determination of the facts raised by special
a reasonable price, if the proof fails to establish defense is not necessary, the special defense
the price alleged; and the like rule shall prevail in shall not be submitted to the jury but, rather, shall
actions for work done, materials furnished, or use be resolved by the trial court prior to the rendering
and occupation of land. of judgment.
(P.B. 1978-1997, Sec. 193.) (P.B. 1978-1997, Sec. 195B.)
199
CHAPTER 11
MOTIONS, REQUESTS, ORDERS OF NOTICE, AND
SHORT CALENDAR
Sec. Sec.
11-1. Form of Motion and Request 11-12. Motion to Reargue
11-2. Definition of ‘‘Motion’’ and ‘‘Request’’ 11-13. Short Calendar; Need for List; Case Assigned for
11-3. Motion for Misjoinder of Parties Trial; Reclaims
11-4. Applications for Orders of Notice 11-14. —Short Calendar; Frequency; Time; Lists
11-5. Subsequent Orders of Notice; Continuance 11-15. —Short Calendar; Assignments Automatic
11-6. Notice by Publication 11-16. —Continuances when Counsel’s Presence or Oral
Argument Required
11-7. Attestation; Publication; Proof of Compliance
11-17. —Transfers on Short Calendar
11-8. Orders of Notice Directed outside of the United 11-18. —Oral Argument of Motions in Civil Matters
States of America 11-19. —Time Limit for Deciding Short Calendar Matters
11-9. Disclosure of Previous Applications 11-20. Closure of Courtroom in Civil Cases
11-10. Requirement That Memorandum of Law Be Filed 11-20A. Sealing Files or Limiting Disclosure of Documents
with Certain Motions in Civil Cases
11-11. Motions Which Delay the Commencement of the 11-20B. —Documents Containing Personal Identifying
Appeal Period or Cause the Appeal Period to Information
Start Again 11-21. Motions for Attorney’s Fees
Sec. 11-1. Form of Motion and Request other than the first page, except that this require-
Every motion, request, application or objection ment shall not apply to forms supplied by the Judi-
directed to pleading or procedure, unless relating cial Branch or generated by the electronic filing
to procedure in the course of a trial, shall be in system.
writing. A motion to extend time to plead, respond take effect Jan. 1, 2012; amended June 15, 2012, to take
to written discovery, object to written discovery, effect Jan. 1, 2013; amended June 13, 2014, to take effect
or respond to requests for admissions shall state Jan. 1, 2015.)
the date through which the moving party is seek-
ing the extension. Sec. 11-2. Definition of ‘‘Motion’’ and
(a) For civil matters, with the exception of hous- ‘‘Request’’
ing, family and small claims matters, when any As used in these rules, the term ‘‘motion’’
motion, application or objection is filed either elec- means any application to the court for an order,
tronically or on paper, no order page should be which application is to be acted upon by the court
filed unless an order of notice and citation is nec- or any judge thereof; and the term ‘‘request’’
essary. means any application to the court which shall be
(b) For family, juvenile, housing and small granted by the clerk by operation of these rules
claims matters, when any motion, application or unless timely objection is filed.
objection is filed in paper format, an order shall (P.B. 1978-1997, Sec. 197.)
be annexed to the filing until such cases are incor- Sec. 11-3. Motion for Misjoinder of Parties
porated into the Judicial Branch’s electronic filing The exclusive remedy for misjoinder of parties
system. Once these case types are incorporated is by motion to strike. As set forth in Section 10-
into such electronic filing system, no order page 39, the exclusive remedy for nonjoinder of parties
should be filed unless an order of notice and cita- is by motion to strike.
tion is necessary. (P.B. 1978-1997, Sec. 198.)
(c) Whether filed under subsection (a) or (b),
such motion, request, application or objection Sec. 11-4. Applications for Orders of Notice
shall be served on all parties as provided in Sec- Applications for orders of notice, whether made
tions 10-12 through 10-17 and, when filed, the to a court, a judge, a clerk, or an assistant clerk,
fact of such service shall be endorsed thereon. shall be made in writing, shall state the residence
Any such motion, request, application or objec- of the party whom the notice is sought to reach
tion, as well as any supporting brief or memoran- or that all reasonable efforts have been made to
dum, shall include a page number on each page ascertain the residence and have failed, and shall
200
further state what notice is considered most likely be preserved as part of the case file. (See General
to come to the attention of such person, with the Statutes § 52-52 and annotations.)
reasons therefor, unless they are evident; and (P.B. 1978-1997, Sec. 202.)
such applications shall become a part of the file
Sec. 11-8. Orders of Notice Directed outside
of the case.
(P.B. 1978-1997, Sec. 199.)
of the United States of America
If service of process cannot be made under the
Sec. 11-5. Subsequent Orders of Notice; applicable international treaty or convention within
Continuance sixty days from the issuance of the summons,
Motions made to the court for a second or sub- then the judicial authority may issue, upon the
sequent order of notice shall be filed with the clerk, application of any party, an order of notice. In
who shall call them to the attention of the judicial determining what manner and form of notice shall
authority at the earliest convenient time. The judi- be ordered, the judicial authority shall consider
cial authority may thereupon enter its order or the following:
direct that the matter be placed on the next short (1) other methods of service specified or
calendar list. If a continuance of the case is allowed in any applicable international treaty or
desired, it may also be requested in the motion convention, including any reservations;
for the order of notice. (2) whether all applicable international treaties
(P.B. 1978-1997, Sec. 200.) and conventions prohibit substituted service;
(3) what method of service provides the great-
Sec. 11-6. Notice by Publication est likelihood the party being served will receive
(a) If an order of notice is by publication and it actual and timely notice of the suit so the party
states the nature of the action and the relief sought may appear and defend;
sufficiently to inform the party to whom the notice (4) whether a particular method of service vio-
is addressed of the way in which the interests of lates the law, particularly the criminal law, of the
the party may be affected, the authority issuing the foreign country involved;
order may direct that only the order be published. (5) whether an actual agent of the party being
(b) Every notice by publication shall have the served can be served within the United States.
words ‘‘State of Connecticut’’ in the caption of the (P.B. 1978-1997, Sec. 202A.)
case, and following it, in bold type, the words Sec. 11-9. Disclosure of Previous Appli-
‘‘Notice to (the person to whom it is addressed).’’ cations
(P.B. 1978-1997, Sec. 201.)
Upon making a motion or application to the
Sec. 11-7. Attestation; Publication; Proof court, or to a judge thereof before the return day
of Compliance of the action, (1) for an order appointing a receiver
Orders of notice of legal or judicial proceedings or an injunction, or (2) for a modification or dissolu-
need not be directed to or attested by any officer tion of any such order or injunction, or (3) for
or person, but all copies of complaints or other issuance of a prejudgment remedy, or (4) for a
papers thereby ordered, served or mailed shall reduction or dissolution of an attachment, if a
be so attested as true copies of the original. To motion or application for the same order or injunc-
tion has been previously made to the court or to
prove publication of any legal notice, either the
any judge, such motion or application shall so
return of any officer authorized to serve process
recite. Nothing in this section shall be so con-
or the affidavit of any person showing that such
strued as to preclude the making of more than
publication was made as directed shall be suffi- one motion or application for the same or similar
cient. Such order shall not require publication of order or injunction or affect in any way the right
any recital stating where the designated newspa- of the applicant to have such motion or application
per is printed or recital of any other details in or passed upon on its merits.
pertinent to the application for such order which (P.B. 1978-1997, Sec. 203.)
are not essential parts of the notice to be given.
A copy of the prescribed notice, instead of the Sec. 11-10. Requirement That Memorandum
original order, may be left with the newspaper of Law Be Filed with Certain Motions
for publication purposes, and each original order (a) A memorandum of law briefly outlining the
shall be left with or returned to the clerk of the court claims of law and authority pertinent thereto shall
in which the proceeding is pending or returnable. be filed and served by the movant with the follow-
When proof of compliance with the order is filed ing motions and requests: (1) motions regarding
with such clerk, he or she shall note such fact parties filed pursuant to Sections 9-18 through 9-
upon the docket, and such proof and order shall 22 and motions to implead a third party defendant
201
filed pursuant to Section 10-11; (2) motions to of the decision or order, file a motion to reargue
dismiss except those filed pursuant to Section 14- setting forth the decision or order which is the
3; (3) motions to strike; (4) motions to set aside subject of the motion, the name of the judge who
judgment filed pursuant to Section 17-4; and (5) rendered it, and the specific grounds for reargu-
motions for summary judgment. Memoranda of ment upon which the party relies.
law may be filed by other parties on or before the (b) The judge who rendered the decision or
time the matter appears on the short calendar. order may, upon motion of a party and a showing
(b) A reply memorandum is not required and of good cause, extend the time for filing a motion
the absence of such memoranda will not prejudice to reargue. Such motion for extension must be
any party. A reply memorandum shall be strictly filed before the expiration of the twenty day time
confined to a discussion of matters raised by the period in subsection (a).
responsive memorandum and shall be filed within (c) The motion to reargue shall be considered
fourteen days of the filing of the responsive memo- by the judge who rendered the decision or order.
randum to which such reply memoranda is Such judge shall decide, without a hearing,
being made. whether the motion to reargue should be granted.
(c) Surreply memoranda cannot be filed without If the judge grants the motion, the judge shall
the permission of the judicial authority. schedule the matter for hearing on the relief
(P.B. 1978-1997, Sec. 204.) (Amended June 12, 2015, to requested.
HISTORY—2016: In 2016, what had been the text of this (d) This section shall not apply to motions to
section was designated subsection (a), and what are now reargue decisions which are final judgments for
subsections (b) and (c) were added. purposes of appeal. Such motions shall be filed
COMMENTARY—2016: The revision to this section is pursuant to Section 11-11.
intended to make clear that a reply memorandum by the propo- (P.B. 1978-1997, Sec. 204B.)
nent of a motion or request is permitted, but not required.
The memorandum must discuss only matters contained in the Sec. 11-13. Short Calendar; Need for List;
responsive memorandum, and it must be filed within fourteen Case Assigned for Trial; Reclaims
days. This change eliminates the current practice of filing a
motion for permission to file a reply memorandum, which can (a) Unless otherwise provided in these rules or
extend the time for a resolution of a motion or request. No ordered by the judicial authority, questions as to
surreply memoranda can be filed without the permission of the terms or form of a decree or judgment to be
the judicial authority. rendered on the report of a committee or of audi-
Sec. 11-11. Motions Which Delay the Com- tors, or on an award of arbitrators, foreclosures
mencement of the Appeal Period or Cause where the only question is as to the time to be
the Appeal Period to Start Again limited for redemption, all motions and objections
to requests when practicable, and all issues of
Any motions which would, pursuant to Section law must be placed on the short calendar list. No
63-1, delay the commencement of the appeal motions will be heard which are not on said list
period, and any motions which, pursuant to Sec-
and ought to have been placed thereon; provided
tion 63-1, would toll the appeal period and cause
that any motion in a case on trial, or assigned for
it to begin again, shall be filed simultaneously
trial, may be disposed of by the judicial authority
insofar as such filing is possible, and shall be
at its discretion, or ordered upon the short calen-
considered by the judge who rendered the under-
dar list on terms, or otherwise.
lying judgment or decision. The party filing any
such motion shall set forth the judgment or deci- (b) Unless it is filed electronically, whenever a
sion which is the subject of the motion, the name short calendar matter or reclaim slip is filed in a
of the judge who rendered it, the specific grounds case which has been assigned for trial, the filing
upon which the party relies, and shall indicate on party shall place the words ‘‘assigned for trial’’ on
the bottom of the first page of the motion that such the bottom of the first page of the document and
motion is a Section 11-11 motion. The foregoing on any short calendar reclaim slip. The moving
applies to motions to reargue decisions that are party at a short calendar hearing shall, when appli-
final judgments for purposes of appeal, but shall cable, inform the judicial authority that the case
not apply to motions under Sections 16-35, 17- has been assigned for trial.
2A and 11-12. (c) If a motion has gone off the short calendar
(P.B. 1978-1997, Sec. 204A.) without being adjudicated, any party may claim
the motion for adjudication. If an objection to a
Sec. 11-12. Motion to Reargue request has gone off the short calendar without
(a) A party who wishes to reargue a decision being adjudicated, the party who filed the request
or order rendered by the court shall, within twenty may claim the objection to the request for adjudi-
days from the issuance of notice of the rendition cation. If a case is on the docket management
202
list, any party may claim any motion or objection any judicial district, who shall certify the decision
for adjudication when the motion or objection must to the clerk of the court in which the action is
be resolved to close the pleadings. pending, who shall thereupon enter the decision
(P.B. 1978-1997, Sec. 206.) (Amended June 24, 2002, to as the order or judgment of the court.
take effect Jan. 1, 2003; amended June 20, 2011, to take (P.B. 1978-1997, Sec. 210.)
Sec. 11-18. —Oral Argument of Motions in
Sec. 11-14. —Short Calendar; Frequency; Civil Matters
Time; Lists
(a) Oral argument is at the discretion of the
Short calendar sessions shall be held in each judicial authority except as to motions to dismiss,
judicial district and geographical area at least motions to strike, motions for summary judgment,
once each month, the date, hour and place to be motions for judgment of foreclosure, and motions
fixed by the presiding judge upon due notice to for judgment on the report of an attorney trial ref-
the clerk. The caseflow coordinator or clerk, in eree and/or hearing on any objections thereto.
consultation with the presiding judge, shall deter- For those motions, oral argument shall be a matter
mine the number of lists, such as whether there of right, provided:
shall be separate lists for family relations matters (1) the motion has been marked ready in
and foreclosures, and whether various portions of accordance with the procedure that appears on
any one list shall be scheduled for different days the short calendar on which the motion
and for different hours of the same day. Notice of appears, or
the assigned date and time of the motion shall be (2) a nonmoving party files and serves on all
provided to attorneys and self-represented parties other parties pursuant to Sections 10-12 through
of record. 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
Sec. 11-15. —Short Calendar; Assignments shall be filed on or before the third day before the
Automatic date of the short calendar date and shall contain
Matters to be placed on the short calendar shall (A) the name of the party filing the motion and
be assigned automatically by the clerk without (B) the date of the short calendar on which the
written claim, except as provided in Section 17- matter appears.
31. No such matters shall be so assigned unless (b) As to any motion for which oral argument
filed at least five days before the opening of court is of right and as to any other motion for which the
on the short calendar day. Motions to dismiss, judicial authority grants or, in its own discretion,
motions to strike, and motions for summary judg- requires argument or testimony, the date for argu-
ment shall be assigned in accordance with Sec- ment or testimony shall be set by the judge to
tions 10-31, 10-40 and 17-45, respectively. whom the motion is assigned.
(P.B. 1978-1997, Sec. 208.) (c) If a case has been designated for argument
as of right or by the judicial authority but a date
Sec. 11-16. —Continuances when Coun- for argument or testimony has not been set within
sel’s Presence or Oral Argument Required thirty days of the date the motion was marked
Matters upon the short calendar list requiring ready, the movant may reclaim the motion.
oral argument or counsel’s presence shall not be (d) Failure to appear and present argument on
continued except for good cause shown; and no the date set by the judicial authority shall consti-
such matter in which adverse parties are inter- tute a waiver of the right to argue unless the judi-
ested shall be continued unless the parties shall cial authority orders otherwise.
agree thereto before the day of the short calendar (e) Notwithstanding the above, all motions to
session and notify the clerk, who shall make note withdraw appearance, except those under Sec-
thereof on the list of the presiding judge; in the tion 3-9 (b), and any other motions designated
absence of such agreement, unless the judicial by the chief court administrator in the civil short
authority shall otherwise order, any counsel calendar standing order shall be set down for
appearing may argue the matter and submit it for oral argument.
decision, or request that it be denied. (f) For those motions for which oral argument
(P.B. 1978-1997, Sec. 209.) is not a matter of right, oral argument may be
requested in accordance with the procedure that
Sec. 11-17. —Transfers on Short Calendar
is printed on the short calendar on which the
Matters on the short calendar list may, by writ- motion appears.
ten stipulation of the parties and consent of the (P.B. 1978-1997, Sec. 211.) (Amended June 28, 1999, to
judge, be heard and disposed of by any judge in take effect Jan. 1, 2000; amended June 21, 2004, to take
203
effect Jan. 1, 2005; amended June 29, 2007, to take effect parties to close the courtroom shall not constitute
Jan. 1, 2008; amended June 20, 2011, to take effect Jan. a sufficient basis for the issuance of such an order.
1, 2012.)
(d) In connection with any order issued pursuant
Sec. 11-19. —Time Limit for Deciding Short to subsection (c) of this section, the judicial
Calendar Matters authority shall articulate the overriding interest
being protected and shall specify its findings
(a) Any judge of the superior court and any
underlying such order. If any findings would reveal
judge trial referee to whom a short calendar matter information entitled to remain confidential, those
has been submitted for decision, with or without findings may be set forth in a sealed portion of
oral argument, shall issue a decision on such mat- the record. The time, date and scope of any such
ter not later than 120 days from the date of such order shall be set forth in a writing signed by the
submission, unless such time limit is waived by judicial authority which upon issuance the court
the parties. In the event that the judge or referee clerk shall immediately enter in the court file and
conducts a hearing on the matter and/or the par- publish by posting both on the Judicial Branch
ties file briefs concerning it, the date of submission website and on a bulletin board adjacent to the
for purposes of this section shall be the date the clerk’s office and accessible to the public. The
matter is heard or the date the last brief ordered judicial authority shall order that a transcript of
by the court is filed, whichever occurs later. If a its decision be included in the file or prepare a
decision is not rendered within this period the mat- memorandum setting forth the reasons for its
ter may be claimed in accordance with subsection order.
(b) for assignment to another judge or referee. (e) A motion to close a courtroom proceeding
(b) A party seeking to invoke the provisions of shall be filed not less than fourteen days before
this section shall not later than fourteen days after the proceeding is scheduled to be heard. Such
the expiration of the 120 day period file with the motion shall be placed on the short calendar so
clerk a motion for reassignment of the undecided that notice to the public is given of the time and
short calendar matter which shall set forth the place of the hearing on the motion and to afford
date of submission of the short calendar matter, the public an opportunity to be heard on the motion
the name of the judge or referee to whom it was under consideration. The motion itself may be filed
submitted, that a timely decision on the matter under seal, where appropriate, by leave of the
has not been rendered, and whether or not oral judicial authority. When placed on a short calen-
argument is requested or testimony is required. dar, motions filed under this rule shall be listed in
The failure of a party to file a timely motion for a separate section titled ‘‘Motions to Seal or
reassignment shall be deemed a waiver by that Close’’ and shall also be listed with the time, date
party of the 120 day time. and place of the hearing on the Judicial Branch
(P.B. 1978-1997, Sec. 211A.) website. A notice of such motion being placed on
Sec. 11-20. Closure of Courtroom in Civil the short calendar shall, upon issuance of the
Cases short calendar, be posted on a bulletin board adja-
cent to the clerk’s office and accessible to the
(Amended May 14, 2003, to take effect July 1, 2003.)
public.
(a) Except as otherwise provided by law, there (f) With the exception of any provision of the
shall be a presumption that courtroom proceed- General Statutes under which the judicial author-
ings shall be open to the public. ity is authorized to close courtroom proceedings,
(b) Except as provided in this section and whether at a pretrial or trial stage, no order exclud-
except as otherwise provided by law, the judicial ing the public from any portion of a courtroom
authority shall not order that the public be proceeding shall be effective until seventy-two
excluded from any portion of a courtroom pro- hours after it has been issued. Any person
ceeding. affected by such order shall have the right to the
(c) Upon written motion of any party, or upon review of such order by the filing of a petition for
its own motion, the judicial authority may order review with the appellate court within seventy-two
that the public be excluded from any portion of a hours from the issuance of such order. The timely
courtroom proceeding only if the judicial authority filing of any petition for review shall stay such
concludes that such order is necessary to pre- order.
serve an interest which is determined to override (P.B. 1978-1997, Sec. 211B.) (Amended June 28, 1999,
the public’s interest in attending such proceeding. to take effect Jan. 1, 2000; amended May 14, 2003, to take
The judicial authority shall first consider reason- effect July 1, 2003; amended June 21, 2004, to take effect
Jan. 1, 2005; June 20, 2011, to take effect Jan. 1, 2012.)
able alternatives to any such order and any such HISTORY—2003: Prior to July 1, 2003, Sec. 11-20 read:
order shall be no broader than necessary to pro- ‘‘Exclusion of the Public; Sealing Files Limiting Disclosure
tect such overriding interest. An agreement of the of Documents
204
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 11-20A
‘‘(a) Except as provided in this section and except as other- Because this section no longer deals with the sealing of
wise provided by law, including Section 13-5, the judicial documents, subsections (e) and (f) have been transferred,
authority shall not order that the public, which may include with revisions, to Section 11-20A.
the news media, be excluded from any portion of a proceeding HISTORY—2005: Prior to 2005, the third sentence of sub-
and shall not order that any files, affidavits, documents, or section (d) read: ‘‘The time, date and scope of any such order
other materials on file with the court or filed in connection with shall be in writing and shall be signed by the judicial authority
a court proceeding be sealed or their disclosure limited. and be entered by the court clerk in the court file.’’
‘‘(b) Upon motion of any party, or upon its own motion, the COMMENTARY—2005: As used in subsection (a) above,
judicial authority may order that the public be excluded from the words ‘‘Except as otherwise provided by law’’ are intended
any portion of a proceeding and may order that files, affidavits, to exempt from the operation of this rule all established proce-
documents or other materials on file with the court or filed in dures for the closure of courtroom proceedings as required
connection with a court proceeding be sealed or their disclo- or permitted by statute; e.g., General Statutes §§ 19a-583 (a)
sure limited if the judicial authority concludes that such order (10) (D) (pertaining to court proceedings as to disclosure of
is necessary to preserve an interest which is determined to confidential HIV-related information), 36a-21 (b) (pertaining to
override the public’s interest in attending such proceeding or court proceedings at which certain records of the department
in viewing such materials. Any such order shall be no broader of banking are disclosed), 46b-11 (pertaining to hearings in
than necessary to protect such overriding interest. family relations matters), 54-86c (b) (pertaining to the disclo-
‘‘(c) In connection with any order issued pursuant to subsec- sure of exculpatory information or material), 54-86f (pertaining
tion (b) of this section, the judicial authority shall, on the record to the admissibility of evidence of sexual conduct) and 54-86g
in open court, articulate the overriding interest being protected (pertaining to the testimony of a victim of child abuse); other
and shall specify its findings underlying such order. The time rules of practice; e.g., Practice Book Section 40-43; and/or
and date of any such order shall be entered by the court clerk controlling state or federal case law.
in the court file together with such order. The above amendment to subsection (d) establishes a
‘‘(d) With the exception of orders concerning any session mechanism by which the public and the press, who are empow-
of court conducted pursuant to General Statutes §§ 46b-11, ered by this rule to object to pending motions to close the
46b-49, 46b-122 or any other provision of the General Statutes courtroom in civil matters, will receive timely notice of the
under which the judicial authority is authorized to close pro- court’s disposition of such motions. General Statutes § 51-
ceedings, whether at a pretrial or trial stage, no order excluding 164x (a) gives any person affected by a court closure order
the public from any portion of a proceeding shall be effective in a civil action the right to the review of such order by filing
until seventy-two hours after it has been issued. Any person
a petition for review with the appellate court within seventy-
affected by such order shall have the right to the review of
two hours from the issuance of the order.
such order by the filing of a petition for review with the appellate
HISTORY—2012: In 2012, in beginning of the fifth sentence
court within seventy-two hours from the issuance of such order.
of subsection (e), ‘‘notice of such motion being placed on’’
The timely filing of any petition for review shall stay such order.
was substituted for ‘‘copy of,’’ before ‘‘the short calendar.’’
‘‘(e) With the exception of orders concerning the confidenti-
Also, in that same sentence, ‘‘page containing the aforesaid
ality of records and other papers, issued pursuant to General
section’’ was deleted, after ‘‘short calendar.’’
Statutes § 46b-11 or any other provision of the General Stat-
utes under which the court is authorized to seal or limit the COMMENTARY—2012: The above amendment is
disclosure of files, affidavits, documents or other materials, intended to provide for the electronic filing and processing of
whether at a pretrial or trial stage, any person affected by a documents and orders, and the maintenance of court records,
court order that seals or limits the disclosure of any files, where the present terminology, filing requirements or pro-
documents or other materials on file with the court or filed in cesses that are applicable in a paper environment result in
connection with a court proceeding, shall have the right to the confusion or redundancy when applied to an electronic envi-
review of such order by the filing of a petition for review with ronment.
the appellate court within seventy-two hours from the issuance
of such order. Nothing under this subsection shall operate as Sec. 11-20A. Sealing Files or Limiting Dis-
a stay of such sealing order. closure of Documents in Civil Cases
‘‘(f) The provisions of this section shall not apply to settle- (a) Except as otherwise provided by law, there
ment agreements which have not been incorporated into a
shall be a presumption that documents filed with
judgment of the court.’’
COMMENTARY—2003: The public and press enjoy a right the court shall be available to the public.
of access to attend trials in civil as well as criminal cases. (b) Except as provided in this section and
Westmoreland v. Columbia Broadcasting System, Inc., 752 except as otherwise provided by law, including
F.2d 16, 22 (2d Cir. 1984); Publicker Industries, Inc. v. Cohen, Section 13-5, the judicial authority shall not order
733 F.2d 1059, 1071 (3d Cir. 1984). This right is implicit in the that any files, affidavits, documents, or other
first and fourteenth amendments. Westmoreland v. Columbia
Broadcasting System, Inc., supra, 21. In civil cases, public
materials on file with the court or filed in connec-
access to trials ‘‘enhances the quality and safeguards the tion with a court proceeding be sealed or their
integrity of the factfinding process . . . fosters an appearance disclosure limited.
of fairness . . . and heightens public respect for the judicial (c) Upon written motion of any party, or upon
process . . . while permitting the public to participate in and its own motion, the judicial authority may order
serve as a check upon the judicial process—an essential com-
ponent in our structure of self government . . . .’’ (Citations
that files, affidavits, documents, or other materials
omitted; internal quotation marks omitted.) Id., 23. on file or lodged with the court or in connection
For a further discussion of court closure, see the Commen- with a court proceeding be sealed or their disclo-
tary to Section 42-49. sure limited only if the judicial authority concludes
205
Sec. 11-20A SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS
that such order is necessary to preserve an inter- of the file or authorizing the use of pseudonyms.
est which is determined to override the public’s The judicial authority shall state in its decision or
interest in viewing such materials. The judicial order each of the more narrowly tailored methods
authority shall first consider reasonable alterna- that was considered and the reason each such
tives to any such order and any such order shall method was unavailable or inadequate.
be no broader than necessary to protect such (g) With the exception of any provision of the
overriding interest. An agreement of the parties General Statutes under which the court is author-
to seal or limit the disclosure of documents on file ized to seal or limit the disclosure of files, affida-
with the court or filed in connection with a court vits, documents, or other materials, whether at a
proceeding shall not constitute a sufficient basis pretrial or trial stage, any person affected by a
for the issuance of such an order. court order that seals or limits the disclosure of
(d) In connection with any order issued pursuant any files, documents or other materials on file
to subsection (c) of this section, the judicial with the court or filed in connection with a court
authority shall articulate the overriding interest proceeding, shall have the right to the review of
being protected and shall specify its findings such order by the filing of a petition for review
underlying such order and the duration of such with the appellate court within seventy-two hours
order. If any findings would reveal information from the issuance of such order. Nothing under
entitled to remain confidential, those findings may this subsection shall operate as a stay of such
be set forth in a sealed portion of the record. The sealing order.
time, date, scope and duration of any such order (h) (1) Pseudonyms may be used in place of
shall be set forth in a writing signed by the judicial the name of a party or parties only with the prior
authority which upon issuance the court clerk shall approval of the judicial authority and only if the
immediately enter in the court file and publish by judicial authority concludes that such order is nec-
posting both on the Judicial Branch website and essary to preserve an interest which is determined
on a bulletin board adjacent to the clerk’s office to override the public’s interest in knowing the
and accessible to the public. The judicial authority name of the party or parties. The judicial authority
shall order that a transcript of its decision be shall first consider reasonable alternatives to any
included in the file or prepare a memorandum such order and any such order shall be no broader
setting forth the reasons for its order. than necessary to protect such overriding interest.
(e) Except as otherwise ordered by the judicial The judicial authority shall articulate the overriding
authority, a motion to seal or limit the disclosure interest being protected and shall specify its find-
of affidavits, documents, or other materials on file ings underlying such order and the duration of
or lodged with the court or in connection with a such order. If any findings would reveal informa-
court proceeding shall be calendared so that tion entitled to remain confidential, those findings
notice to the public is given of the time and place may be set forth in a sealed portion of the record.
of the hearing on the motion and to afford the The time, date, scope and duration of any such
public an opportunity to be heard on the motion order shall forthwith be reduced to writing and be
under consideration. The procedures set forth in signed by the judicial authority and be entered by
Sections 7-4B and 7-4C shall be followed in con- the court clerk in the court file. The judicial author-
nection with a motion to file affidavits, documents ity shall order that a transcript of its decision be
or other materials under seal or to limit their dis- included in the file or prepare a memorandum
closure. setting forth the reasons for its order. An
(f) (1) A motion to seal the contents of an entire agreement of the parties that pseudonyms be
court file shall be placed on the short calendar to used shall not constitute a sufficient basis for the
be held not less than fifteen days following the issuance of such an order. The authorization of
filing of the motion, unless the judicial authority pseudonyms pursuant to this section shall be in
otherwise directs, so that notice to the public is place of the names of the parties required by Sec-
given of the time and place of the hearing on the tion 7-4A.
motion and to afford the public an opportunity to (2) The judicial authority may grant prior to the
be heard on the motion under consideration. The commencement of the action a temporary ex parte
procedures set forth in Sections 7-4B and 7-4C application for permission to use pseudonyms
shall be followed in connection with such motion. pending a hearing on continuing the use of such
(2) The judicial authority may issue an order pseudonyms to be held not less than fifteen days
sealing the contents of an entire court file only after the return date of the complaint.
upon a finding that there is not available a more (3) After commencement of the action, a motion
narrowly tailored method of protecting the overrid- for permission to use pseudonyms shall be placed
ing interest, such as redaction, sealing a portion on the short calendar to be held not less than
206
fifteen days following the filing of the motion, United States v. Doe, 655 F.2d 920, 922 n.1 (9th Cir. 1981)
unless the judicial authority otherwise directs, so . . . .’’ (Citations omitted.) Does I Thru XXIII v. Advanced
Textile Corp., supra, 214 F.3d 1067–68. In Does I Thru XXIII
that notice to the public is given of the time and v. Advanced Textile Corp., supra, 1062, the plaintiffs filed suit
place of the hearing on the motion and to afford under pseudonyms against their employers alleging multiple
the public an opportunity to be heard on the motion violations of the Fair Labor Standards Act. The court concluded
under consideration. Leave of the court may be that in determining whether to allow the use of pseudonyms,
sought to file the motion under seal pending a the trial court must consider the severity of the plaintiffs’ threat-
disposition of the motion by the judicial authority. ened injury, the reasonableness of their fears and their vulner-
(4) Any order allowing the use of a pseudonym ability to retaliation. Id., 1068. In Doe v. Frank, 951 F.2d 320,
322 (11th Cir. 1992), the plaintiff, a government employee
in place of the name of a party shall also require challenging government activity, was denied permission to
the parties to use such pseudonym in all docu- proceed under a pseudonym which he sought due to his alco-
ments filed with the court. holism. The court concluded that a plaintiff should be permitted
(i) The provisions of this section shall not apply to proceed anonymously only in ‘‘exceptional cases involving
to settlement conferences or negotiations or to matters of a highly sensitive and personal nature, real danger
documents submitted to the court in connection of physical harm, or where the injury litigated against would
be incurred as a result of the disclosure of the plaintiff’s identity.
with such conferences or negotiations. The provi- The risk that a plaintiff may suffer some embarrassment is not
sions of this section shall apply to settlement enough.’’ Id., 324. The need for anonymity must outweigh the
agreements which have been filed with the court presumption of openness.
or have been incorporated into a judgment of ‘‘The privilege of using fictitious names in actions should
the court. be granted only in the rare case where the nature of the issue
(j) When placed on a short calendar, motions litigated and the interest of the parties demand it and no harm
filed under this rule shall be listed in a separate can be done to the public interest.’’ See Buxton v. Ullman,
147 Conn. 48, 60, 156 A.2d 508 (1959), appeal dismissed
section titled "Motions to Seal or Close" and shall sub nom. Poe v. Ullman, 367 U.S. 497, 81 S. Ct. 1752, 6 L.
also be listed with the time, date and place of the Ed. 2d 989 (1961) (parties who were medical patients of named
hearing on the Judicial Branch website. A notice plaintiff were allowed to use pseudonyms due to intimate and
of such motion being placed on the short calendar distressing details alleged in complaint regarding prevention
shall, upon issuance of the short calendar, be of contraception). Connecticut trial courts applying the Buxton
posted on a bulletin board adjacent to the clerk’s holding have concluded that permission to proceed anony-
mously may be appropriate in situations involving social stig-
office and accessible to the public.
matization, real danger of physical harm, or risk of an unfair
(Adopted May 14, 2003, to take effect July 1, 2003;
trial. Doe v. Diocese Corp., 43 Conn. Sup. 152, 158, 647 A.2d
1067 (1994) (plaintiff was allowed to proceed anonymously in
June 20, 2011, to take effect Jan. 1, 2012.)
action against defendants for past sexual abuse). Courts have
COMMENTARY—2003: The public and press enjoy a right
generally concluded that there must be a strong social interest
of access to attend trials in civil as well as criminal cases.
See Nixon v. Warner Communications, Inc., 435 U.S. 589, in concealing a party’s identity, but the possibility that a litigant
597–608, 98 S. Ct. 1306, 55 L. Ed. 2d 570 (1978). The guaran- may suffer some embarrassment, economic harm, or loss of
tee of open public proceedings in civil trials applies as well to reputation have been found not to be sufficiently overriding
the sealing of court documents. See Publicker Industries, Inc. interests to justify anonymity. ABC, LLC v. State Ethics Com-
v. Cohen, 733 F.2d 1059, 1070–71 (3d Cir. 1984). mission, Superior Court, judicial district of New Britain, Docket
See also the Commentary to Section 42-49A. No. CV 000504071S (October 11, 2000).
Motions to seal or limit the disclosure of affidavits, docu- In Doe v. Connecticut Bar Examining Committee, 263 Conn.
ments or other materials in cases on the complex litigation 39, 818 A.2d 14 (2003), the plaintiff sought to proceed anony-
docket shall appear on the regular short calendar for the pur- mously in an action against the defendant in connection with
pose of providing notice to the public. the defendant’s failure to recommend the plaintiff for admission
As regards the use of pseudonyms set out in subsection to the bar. The supreme court, in determining that the use of
(h) of this section, it is clear that such use generally runs afoul a pseudonym in this case should be left to the discretion of
of the public’s right of access to judicial proceedings. Does I the superior court, stated: ‘‘Because lawsuits are public events
Thru XXIII v. Advanced Textile Corp., 214 F.3d 1058, 1067 . . . a plaintiff should be permitted to proceed anonymously
(9th Cir. 2000). ‘‘Though not as critical as access to the pro- only in those exceptional cases involving matters of a highly
ceedings, knowing the litigants’ identities nevertheless tends sensitive and personal nature. . . . A plaintiff’s desire to avoid
to sharpen public scrutiny of the judicial process, to increase economic and social harm as well as embarrassment and
confidence in the administration of the law, to enhance the humiliation in his professional and social community is nor-
therapeutic value of judicial proceedings, and to serve the mally insufficient to permit him to appear without disclosing
structural function of the first amendment by enabling informed his identity.’’ (Citation omitted; internal quotation marks omit-
discussion of judicial operations.’’ (Internal quotation marks ted.) Id., 70.
omitted.) Doe v. Burkland, 808 A.2d 1090, 1097 (R.I. 2002). HISTORY—2005: Prior to 2005, the third sentence of sub-
‘‘[M]any federal courts . . . have permitted parties to pro- section (d) read: ‘‘The time, date, scope and duration of any
ceed anonymously when special circumstances justify such order shall forthwith be reduced to writing and be signed
secrecy. . . . In [the Ninth] [C]ircuit, [parties are allowed] to by the judicial authority and be entered by the court clerk in
use pseudonyms in the ‘unusual case’ when nondisclosure of the court file.’’
the party’s identity ‘is necessary . . . to protect a person from COMMENTARY—2005: As used in subsection (a) above,
harassment, injury, ridicule or personal embarrassment.’ the words ‘‘Except as otherwise provided by law’’ are intended
207
to exempt from the operation of this rule all established proce- defined in Section 4-7, that may be found in docu-
dures for the sealing or ex parte filing, in camera inspection ments filed with the court. If a document con-
and/or nondisclosure to the public of documents, records and
other materials, as required or permitted by statute; e.g., Gen-
taining personal identifying information is filed with
eral Statutes §§ 12-242vv (pertaining to taxpayer information), the court, a party or a person identified by the
52-146c et seq. (pertaining to the disclosure of psychiatric personal identifying information may request that
records) and 54-56g (pertaining to the pretrial alcohol educa- the document containing the personal identifying
tion program); other rules of practice; e.g., Practice Book Sec- information be sealed. In response to such
tions 7-18, 13-5 (6)–(8) and 40-13 (c); and/or controlling state request, or on its own motion, the court shall order
or federal case law; e.g., Matza v. Matza, 226 Conn. 166, that the document be sealed and that the party
627 A.2d 414 (1993) (establishing a procedure whereby an who filed the document submit a redacted copy
attorney seeking to withdraw from a case due to his client’s
anticipated perjury at trial may support his motion to withdraw
of the document within ten days of such order.
by filing a sealed affidavit for the court’s review). (b) If the party who filed the document fails to
The above amendment to subsection (d) establishes a submit a redacted copy of the document within ten
mechanism by which the public and the press, who are empow- days of the order, the court may enter sanctions,
ered by this rule to object to pending motions to seal files or including a nonsuit or default, as appropriate,
limit the disclosure of documents in civil matters, will receive against said party for such failure upon the expira-
timely notice of the court’s disposition of such motions. General tion of the ten day period. Upon the submission
Statutes § 51-164x (c) gives any person affected by a court of a redacted copy of such document, the original
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
document containing the personal identifying
petition for review with the appellate court within seventy-two information shall be retained as a sealed docu-
hours from the issuance of the order. ment in the court file, unless otherwise ordered
HISTORY—2012: In 2012, at the beginning of the second by the court.
sentence of subsection (j), ‘‘notice of such motion being placed (Adopted June 22, 2009, to take effect Jan. 1, 2010;
on’’ was substituted for ‘‘copy of,’’ before ‘‘the short calendar.’’ amended June 21, 2010, to take effect Jan. 1, 2011.)
Also, in that same sentence, ‘‘page containing the aforesaid Sec. 11-21. Motions for Attorney’s Fees
section’’ was deleted, after ‘‘short calendar.’’
COMMENTARY—2012: The above amendment is Motions for attorney’s fees shall be filed with
intended to provide for the electronic filing and processing of the trial court within thirty days following the date
documents and orders, and the maintenance of court records, on which the final judgment of the trial court was
where the present terminology, filing requirements or pro- rendered. If appellate attorney’s fees are sought,
cesses that are applicable in a paper environment result in motions for such fees shall be filed with the trial
confusion or redundancy when applied to an electronic envi- court within thirty days following the date on which
ronment. the appellate court or supreme court rendered
Sec. 11-20B. —Documents Containing Per- its decision disposing of the underlying appeal.
Nothing in this section shall be deemed to affect
sonal Identifying Information
an award of attorney’s fees assessed as a compo-
(a) The requirements of Section 11-20A shall nent of damages.
not apply to ‘‘personal identifying information,’’ as (Adopted June 29, 1998, to take effect Jan. 1, 1999.)
208
CHAPTER 12
TRANSFER OF ACTIONS
Sec. Sec.
12-1. Procedure for Transfer 12-3. Transmission of Files and Papers
12-2. Transfer of Action Filed in Wrong Location of Cor-
rect Court
Sec. 12-1. Procedure for Transfer order of the judicial authority within a reasonable
Any cause, or the trial of any issue therein, may time, the judicial authority shall dismiss the action
be transferred from a judicial district court location with costs.
(P.B. 1978-1997, Sec. 213.)
to any other judicial district court location or to
any geographical area court location, or from a Sec. 12-3. Transmission of Files and Papers
geographical area court location to any other geo- Upon the transfer of any action, the clerk of the
graphical area court location or to any judicial court in which such action is pending shall transmit
district court location, by order of a judicial author- to the clerk of the court to which such cause is
ity (1) upon its own motion or upon the granting transferred the original files and papers in such
of a motion of any of the parties, or (2) upon written cause with a certificate of such transfer, who shall
agreement of the parties filed with the court. (See enter such cause in the docket of the court to
General Statutes § 51-347b and annotations.) which it is so transferred; and such cause shall
(P.B. 1978-1997, Sec. 212.) thereafter be proceeded with in the same manner
Sec. 12-2. Transfer of Action Filed in Wrong as if it were originally brought to such court. When
Location of Correct Court a case which has been claimed for trial is subse-
quently transferred to another court, a new certifi-
A clerk of the court of a judicial district or geo- cate of closed pleadings shall not be required,
graphical area should not accept a civil cause and its position on the inventory of pending cases
which is made returnable to a judicial district or of the transferee court shall be determined by the
geographical area of which such person is not the certificate of closed pleadings date in the original
clerk. A clerk who does accept and enter such a file. Where only the trial of an issue or issues in
civil cause shall, upon discovery of the error, bring an action is transferred, the files, after such issues
the matter to the attention of the court. The judicial have been disposed of, shall be returned to the
authority shall then order the plaintiff to file a clerk of the court where the action originated and
motion to transfer with such notice to the defend- judgment may be entered in such court. (See Gen-
ant as the judicial authority may direct. If the plain- eral Statutes § 51-347b; see also Section 14-8.)
tiff complies, the motion to transfer shall be (P.B. 1978-1997, Sec. 215.) (Amended June 29, 1998, to
granted; but if the plaintiff fails to comply with the take effect Jan. 1, 1999.)
209
CHAPTER 13
DISCOVERY AND DEPOSITIONS
Sec. Sec.
13-1. Definitions 13-17. Disclosure before Court or Committee
13-2. Scope of Discovery; In General 13-18. Disclosures in Equity
13-3. —Materials Prepared in Anticipation of Litigation; 13-19. Disclosure of Defense
Statements of Parties; Privilege Log 13-20. Discovery Sought by Judgment Creditor
13-4. —Experts 13-21. Discovery Outside the United States of America
13-5. —Protective Order 13-22. Admission of Facts and Execution of Writings;
13-6. Interrogatories; In General Requests for Admission
13-7. —Answers to Interrogatories 13-23. —Answers and Objections to Requests for
13-8. —Objections to Interrogatories Admission
13-9. Requests for Production, Inspection and Examina- 13-24. —Effect of Admission
tion; In General 13-25. —Expenses on Failure to Admit
13-10. —Responses to Requests for Production; 13-26. Depositions; In General
Objections 13-27. —Notice of Deposition; General Requirements;
13-11. —Physical or Mental Examination Special Notice; Nonstenographic Recording;
13-11A. —Motion for Authorization to Obtain Protected Production of Documents and Things; Deposition
Health Information of Organization
13-12. Disclosure of Amount and Provisions of Insurance 13-28. —Persons before Whom Deposition Taken; Sub-
Liability Policy poenas
13-13. Disclosure of Assets in Cases in Which Prejudg- 13-29. —Place of Deposition
ment Remedy Sought 13-30. —Deposition Procedure
13-14. Order for Compliance; Failure to Answer or Comply 13-31. —Use of Depositions in Court Proceedings
with Order 13-32. Stipulations regarding Discovery and Deposition
13-15. Continuing Duty to Disclose Procedure
13-16. Orders by Judge 13-33. Claim of Privilege or Protection after Production
Sec. 13-1. Definitions chapter and shall preclude any broader definition
(a) For purposes of this chapter: (1) ‘‘statement’’ of a term defined in subsection (c), but shall not
means (A) a written statement in the handwriting preclude: (1) the definition of other terms specific
of the person making it, or signed, or initialed, or to the particular litigation; (2) the use of abbrevia-
otherwise in writing adopted or approved by the tions; or (3) a more narrow definition of a term
person making it; or (B) a stenographic, mechani- defined in subsection (c).
cal, electrical or other recording or a transcription (c) The following definitions apply to all discov-
thereof, which is a substantially verbatim recital ery requests:
of an oral statement by the person making it and (1) Communication. The term ‘‘communication’’
which is contemporaneously recorded; (2) ‘‘party’’ means the transmittal of information (in the form
of facts, ideas, inquiries or otherwise).
means (A) a person named as a party in the (2) Document. The term ‘‘document’’ means
action, or (B) an agent, employee, officer, or direc- any writing, drawing, graph, chart, photograph,
tor of a public or private corporation, partnership, sound recording, image, and other data or data
association, or governmental agency, named as compilation, stored in any medium from which
a party in the action; (3) ‘‘representative’’ includes information can be obtained either directly or, if
agent, attorney, consultant, indemnitor, insurer, necessary, after translation by the responding
and surety; (4) ‘‘electronic’’ means relating to tech- party into a reasonably usable form. A draft or
nology having electrical, digital, magnetic, wire- nonidentical copy is a separate document within
less, optical, electromagnetic, or similar the meaning of this term. A request for production
capabilities; (5) ‘‘electronically stored information’’ of ‘‘documents’’ shall encompass, and the
means information that is stored in an electronic response shall include, electronically stored infor-
medium and is retrievable in perceivable form. mation, as defined in subsection (a) above, unless
(b) The full text of the definitions and rules of otherwise specified by the requesting party.
construction set forth in subsections (c) and (d) (3) Identify (with respect to persons). When
herein is deemed incorporated by reference into referring to a person, to ‘‘identify’’ means to pro-
all discovery requests served pursuant to this vide, to the extent known, the person’s full name,
210
present or last known address, and when referring (2) And/Or. The connectives ‘‘and’’ and ‘‘or’’
to a natural person, additionally, the present or shall be construed either disjunctively or conjunc-
last known place of employment. Once a person tively as necessary to bring within the scope of
has been identified in accordance with this subdi- the discovery request all responses that might
vision, only the name of that person need be listed otherwise be construed to be outside its scope.
in response to subsequent discovery requesting (3) Number. The use of the singular form of any
the identification of that person. word includes the plural and vice versa.
(4) Identify (with respect to documents or elec- (4) Gender. Unless the context clearly requires
tronically stored information). When referring to otherwise, the use of any pronoun or gender-iden-
documents or electronically stored information, to tified form of any word includes both the male and
‘‘identify’’ means: to provide, to the extent known, female genders.
information about the (A) type of document or take effect Jan. 1, 2012; amended June 14, 2013, to take
electronically stored information; (B) its general effect Jan. 1, 2014.)
subject matter; (C) the date of the document or
electronically stored information; and (D) Sec. 13-2. Scope of Discovery; In General
author(s), addressee(s) and recipient(s). In any civil action, in any probate appeal, or
(5) Identify (with respect to oral communica- in any administrative appeal where the judicial
tions). When referring to an oral communication, authority finds it reasonably probable that evi-
to ‘‘identify’’ means: (A) to state the date and place dence outside the record will be required, a party
of the oral communication; (B) to identify all per- may obtain in accordance with the provisions of
sons hearing, present or participating in the this chapter discovery of information or disclosure,
communication; (C) to state whether the commu- production and inspection of papers, books, docu-
nication was in person, by telephone, or by some ments and electronically stored information mate-
other means or medium; (D) to summarize what rial to the subject matter involved in the pending
was said by each such person, or provide a tran- action, which are not privileged, whether the dis-
script if one is available. covery or disclosure relates to the claim or
(6) Identify (with respect to an act or event). defense of the party seeking discovery or to the
When referring to an act or event, to ‘‘identify’’ claim or defense of any other party, and which
means: (A) to describe the act or event, including are within the knowledge, possession or power
its location and its date; (B) to identify the persons of the party or person to whom the discovery is
participating, present or involved in the act or addressed. Discovery shall be permitted if the dis-
closure sought would be of assistance in the pros-
event; (C) to identify all oral communications
ecution or defense of the action and if it can be
which were made at the act or event identified;
provided by the disclosing party or person with
and (D) to identify all documents concerning the substantially greater facility than it could otherwise
act or event identified. be obtained by the party seeking disclosure. It
(7) Person. The term ‘‘person’’ is defined as shall not be ground for objection that the informa-
any natural person or any business, legal or gov- tion sought will be inadmissible at trial if the infor-
ernmental entity or association. mation sought appears reasonably calculated to
(8) Concerning. The term ‘‘concerning’’ means lead to the discovery of admissible evidence. Writ-
relating to, referring to, describing, evidencing ten opinions of health care providers concerning
or constituting. evidence of medical negligence, as provided by
(9) You. The term ‘‘you’’ means the party or General Statutes § 52-190a, shall not be subject
person to whom a discovery request is directed, to discovery except as provided in that section.
except that: (A) if the party is the representative (P.B. 1978-1997, Sec. 218.) (Amended June 20, 2011, to
of the estate of a decedent, ward, or incapable take effect Jan. 1, 2012.)
person, ‘‘you’’ shall also refer to the party’s dece- Sec. 13-3. —Materials Prepared in Anticipa-
dent, ward or incapable person, unless the context tion of Litigation; Statements of Parties;
of the discovery request clearly indicates other- Privilege Log
wise; and (B) notwithstanding subsection (b) (Amended June 14, 2013, to take effect Jan. 1, 2014.)
above, the propounding party may specify a differ- (a) Subject to the provisions of Section 13-4,
ent definition of the term ‘‘you.’’ a party may obtain discovery of documents and
(d) The following rules of construction apply to tangible things otherwise discoverable under Sec-
all discovery requests: tion 13-2 and prepared in anticipation of litigation
(1) All/Each. The terms ‘‘all’’ and ‘‘each’’ shall or for trial by or for another party or by or for that
both be construed as all and each. other party’s representative only upon a showing
211
that the party seeking discovery has substantial (1) The type of document or electronically
need of the materials in the preparation of the stored information;
case and is unable without undue hardship to (2) The general subject matter of the document
obtain the substantial equivalent of the materials or electronically stored information;
by other means. In ordering discovery of such (3) The date of the document or electronically
materials when the required showing has been stored information;
made, the judicial authority shall not order disclo- (4) The author of the document or electronically
sure of the mental impressions, conclusions, opin- stored information;
ions, or legal theories of an attorney or other (5) Each recipient of the document or electroni-
representative of a party concerning the litigation. cally stored information; and
(b) A party may obtain, without the showing (6) The nature of the privilege or protection
required under this section, discovery of the par- asserted.
ty’s own statement and of any nonprivileged state- The privilege log shall initially be served upon
ment of any other party concerning the action or all parties but not filed in court.
its subject matter. If the information called for by one or more of
(c) A party may obtain, without the showing the foregoing categories is itself privileged, it need
required under this section, discovery of any not be disclosed. However, the existence of the
recording, by film, photograph, videotape, audio- document and any nonprivileged information
tape or any other digital or electronic means, of called for by the other categories must be dis-
the requesting party and of any recording of any closed.
other party concerning the action or the subject A privilege log must be prepared with respect
matter, thereof, including any transcript of such to all documents and electronically stored infor-
recording. A party may obtain information identi- mation withheld on the basis of a claim of privilege
fying any such recording and transcript, if one was or work product protection, except for the follow-
created, prior to the deposition of the party who ing: written or electronic communications after
is the subject of the recording; but the person from commencement of the action between a party and
whom discovery is sought shall not be required the firm or lawyer appearing for the party in the
to produce the recording or transcript until thirty action or as otherwise ordered by the judicial
days after the completion of the deposition of the authority.
party who is the subject of the recording or sixty (P.B. 1978-1997, Sec. 219.) (Amended June 29, 2007, to
days prior to the date the case is assigned to effect Jan. 1, 2014.)
commence trial, whichever is earlier; except that
if a deposition of the party who is the subject of Sec. 13-4. —Experts
the recording was not taken, the recording and (a) A party shall disclose each person who may
transcript shall be produced sixty days prior to the be called by that party to testify as an expert wit-
date the case is assigned to commence trial. If a ness at trial, and all documents that may be
recording was created within such sixty day offered in evidence in lieu of such expert testi-
period, the recording and transcript must be pro- mony, in accordance with this section. The
duced immediately. No such recording or tran- requirements of Section 13-15 shall apply to dis-
script is required to be identified or produced if closures made under this section.
neither it nor any part thereof will be introduced (b) A party shall file with the court and serve
into evidence at trial. However, if any such upon counsel a disclosure of expert witnesses
recording or part or transcript thereof is required which identifies the name, address and employer
to be identified or produced, all recordings and of each person who may be called by that party
transcripts thereof of the subject of the recording to testify as an expert witness at trial, whether
party shall be identified and produced, rather than through live testimony or by deposition. In addi-
only those recordings, or transcripts or parts tion, the disclosure shall include the following
thereof that the producing party intends to use or information:
introduce at trial. (1) Except as provided in subdivision (2) of this
(d) When a claim of privilege or work product subsection, the field of expertise and the subject
protection has been asserted pursuant to Sec- matter on which the witness is expected to offer
tions 13-5 or 13-10 in response to a discovery expert testimony; the expert opinions to which the
request for documents or electronically stored witness is expected to testify; and the substance
information, the party asserting the privilege or of the grounds for each such expert opinion. Dis-
protection shall provide, within forty-five days from closure of the information required under this sub-
the request of the party serving the discovery, the section may be made by making reference in the
following information in the form of a privilege log: disclosure to, and contemporaneously producing
212
to all parties, a written report of the expert witness deposition procedure generally. Nothing con-
containing such information. The parties shall not tained in subsection (b) of this section shall impair
file the expert’s written report with the court. the right of any party from exercising that party’s
(2) If the witness to be disclosed hereunder rights under the rules of practice to subpoena or to
is a health care provider who rendered care or request production of any materials, to the extent
treatment to the plaintiff, and the opinions to be otherwise discoverable, in addition to those pro-
offered hereunder are based upon that provider’s duced under subsection (b) of this section, in con-
care or treatment, then the disclosure obligations nection with the deposition of any expert witness,
under this section may be satisfied by disclosure nor shall anything contained herein impair the
to the parties of the medical records and reports right of a party to raise any objections to any
of such care or treatment. A witness disclosed request for production of documents sought here-
under this subsection shall be permitted to offer under to the extent that a claim of privilege exists.
expert opinion testimony at trial as to any opinion (2) Unless otherwise ordered by the judicial
as to which fair notice is given in the disclosed authority for good cause shown, or agreed upon
medical records or reports. Expert testimony by the parties, the fees and expenses of the expert
regarding any opinion as to which fair notice is not witness for any such deposition, excluding prepa-
given in the disclosed medical records or reports ration time, shall be paid by the party or parties
must be disclosed in accordance with subdivision taking the deposition. Unless otherwise ordered,
(1) of subsection (b) of this section. The parties the fees and expenses hereunder shall include
shall not file the disclosed medical records or dis- only (A) a reasonable fee for the time of the wit-
closed medical reports with the court. ness to attend the deposition itself and the wit-
(3) Except for an expert witness who is a health ness’ travel time to and from the place of
care provider who rendered care or treatment to deposition; and (B) the reasonable expenses
the plaintiff, or unless otherwise ordered by the actually incurred for travel to and from the place
judicial authority or agreed upon by the parties, of deposition and lodging, if necessary. If the par-
the party disclosing an expert witness shall, upon ties are unable to agree on the fees and expenses
the request of an opposing party, produce to all due under this subsection, the amount shall be
other parties all materials obtained, created and/ set by the judicial authority, upon motion.
or relied upon by the expert in connection with (d) (1) A party shall file with the court a list of
his or her opinions in the case within fourteen all documents or records that the party expects
days prior to that expert’s deposition or within to submit in evidence pursuant to any statute or
such other time frame determined in accordance rule permitting admissibility of documentary evi-
with the Schedule for Expert Discovery prepared dence in lieu of the live testimony of an expert
pursuant to subsection (g) of this section. If any witness. The list filed hereunder shall identify such
such materials have already been produced to documents or records with sufficient particularity
the other parties in the case, then a list of such that they shall be easily identified by the other
materials, made with sufficient particularity that parties. The parties shall not file with the court a
the materials can be easily identified by the par- copy of the documents or records on such list.
ties, shall satisfy the production requirement here- (2) Unless otherwise ordered by the judicial
under with respect to those materials. If an expert authority upon motion, a party may take the depo-
witness otherwise subject to this subsection is sition of any expert witness whose records are
not being compensated in that capacity by or on disclosed pursuant to subdivision (1) of subsec-
behalf of the disclosing party, then that party may tion (d) of this section in the manner prescribed
give written notice of that fact in satisfaction of in Section 13-26 et seq. governing deposition pro-
the obligations imposed by this subsection. If such cedure generally. Nothing contained in subsection
notice is provided, then it shall be the duty of the (d) of this section shall impair the right of any party
party seeking to depose such expert witness to from exercising that party’s rights under the rules
obtain the production of the requested materials of practice to subpoena or to request production
by subpoena or other lawful means. of any materials, to the extent otherwise dis-
(4) Nothing in this section shall prohibit any coverable, in addition to those produced under
witness disclosed hereunder from offering nonex- subsection (d), in connection with the deposition
pert testimony at trial. of any expert witness.
(c) (1) Unless otherwise ordered by the judicial (3) Unless otherwise ordered by the judicial
authority upon motion, a party may take the depo- authority for good cause shown, or agreed upon
sition of any expert witness disclosed pursuant by the parties, the fees and expenses of the expert
to subsection (b) of this section in the manner witness for any such deposition, excluding prepa-
prescribed in Section 13-26 et seq. governing ration time, shall be paid by the party or parties
213
taking the deposition. Unless otherwise ordered, (2) If a party is added or appears in a case after
the fees and expenses hereunder shall include the proposed Schedule for Expert Discovery is
only (A) a reasonable fee for the time of the wit- filed, then an amended proposed Schedule for
ness to attend the deposition itself and the wit- Expert Discovery shall be prepared and filed for
ness’ travel time to and from the place of approval by the court within sixty days after such
deposition; and (B) the reasonable expenses new party appears, or at such other time as the
actually incurred for travel to and from the place court may order.
of deposition and lodging, if necessary. If the par- (3) Unless otherwise ordered by the court, dis-
ties are unable to agree on the fees and expenses closure of any expert witness under subsection
due under this subsection, the amount shall be (e) hereof shall be made within thirty days of the
set by the judicial authority, upon motion. event giving rise to the need for that party to adopt
(e) If any party expects to call as an expert the expert disclosure as its own (e.g., the with-
witness at trial any person previously disclosed drawal or dismissal of the party originally disclos-
by any other party under subsection (b) hereof, ing the expert).
the newly disclosing party shall file a notice of (4) The parties, by agreement, may modify the
disclosure: (1) stating that the party adopts all or approved Schedule for Expert Discovery or any
a specified part of the expert disclosure already on other time limitation under this section so long as
file; and (2) disclosing any other expert opinions to the modifications do not interfere with an assigned
which the witness is expected to testify and the trial date. A party who wishes to modify the
substance of the grounds for any such expert approved Schedule for Expert Discovery or other
opinion. Such notice shall be filed within the time time limitation under this section without
parameters set forth in subsection (g). agreement of the parties may file a motion for
(f) A party may discover facts known or opinions modification with the court stating the reasons
held by an expert who had been retained or spe- therefor. Said motion shall be granted if: (i) the
cially employed by another party in anticipation requested modification will not cause undue preju-
of litigation or preparation for trial and who is not dice to any other party; (ii) the requested modifica-
expected to be called as a witness at trial only as tion will not cause undue interference with the trial
provided in Section 13-11 or upon a showing of schedule in the case; and (iii) the need for the
exceptional circumstances under which it is requested modification was not caused by bad
impracticable for the party seeking discovery to faith delay of disclosure by the party seeking modi-
obtain facts or opinions on the same subject by fication.
other means. (h) A judicial authority may, after a hearing,
(g) Unless otherwise ordered by the judicial impose sanctions on a party for failure to comply
authority, or otherwise agreed by the parties, the with the requirements of this section. An order
following schedule shall govern the expert discov- precluding the testimony of an expert witness may
ery required under subsections (b), (c), (d) and be entered only upon a finding that: (1) the sanc-
(e) of this section. tion of preclusion, including any consequence
(1) Within 120 days after the return date of any thereof on the sanctioned party’s ability to prose-
civil action, or at such other time as the parties cute or to defend the case, is proportional to the
may agree or as the court may order, the parties noncompliance at issue, and (2) the noncompli-
shall submit to the court for its approval a pro- ance at issue cannot adequately be addressed
posed Schedule for Expert Discovery, which, by a less severe sanction or combination of
upon approval by the court, shall govern the timing sanctions.
of expert discovery in the case. This schedule (i) The revisions to this rule adopted by the
shall be submitted on a ‘‘Schedule for Expert Dis- judges of the superior court in June, 2008, effec-
covery’’ form prescribed by the office of the chief tive on January 1, 2009, and the revisions to this
court administrator. The deadlines proposed by rule adopted by the judges of the superior court
the parties shall be realistic and reasonable, tak- in June, 2009, and March, 2010, shall apply to
ing into account the nature and relative complexity cases commenced on or after January 1, 2009.
of the case, the need for predicate discovery and The version of this rule in effect on December
the estimated time until the case may be exposed 31, 2008, shall apply to cases commenced on or
for trial. If the parties are unable to agree on dis- before that date.
covery deadlines, they shall so indicate on the take effect Jan. 1, 2009; amended June 22, 2009, to take
proposed Schedule for Expert Discovery, in which effect Sept. 1, 2009; amended June 21, 2010, to take effect
event the court shall convene a scheduling confer- Jan. 1, 2011; amended June 15, 2012, to take effect Jan.
ence to set those deadlines. 1, 2013.)
214
Sec. 13-5. —Protective Order that were not served electronically and in a format
Upon motion by a party from whom discovery that allows the recipient to electronically insert the
is sought, and for good cause shown, the judicial answers in the transmitted document, the answer
authority may make any order which justice shall be continued on a separate sheet of paper
requires to protect a party from annoyance, which shall be attached to the completed answers.
embarrassment, oppression, or undue burden or (b) Interrogatories may relate to any matters
expense, including one or more of the following: which can be inquired into under Sections 13-2
(1) that the discovery not be had; (2) that the through 13-5 and the answers may be used at trial
discovery may be had only on specified terms and to the extent permitted by the rules of evidence. In
conditions, including a designation of the time or all personal injury actions alleging liability based
place; (3) that the discovery may be had only by on the operation or ownership of a motor vehicle
a method of discovery other than that selected or alleging liability based on the ownership, main-
by the party seeking discovery; (4) that certain tenance or control of real property, the interroga-
matters not be inquired into, or that the scope of tories shall be limited to those set forth in Forms
the discovery be limited to certain matters; (5) 201, 202, 203, 208 and/or 210 of the rules of
that discovery be conducted with no one present practice, unless upon motion, the judicial authority
except persons designated by the judicial author- determines that such interrogatories are inappro-
ity; (6) that a deposition after being sealed be priate or inadequate in the particular action. These
opened only by order of the judicial authority; (7) forms are set forth in the Appendix of Forms in
that a trade secret or other confidential research, this volume. Unless the judicial authority orders
development, or commercial information not be otherwise, the frequency of use of interrogatories
disclosed or be disclosed only in a designated in all actions except those for which interrogato-
way; (8) that the parties simultaneously file speci- ries have been set forth in Forms 201, 202, 203,
fied documents or information enclosed in sealed 208 and/or 210 of the rules of practice is not
envelopes to be opened as directed by the judicial limited.
authority; (9) specified terms and conditions relat- (c) In lieu of serving the interrogatories set forth
ing to the discovery of electronically stored infor- in Forms 201, 202, 203, 208 and/or 210 of the
mation including the allocation of expense of the rules of practice on a party who is represented
discovery of electronically stored information, tak- by counsel, the moving party may serve on such
ing into account the amount in controversy, the party a notice of interrogatories, which shall not
resources of the parties, the importance of the include the actual interrogatories to be answered,
issues, and the importance of the requested dis- but shall instead set forth the number of the Prac-
covery in resolving the issues. tice Book form containing such interrogatories and
(P.B. 1978-1997, Sec. 221.) (Amended June 20, 2011, to the name of the party to whom the interrogatories
take effect Jan. 1, 2012.) are directed. The party to whom such notice is
Sec. 13-6. Interrogatories; In General directed shall in his or her response set forth each
interrogatory immediately followed by that party’s
(a) In any civil action, in any probate appeal, or answer thereto.
in any administrative appeal where the judicial
(d) The party serving interrogatories or the
authority finds it reasonably probable that evi-
notice of interrogatories shall not file them with
dence outside the record will be required, any
the court.
party may serve in accordance with Sections 10-
12 through 10-17 written interrogatories, which (e) Unless leave of court is granted, the instruc-
may be in electronic format, upon any other party tions to Forms 201 through 203 are to be used
to be answered by the party served. Written inter- for all nonstandard interrogatories.
rogatories may be served upon any party without take effect Jan. 1, 2000; amended Aug. 24, 2001, to take
leave of the judicial authority at any time after the effect Jan. 1, 2002; amended June 30, 2008, to take effect
return day. Except as provided in subsection (c) or Jan. 1, 2009; amended June 14, 2013, to take effect Jan.
where the interrogatories are served electronically 1, 2014.)
as provided in Section 10-13 and in a format that
allows the recipient to electronically insert the Sec. 13-7. —Answers to Interrogatories
answers in the transmitted document, the party (a) Any such interrogatories shall be answered
serving interrogatories shall leave sufficient space under oath by the party to whom directed and
following each interrogatory in which the party to such answers shall not be filed with the court but
whom the interrogatories are directed can insert shall be served within thirty days after the date of
the answer. In the event that an answer requires certification of service, in accordance with Sec-
more space than that provided on interrogatories tions 10-12 through 10-17, of the interrogatories
215
or, if applicable, the notice of interrogatories on making them and shall be filed with the court pur-
the answering party, unless: suant to Section 13-7. No objection may be filed
(1) Counsel file with the court a written stipula- with respect to interrogatories which have been
tion extending the time within which answers or set forth in Forms 201, 202, 203, 208 and/or 210
objections may be served; or of the rules of practice for use in connection with
(2) The party to whom the interrogatories are Section 13-6.
directed, after service in accordance with Sections (b) No objections to interrogatories shall be
10-12 through 10-17, files a request for extension placed on the short calendar list until an affidavit
of time, for not more than thirty days, within the by either counsel is filed certifying that bona fide
initial thirty-day period. Such request shall be attempts have been made to resolve the differ-
deemed to have been automatically granted by ences concerning the subject matter of the objec-
the judicial authority on the date of filing, unless tion and that counsel have been unable to reach
within ten days of such filing the party who has an accord. The affidavit shall set forth the date of
served the interrogatories or the notice of interrog- the objection, the name of the party who filed the
atories shall file objection thereto. A party shall objection and the name of the party to whom the
be entitled to one such request for each set of objection was addressed. The affidavit shall also
interrogatories directed to that party; or recite the date, time and place of any conference
(3) Upon motion, the judicial authority allows a held to resolve the differences and the names of
longer time; or all persons participating therein or, if no confer-
(4) Objections to the interrogatories and the ence has been held, the reasons for the failure
reasons therefor are filed and served within the to hold such a conference. If any objection to an
thirty-day period. interrogatory is overruled, the interrogatory shall
(b) A party objecting to one or more interrogato- be answered, and the answer served within
ries shall file an objection in accordance with Sec- twenty days after the judicial authority ruling
tion 13-8. unless otherwise ordered by the judicial authority.
(c) Objection by a party to certain of the interrog- (c) An interrogatory otherwise proper is not
atories directed to such party shall not relieve that objectionable merely because it involves more
party of the obligation to answer the interrogato- than one fact or relates to the application of law
ries to which he or she has not objected within to facts.
the thirty-day period. All answers to interrogato- (P.B. 1978-1997, Sec. 225.) (Amended Aug. 24, 2001, to
ries shall repeat immediately before each answer take effect Jan. 1, 2002; amended June 20, 2011, to take
the interrogatory being answered. Answers are to effect Jan. 1, 2012; amended June 14, 2013, to take effect
Jan. 1, 2014.)
be signed by the person making them. The party
serving the interrogatories or the notice of inter- Sec. 13-9. Requests for Production, Inspec-
rogatories may move for an order under Section tion and Examination; In General
13-14 with respect to any failure to answer.
(a) In any civil action, in any probate appeal, or
take effect Jan. 1, 2000; amended June 20, 2011, to take in any administrative appeal where the judicial
effect Jan. 1, 2012; amended June 12, 2015, to take effect authority finds it reasonably probable that evi-
Jan. 1, 2016.) dence outside the record will be required, any
HISTORY—2016: Prior to 2016, the second sentence of party may serve in accordance with Sections 10-
subsection (a) (2) read: ‘‘Such request shall contain a certifica- 12 through 10-17 upon any other party a request
tion by the requesting party that the case has not been
assigned for trial.’’ That sentence has been deleted.
to afford the party submitting the request the
COMMENTARY—2016: This section currently provides opportunity to inspect, copy, photograph or other-
that a request for a thirty day discovery extension ‘‘shall contain wise reproduce designated documents or to
a certification by the requesting party that the case has not inspect and copy, test or sample any tangible
been assigned for trial.’’ With the recent amendment of Section things in the possession, custody or control of the
14-8 (a) and the advent of the individualized calendaring sys- party upon whom the request is served or to permit
tem (IndiCal), trial dates are being assigned shortly after the
cases are filed. The revision to this section eliminates that
entry upon designated land or other property for
requirement which otherwise prevents the filing of requests the purpose of inspection, measuring, surveying,
for extension of time. photographing, testing or sampling the property
or any designated object or operation thereon.
Sec. 13-8. —Objections to Interrogatories Such requests will be governed by the provisions
(a) Objections to interrogatories shall be imme- of Sections 13-2 through 13-5. In all personal
diately preceded by the interrogatory objected to, injury actions alleging liability based on the opera-
shall set forth reasons for the objection, shall be tion or ownership of a motor vehicle or alleging
signed by the attorney or self-represented party liability based on the ownership, maintenance or
216
control of real property, the requests for produc- obtain such authorization in actions to which
tion shall be limited to those set forth in Forms Forms 204 and 205 of the rules of practice apply.
204, 205, 206, 209 and/or 211 of the rules of (P.B. 1978-1997, Sec. 227.) (Amended June 28, 1999, to
practice, unless, upon motion, the judicial author- take effect Jan. 1, 2000; amended Aug. 24, 2001, to take
ity determines that such requests for production Jan. 1, 2006; amended June 20, 2011, to take effect Jan. 1,
are inappropriate or inadequate in the particular 2012; amended June 14, 2013, to take effect Jan. 1, 2014.)
action. These forms are set forth in the Appendix
of Forms in this volume. Sec. 13-10. —Responses to Requests for
(b) Requests for production may be served Production; Objections
upon any party without leave of court at any time (a) The party to whom the request is directed
after the return day. In lieu of serving the requests or such party’s attorney shall serve a written
for production set forth in Forms 204, 205, 206, response, which may be in electronic format,
209 and/or 211 of the rules of practice on a party within thirty days after the date of certification of
who is represented by counsel, the moving party service, in accordance with Sections 10-12
may serve on such party a notice of requests through 10-17, of the request or, if applicable, the
for production, which shall not include the actual notice of requests for production on the
requests, but shall instead set forth the number responding party, unless:
of the Practice Book form containing such (1) Counsel file with the court a written stipula-
requests and the name of the party to whom the tion extending the time within which responses
may be served; or
requests are directed.
(2) The party to whom the requests for produc-
(c) The request shall clearly designate the items tion are directed, after service in accordance with
to be inspected either individually or by category. Sections 10-12 through 10-17, files a request for
The request or, if applicable, the notice of requests extension of time, for not more than thirty days,
for production shall specify a reasonable time, within the initial thirty-day period. Such request
place and manner of making the inspection. shall be deemed to have been automatically
Unless the judicial authority orders otherwise, the granted by the judicial authority on the date of
frequency of use of requests for production in filing, unless within ten days of such filing the party
all actions except those for which requests for who has served the requests for production or the
production have been set forth in Forms 204, 205, notice of requests for production shall file objec-
206, 209 and/or 211 of the rules of practice is tion thereto. A party shall be entitled to one such
not limited. request for each set of requests for production
(d) If information has been electronically stored, served upon that party; or
and if a request for production does not specify (3) Upon motion, the court allows a longer time.
a form for producing a type of electronically stored (b) The response of the party shall be inserted
information, the responding party shall produce directly on the original request served in accord-
the information in a form in which it is ordinarily ance with Section 13-9 and shall state, with
maintained or in a form that is reasonably usable. respect to each item or category, that inspection
A party need not produce the same electronically and related activities will be permitted as
stored information in more than one form. requested, unless the request or any part thereof
(e) The party serving such request or notice of is objected to. If, pursuant to subsection (b) of
requests for production shall not file it with the Section 13-9, a notice of requests for production
court. is served in lieu of requests for production, the
party to whom such notice is directed shall in
(f) Unless leave of court is granted, the instruc- his or her response set forth each request for
tions to Forms 204 through 206 of the rules of production immediately followed by that party’s
practice are to be used for all nonstandard response thereto. No objection may be filed with
requests for production. respect to requests for production set forth in
(g) A party seeking the production of a written Forms 204, 205, 206, 209 and/or 211 of the rules
authorization in compliance with the Health Insur- of practice for use in connection with Section 13-
ance Portability and Accountability Act to inspect 9. Where a request calling for submission of cop-
and make copies of protected health information, ies of documents is not objected to, those copies
or a written authorization in compliance with the shall be appended to the copy of the response
Public Health Service Act to inspect and make served upon the party making the request. A party
copies of alcohol and drug records that are pro- objecting to one or more requests shall file an
tected by that act, shall file a motion pursuant to objection to the request. Objections to requests
Section 13-11A. A motion need not be filed to for production shall be immediately preceded by
217
the request objected to, shall set forth reasons order the party to submit to a physical or mental
for the objection, shall be signed by the attorney examination by a physician or to produce for
or self-represented party making them and shall examination the person in the party’s custody or
be filed with the court. Objection by a party to legal control.
certain parts of the request shall not relieve that (b) In the case of an action to recover damages
party of the obligation to respond to those portions for personal injuries, any party adverse to the
to which that party has not objected within the plaintiff may file and serve in accordance with
thirty-day period. The party serving the request Sections 10-12 through 10-17 a request that the
or the notice of requests for production may move plaintiff submit to a physical or mental examination
for an order under Section 13-14 with respect to at the expense of the requesting party. That
any failure on the part of the party to whom the request shall specify the time, place, manner, con-
request or notice is addressed to respond. ditions and scope of the examination and the per-
(c) No objection to any such request shall be son or persons by whom it is to be made. Any
placed on the short calendar list until an affidavit such request shall be complied with by the plaintiff
by either counsel is filed certifying that bona fide unless, within ten days from the filing of the
attempts have been made to resolve the differ- request, the plaintiff files in writing an objection
ences concerning the subject matter of the objec- thereto specifying to which portions of said
tion and that counsel have been unable to reach request objection is made and the reasons for
an accord. The affidavit shall set forth the date of said objection. The objection shall be placed on
the objection, the name of the party who filed the the short calendar list upon the filing thereof. The
objection and the name of the party to whom the judicial authority may make such order as is just
objection was addressed. The affidavit shall also in connection with the request. No plaintiff shall
recite the date, time and place of any conference be compelled to undergo a physical or mental
held to resolve the differences and the names of examination by any physician to whom he or she
all persons participating therein, or, if no confer-
objects in writing.
ence has been held, the reasons for the failure
to hold such a conference. If an objection to any (c) In any other case, such order may be made
part of a request for production is overruled, com- only on motion for good cause shown to be heard
pliance with the request shall be made at a time at short calendar. The motion shall specify the
to be set by the judicial authority. time, place, manner, conditions and scope of the
(P.B. 1978-1997, Sec. 227.) (Amended June 28, 1999, to examination and the person or persons by whom
take effect Jan. 1, 2000; amended Aug. 24, 2001, to take it is to be made.
effect Jan. 1, 2002; amended June 30, 2008, to take effect (d) If requested by the party against whom an
Jan. 1, 2009; amended June 20, 2011, to take effect Jan. 1, order is made under this rule, or who has volunta-
2012; amended June 14, 2013, to take effect Jan. 1, 2014;
rily agreed to an examination, the party causing
HISTORY—2016: Prior to 2016, the second sentence of the examination to be made shall deliver to such
subsection (a) (2) read: ‘‘Such request shall contain a certifica- party a copy of a written report of the examining
tion by the requesting party that the case has not been physician, setting out the findings, including
assigned for trial.’’ That sentence has been deleted. results of all tests made, diagnoses and conclu-
COMMENTARY—2016: This section provided that a sions, together with like reports of all earlier exam-
request for a thirty day discovery extension ‘‘shall contain a
certification by the requesting party that the case has not been inations of the same condition. After delivery, the
assigned for trial.’’ With the 2014 amendment of Section 14- party causing the examination shall be entitled
8 (a) and the advent of the individualized calendaring system upon request to receive from the party against
(IndiCal), trial dates are being assigned shortly after the cases whom the order is made, or who has voluntarily
are filed. The revision to this section eliminates that require- agreed to an examination, a like report of any
ment, which otherwise prevents the filing of requests for exten-
sion of time. examination, previously or thereafter made, of the
same condition. The judicial authority on motion
Sec. 13-11. —Physical or Mental Exami- may make an order requiring delivery by a party
nation of a report on such terms as are just, and if a
(a) In any civil action, in any probate appeal, or physician fails or refuses to make a report, the
in any administrative appeal where the judicial judicial authority may exclude the physician’s tes-
authority finds it reasonably probable that evi- timony if offered at the trial.
dence outside the record will be required, in which (e) By requesting and obtaining a report of the
the mental or physical condition of a party, or of examination so ordered or by taking the deposi-
a person in the custody of or under the legal con- tion of the examiner, the party examined waives,
trol of a party, is material to the prosecution or in that action, or in any other action involving the
defense of said action, the judicial authority may same controversy, any privilege he or she may
218
have regarding the testimony of every other per- (b) A motion to disclose pursuant to this section
son who has examined or may thereafter examine may be made by filing it with the application for
the party in respect to the same mental or physi- a prejudgment remedy or may be made at any
cal condition. time after the filing of the application.
(f) This section does not preclude discovery of (c) The judicial authority may order disclosure
a report of an examining physician or the taking at any time prior to final judgment after it has
of a deposition of the physician in accordance with determined that the party filing the motion for dis-
the provisions of any other section of this chapter. closure has, pursuant to either General Statutes
(P.B. 1978-1997, Sec. 229.) (Amended June 21, 2010, to §§ 52-278d, 52-278e or 52-278i, probable cause
take effect Jan. 1, 2011.) sufficient for the issuance of a prejudgment
remedy.
Sec. 13-11A. —Motion for Authorization to
(d) Any party, in lieu of disclosing assets pursu-
Obtain Protected Health Information ant to subsection (a), may move the judicial
The judicial authority may, on motion of a party authority for substitution either of a bond with
and for good cause shown, order a party to pro- surety substantially in compliance with General
vide a written authorization sufficient to comply Statutes §§ 52-307 and 52-308 or of other suffi-
with the provisions of the Health Insurance Porta- cient security.
bility and Accountability Act, as that act may from (P.B. 1978-1997, Sec. 230A.) (Amended June 20, 2011,
time to time be amended, to inspect and make to take effect Jan. 1, 2012.)
copies of protected health information.
The judicial authority may, on application of a Sec. 13-14. Order for Compliance; Failure to
Answer or Comply with Order
party that is in compliance with the provisions of
the Public Health Service Act and for good cause (a) If any party has failed to answer interrogato-
shown, order a party to provide a written authori- ries or to answer them fairly, or has intentionally
zation sufficient to comply with the provisions of answered them falsely or in a manner calculated
said act, as that act may from time to time be to mislead, or has failed to respond to requests
amended, to inspect and make copies of alcohol for production or for disclosure of the existence
and drug records that are protected by that act. and contents of an insurance policy or the limits
(Adopted June 20, 2005, to take effect Jan. 1, 2006.) thereof, or has failed to submit to a physical or
mental examination, or has failed to comply with
Sec. 13-12. Disclosure of Amount and Provi- a discovery order made pursuant to Section 13-
sions of Insurance Liability Policy 13, or has failed to comply with the provisions of
In any civil action the existence, contents and Section 13-15, or has failed to appear and testify
policy limits of any insurance policy under which at a deposition duly noticed pursuant to this chap-
any insurer may be liable to satisfy part or all of ter, or has failed otherwise substantially to comply
a judgment which may be rendered in the action with any other discovery order made pursuant to
against any party or to indemnify or reimburse Sections 13-6 through 13-11, the judicial authority
any defendant for payments made to satisfy the may, on motion, make such order as the ends of
judgment shall be subject to discovery by any justice require.
party by interrogatory or request for production (b) Such orders may include the following:
under Sections 13-6 through 13-11. Information (1) The entry of a nonsuit or default against the
concerning the insurance agreement is not by rea- party failing to comply;
son of disclosure admissible in evidence at trial. (2) The award to the discovering party of the
(P.B. 1978-1997, Sec. 230.) costs of the motion, including a reasonable attor-
ney’s fee;
Sec. 13-13. Disclosure of Assets in Cases in (3) The entry of an order that the matters
Which Prejudgment Remedy Sought regarding which the discovery was sought or other
(a) The judicial authority may, on motion, order designated facts shall be taken to be established
any appearing party against whom a prejudgment for the purposes of the action in accordance with
remedy has been granted to disclose property in the claim of the party obtaining the order;
which the party has an interest or debts owing (4) The entry of an order prohibiting the party
to the party sufficient to satisfy a prejudgment who has failed to comply from introducing desig-
remedy. The existence, location and extent of a nated matters in evidence;
party’s interest in such property or debts shall be (5) If the party failing to comply is the plaintiff,
subject to disclosure after hearing on the motion the entry of a judgment of dismissal.
for disclosure. The form and terms of disclosure (c) The failure to comply as described in this
shall be determined by the judicial authority. section may not be excused on the ground that the
219
discovery is objectionable unless written objection Sec. 13-19. Disclosure of Defense

as authorized by Sections 13-6 through 13-11 has In any action to foreclose or to discharge any
been filed. mortgage or lien or to quiet title, or in any action
(d) The failure to comply as described in this upon any written contract, in which there is an
section shall be excused and the judicial authority appearance by an attorney for any defendant, the
may not impose sanctions on a party for failure plaintiff may at any time file and serve in accord-
to provide information, including electronically ance with Sections 10-12 through 10-17 a written
stored information, lost as the result of the routine, demand that such attorney present to the court,
good-faith operation of a system or process in to become a part of the file in such case, a writing
the absence of a showing of intentional actions signed by the attorney stating whether he or she
designed to avoid known preservation obligations. 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
Sec. 13-15. Continuing Duty to Disclose with a general statement of the nature or sub-
If, subsequent to compliance with any request stance of such defense. If the defendant fails to
or order for discovery and prior to or during trial, disclose a defense within ten days of the filing of
a party discovers additional or new material or such demand in any action to foreclose a mort-
information previously requested and ordered gage or lien or to quiet title, or in any action upon
subject to discovery or inspection or discovers any written contract, the plaintiff may file a written
that the prior compliance was totally or partially motion that a default be entered against the
incorrect or, though correct when made, is no defendant by reason of the failure of the defendant
longer true and the circumstances are such that to disclose a defense. If no disclosure of defense
a failure to amend the compliance is in substance has been filed, the judicial authority may order
a knowing concealment, that party shall promptly judgment upon default to be entered for the plain-
notify the other party, or the other party’s attorney, tiff at the time the motion is heard or thereafter,
and file and serve in accordance with Sections provided that in either event a separate motion
10-12 through 10-17 a supplemental or cor- for such judgment has been filed. The motions
rected compliance. for default and for judgment upon default may
(P.B. 1978-1997, Sec. 232.) be served and filed simultaneously but shall be
separate motions.
Sec. 13-16. Orders by Judge (P.B. 1978-1997, Sec. 236.) (Amended June 22, 2009, to
Any order provided in this chapter to be made take effect Jan. 1, 2010; amended June 20, 2011, to take
by the court may be made by a judge thereof
when the court is not actually in session. Sec. 13-20. Discovery Sought by Judgment
(P.B. 1978-1997, Sec. 233.) Creditor
Sec. 13-17. Disclosure before Court or Com- (a) A judgment creditor may obtain discovery
mittee from the judgment debtor, or from any third person
Disclosures by garnishees and all other disclo- the judgment creditor reasonably believes, in
sures in civil actions not under Sections 13-2 good faith, may have assets of the judgment
through 13-16 may be made to the judicial author- debtor, or from any financial institution to the
ity or before a committee, as the judicial authority extent provided by this section, of any matters
may determine. relevant to satisfaction of the money judgment.
(P.B. 1978-1997, Sec. 234.) The judgment creditor shall commence any dis-
covery proceeding by serving interrogatories on
Sec. 13-18. Disclosures in Equity a form approved by the judges of the superior
Disclosures made in answer to complaints in court, or their designees, on the person from
the nature of bills of discovery in equity may be whom discovery is sought. Neither the interroga-
made either by sworn answers or before a com- tories nor a notice thereof shall be filed with the
mittee, as the judicial authority may determine. court. The interrogatories shall be in clear and
When either party in any action has obtained from simple language and shall be placed on the page
the other party a disclosure on oath, respecting in such manner as to leave space under each
the matters alleged in any pleading, the disclosure interrogatory for the person served to insert the
shall not be deemed conclusive, but may be con- answer. The person to whom interrogatories are
tradicted as any other testimony. (See General directed shall answer them and return them to the
Statutes § 52-200.) judgment creditor within thirty days of the date of
(P.B. 1978-1997, Sec. 235.) service. Answers to interrogatories served on a
220
judgment debtor shall be signed by such debtor (2) whether all applicable international treaties
under penalty of false statement. With respect to and conventions prohibit one or more specified
assets, the person served is required to reveal methods of discovery;
information concerning the amount, nature and (3) whether the method of discovery violates
location of the judgment debtor’s nonexempt the criminal law of the foreign nation involved;
assets up to an amount clearly sufficient in value (4) whether the foreign nation’s procedure will
to ensure full satisfaction of the judgment with allow the parties to directly apply to the foreign
interest and costs, provided disclosure shall be nation’s courts for judicial assistance in
first required as to assets subject to levy or foreclo- obtaining discovery;
sure within the state. If interrogatories are served (5) the importance of the requested documents
on a financial institution, the financial institution or other information to the litigation;
shall disclose only whether it holds funds of the (6) the degree of specificity of the request;
judgment debtor on account and the balance of (7) whether the information originated within the
such funds, up to the amount necessary to satisfy United States;
the judgment with interest and costs. (8) the availability of alternate means of
(b) On failure of a person served with interroga- obtaining the information;
tories to, within the thirty days, return a sufficient (9) the extent noncompliance with the request
answer or disclose sufficient assets for execution, would undermine important interests of the
or on objection by such person to the interrogato- United States;
ries, which objection shall not be filed with the (10) the extent compliance with the request
court by such person, the judgment creditor may would undermine important interests of the foreign
move the judicial authority for such supplemental nation involved;
discovery orders as may be necessary to ensure (11) whether the discovery sought, or the
disclosure including (1) an order for compliance method sought to be employed, is unreasonably
with the interrogatories or authorizing additional intrusive or burdensome under the circum-
interrogatories and (2) an order for production or stances;
for examination of the judgment debtor or third (12) whether the request can be modified to
person, provided any such examination shall be make it reasonable under the circumstances;
conducted before the judicial authority. The judi- (13) whether the foreign party is wholly or par-
cial authority may order such discovery as justice tially owned by a foreign nation or the instrumen-
requires provided the order shall contain a notice tality of a foreign nation;
that failure to comply therewith may subject the (14) the cost of compliance;
person served to being held in contempt of court. (15) whether the foreign country requires that
(c) On motion of a judgment debtor or third discovery be obtained through a judicial officer.
person from whom discovery is sought, and for (b) As used in this section, discovery includes
good cause shown, or on its own motion, the judi- the taking of testimony by deposition upon oral
cial authority may make any order which justice examination.
(P.B. 1978-1997, Sec. 236B.)
requires to protect such debtor or third person
from annoyance, embarrassment, oppression or Sec. 13-22. Admission of Facts and Execu-
undue burden or expense. tion of Writings; Requests for Admission
(d) The other provisions of this chapter shall (a) A party may serve in accordance with Sec-
not apply to discovery sought under this section. tions 10-12 through 10-17 upon any other party
(P.B. 1978-1997, Sec. 236A.) a written request, which may be in electronic for-
Sec. 13-21. Discovery Outside the United mat, for the admission, for purposes of the pend-
ing action only, of the truth of any matters relevant
States of America
to the subject matter of the pending action set
(a) If an applicable treaty or convention renders forth in the request that relate to statements or
discovery inadequate or inequitable but does not opinions of fact or of the application of law to
prohibit additional discovery, the judicial authority fact, including the existence, due execution and
may order, upon application of any party, discov- genuineness of any documents described in the
ery on such terms and conditions as the judicial request. The party serving a request for admission
authority deems just and equitable after consider- shall separately set forth each matter of which an
ing the following: admission is requested and unless the request is
(1) other methods of discovery specified or served electronically as provided in Section 10-
allowed in any applicable international treaty or 13 and in a format that allows the recipient to
convention, including any reservations; electronically insert the answers in the transmitted
221
document, shall leave sufficient space following unless such party states that he or she has made
each request in which the party to whom the reasonable inquiry and that the information known
requests are directed can insert an answer or or readily obtainable by him or her is insufficient
objection. Copies of documents shall be served to enable an admission or denial. A party who
with the request unless they have been or are considers that a matter of which an admission has
otherwise furnished or made available for inspec- been requested presents a genuine issue for trial
tion and copying. The request may, without leave may not, on that ground alone, object to the
of the judicial authority, be served upon any party request; the party may deny the matter or set forth
at any time after the return day. Unless the judicial reasons why he or she cannot admit or deny it.
authority orders otherwise, the frequency of use The responding party shall attach a cover sheet
of requests for admission is not limited. to the response which shall comply with Sections
(b) The party serving such request shall not file 4-1 and 4-2 and shall specify those requests to
it with the court but shall instead file a notice with which answers and objections are addressed.
the court which states that the party has served (b) The party who has requested the admission
a request for admission on another party, the may move to determine the sufficiency of the
name of the party to whom the request has been answer or objection. No such motion shall be
directed and the date upon which service in placed on the short calendar list until an affidavit
accordance with Sections 10-12 through 10-17 by either counsel is filed certifying that bona fide
was made. attempts have been made to resolve the differ-
(P.B. 1978-1997, Sec. 238.) (Amended June 30, 2008, to ences concerning the subject matter of the motion
take effect Jan. 1, 2009.) and that counsel have been unable to reach an
accord. Unless the judicial authority determines
Sec. 13-23. —Answers and Objections to that an objection is justified, it shall order that an
Requests for Admission answer be served. If the judicial authority deter-
(a) Each matter of which an admission is mines that an answer does not comply with the
requested is admitted unless, within thirty days requirements of this rule, it may order either that
after the filing of the notice required by Section the matter is admitted or that an amended answer
13-22 (b), or within such shorter or longer time be served. The judicial authority may, in lieu of
as the judicial authority may allow, the party to these orders, determine that final disposition of
whom the request is directed files and serves the request be made at a designated time prior
upon the party requesting the admission a written to trial.
answer or objection addressed to the matter, (P.B. 1978-1997, Sec. 239.) (Amended June 30, 2008, to
signed by the party or by his attorney. Any such take effect Jan. 1, 2009.)
answer or objection shall be inserted directly on Sec. 13-24. —Effect of Admission
the original request. In the event that an answer (a) Any matter admitted under this section is
or objection requires more space than that pro- conclusively established unless the judicial
vided on a request for admission that was not authority on motion permits withdrawal or amend-
served electronically and in a format that allows ment of the admission. The judicial authority may
the recipient to electronically insert the answers permit withdrawal or amendment when the pre-
in the transmitted document, it shall be continued sentation of the merits of the action will be sub-
on a separate sheet of paper which shall be served thereby and the party who obtained the
attached to the response. Documents sought to admission fails to satisfy the judicial authority that
be admitted by the request shall be filed with the withdrawal or amendment will prejudice such
response by the responding party only if they are party in maintaining his or her action or defense
the subject of an answer or objection. If objection on the merits. Any admission made by a party
is made, the reasons therefor shall be stated. The under this section is for the purpose of the pending
answer shall specifically deny the matter or set action only and is not an admission by him or her
forth in detail the reasons why the answering party for any other purpose nor may it be used against
cannot truthfully admit or deny the matter. A denial him or her in any other proceeding.
shall fairly meet the substance of the requested (b) The admission of any matter under this sec-
admission, and when good faith requires that a tion shall not be deemed to waive any objections
party qualify his or her answer or deny only a part to its competency or relevancy. An admission of
of the matter of which an admission is requested, the existence and due execution of a document,
such party shall specify so much of it as is true unless otherwise expressed, shall be deemed to
and qualify or deny the remainder. An answering include an admission of its delivery, and that it
party may not give lack of information or knowl- has not since been altered.
edge as a reason for failure to admit or deny (P.B. 1978-1997, Sec. 240.)
222
Sec. 13-25. —Expenses on Failure to Admit to be examined, the designation of the materials
If a party fails to admit the genuineness of any to be produced as set forth in the subpoena shall
document or the truth of any matter as requested be attached to or included in the notice.
herein, and if the party requesting the admissions (b) Leave of a judicial authority, granted with or
thereafter proves the genuineness of the docu- without notice, must be obtained only if the party
ment or the truth of the matter, such party may seeks to take a deposition prior to the expiration
apply to the court for an order requiring the other of twenty days after the return day, except that
party to pay the reasonable expenses incurred in leave is not required (1) if the adverse party has
making that proof, including reasonable attorney’s served a notice of the taking of a deposition or
fees. The judicial authority shall make the order has otherwise sought discovery, or (2) if special
unless it finds that such failure to admit was rea- notice is given as provided herein.
sonable. (c) Leave of a judicial authority is not required
(P.B. 1978-1997, Sec. 241.) for the taking of a deposition by a party if the
Sec. 13-26. Depositions; In General notice (1) states that the person to be examined
In addition to other provisions for discovery and is about to go out of this state, or is bound on a
subject to the provisions of Sections 13-2 through voyage to sea, and will be unavailable for exami-
13-5, any party who has appeared in a civil action, nation unless such person’s deposition is taken
in any probate appeal, or in any administrative before the expiration of twenty days after the
appeal where the judicial authority finds it reason- return day, and (2) sets forth facts to support the
ably probable that evidence outside the record statement. The party’s attorney shall sign the
will be required, may, at any time after the com- notice, and this signature constitutes a certifica-
mencement of the action or proceeding, in accord- tion by such attorney that to the best of his or her
ance with the procedures set forth in this chapter, knowledge, information and belief the statement
take the testimony of any person, including a and supporting facts are true.
party, by deposition upon oral examination. The (d) Whenever the whereabouts of any adverse
attendance of witnesses may be compelled by party is unknown, a deposition may be taken pur-
subpoena as provided in Section 13-28. The suant to Section 13-26 after such notice as the
attendance of a party deponent or of an officer, court, in which such deposition is to be used,
director, or managing agent of a party may be or, when such court is not in session, any judge
compelled by notice to the named person or such thereof, may direct.
person’s attorney in accordance with the require- (e) The judicial authority may for good cause
ments of Section 13-27 (a). The deposition of a shown increase or decrease the time for taking
person confined in prison may be taken only by the deposition.
leave of the judicial authority on such terms as (f) (1) The judicial authority may upon motion
the judicial authority prescribes. (See General order that the testimony at a deposition be
Statutes § 52-178.) recorded by other than stenographic means such
(P.B. 1978-1997, Sec. 243.) as by videotape, in which event the order shall
Sec. 13-27. —Notice of Deposition; General designate the manner of recording, preserving,
Requirements; Special Notice; Nonsteno- and filing the deposition, and may include other
graphic Recording; Production of Docu- provisions to assure that the recorded testimony
ments and Things; Deposition of will be accurate and trustworthy. If the order is
Organization made, a party may nevertheless arrange to have
(a) A party who desires to take the deposition a stenographic transcription made at the party’s
of any person upon oral examination shall give own expense.
reasonable notice in writing to every other party (2) Notwithstanding this section, a deposition
to the action. Such notice shall not be filed with may be recorded by videotape without prior court
the court but shall be served upon each party or approval if (i) any party desiring to videotape the
each party’s attorney in accordance with Sections deposition provides written notice of the videotap-
10-12 through 10-17. The notice shall state the ing to all parties in either the notice of deposition
time and place for taking the deposition, the name or other notice served in the same manner as a
and address of each person to be examined, if notice of deposition and (ii) the deposition is also
known, and, if the name is not known, a general recorded stenographically.
description sufficient to identify such person or (g) The notice to a party deponent may be
the particular class or group to which he or she accompanied by a request made in compliance
belongs and the manner of recording. If a sub- with Sections 13-9 through 13-11 for the produc-
poena duces tecum is to be served on the person tion of documents and tangible things at the taking
223
of the deposition. The procedure of Sections 13- party seeking to take such person’s deposition
9 through 13-11 shall apply to the request. has complied with the provisions of Sections 13-
(h) A party may in the notice and in the sub- 26 and 13-27.
poena name as the deponent a public or private (c) A subpoena issued for the taking of a deposi-
corporation or a partnership or an association or tion may command the person to whom it is
a governmental agency or a state officer in an directed to produce and permit inspection and
action arising out of the officer’s performance of copying of designated books, papers, documents
employment and designate with reasonable par- or tangible things which constitute or contain mat-
ticularity the matters on which examination is ters within the scope of the examination permitted
requested. The organization or state officer so by Sections 13-2 through 13-5. Unless otherwise
named shall designate one or more officers, direc- ordered by the court or agreed upon in writing
tors, or managing agents, or other persons who by the parties, any subpoena issued to a person
consent to testify on its behalf, and may set forth, commanding the production of documents or
for each person designated, the matters on which other tangible things at a deposition shall not
the person will testify. The persons so designated direct compliance within less than fifteen days
shall testify as to matters known or reasonably from the date of service thereof.
available to the organization. This subsection (d) The person to whom a subpoena is directed
does not preclude the taking of a deposition by may, within fifteen days after the service thereof
any other procedure authorized by the rules of or within such time as otherwise ordered by the
practice. court or agreed upon in writing by the parties,
take effect Jan. 1, 2001; amended June 22, 2009, to take serve upon the issuing authority designated in the
effect Jan. 1, 2010.) subpoena written objection to the inspection or
copying of any or all of the designated materials.
Sec. 13-28. —Persons before Whom Depo- If objection is made, the party at whose request
sition Taken; Subpoenas the subpoena was issued shall not be entitled to
(a) Within this state, depositions shall be taken inspect and copy the disputed materials except
before a judge or clerk of any court, notary public pursuant to an order of the court in which the
or commissioner of the superior court. In any other cause is pending. The party who requested the
state or country, depositions for use in a civil subpoena may, if objection has been made, move,
action, probate proceeding or administrative upon notice to the deponent, for an order at any
appeal within this state shall be taken before a time before or during the taking of the deposition.
notary public, of such state or country, a commis- (e) The court in which the cause is pending, or,
sioner appointed by the governor of this state, any if the cause is pending in a foreign court, the court
magistrate having power to administer oaths in in the judicial district wherein the subpoenaed per-
such state or country, or a person commissioned son resides, may, upon motion made promptly
by the court before which such action or proceed- and, in any event, at or before the time for compli-
ing is pending, or when such court is not in ses- ance specified in a subpoena authorized by sub-
sion, by any judge thereof. Any person so section (b) of this section, (1) quash or modify the
commissioned shall have the power by virtue of
subpoena if it is unreasonable and oppressive or
his or her commission to administer any neces-
if it seeks the production of materials not subject
sary oaths and to take testimony. Additionally, if
a deposition is to be taken out of the United States, to production under the provisions of subsection
it may be taken before any foreign minister, secre- (c) of this section, or (2) condition denial of the
tary of a legation, consul or vice-consul appointed motion upon the advancement by the party who
by the United States or any person by him or her requested the subpoena of the reasonable cost
appointed for the purpose and having authority of producing the materials being sought.
under the laws of the country where the deposition (f) If any person to whom a lawful subpoena is
is to be taken; and the official character of any issued under any provision of this section fails
such person may be proved by a certificate from without just excuse to comply with any of its terms,
the secretary of state of the United States. the court before which the cause is pending, or
(b) Each judge or clerk of any court, notary any judge thereof, or, if the cause is pending in
public or commissioner of the superior court, in a foreign court, the court in the judicial district
this state, may issue a subpoena, upon request, wherein the subpoenaed person resides, may
for the appearance of any witness before an offi- issue a capias and cause the person to be brought
cer authorized to administer oaths within this state before that court or judge, as the case may be,
to give testimony at a deposition subject to the and, if the person subpoenaed refuses to comply
provisions of Sections 13-2 through 13-5, if the with the subpoena, the court or judge may commit
224
the person to jail until he or she signifies a willing- examination shall be determined as if the resi-
ness to comply with it. dence of the deponent were the residence of
(g) Deposition of witnesses living in this state the party.
may be taken in like manner to be used as evi- (P.B. 1978-1997, Sec. 246.)
dence in a civil action or probate proceeding pend-
ing in any court of the United States or of any Sec. 13-30. —Deposition Procedure
other state of the United States or of any foreign (a) Examination and cross-examination of
country, on application of any party to such civil deponents may proceed as permitted at trial. The
action or probate proceeding. officer before whom the deposition is to be taken
(P.B. 1978-1997, Sec. 245.) (Amended June 21, 2004, to shall put the deponent on oath and shall person-
take effect Jan. 1, 2005.) ally, or by someone acting under the officer’s
direction, record the testimony of the deponent.
Sec. 13-29. —Place of Deposition The testimony shall be taken stenographically or
(a) Any party who is a resident of this state may recorded by any other means authorized in
be compelled by notice as provided in Section 13- accordance with Section 13-27 (f). If the testimony
27 (a) to give a deposition at any place within the is taken stenographically, it shall be transcribed
county of such party’s residence, or within thirty at the request of one of the parties.
miles of such residence, or at such other place (b) All objections made at the time of the exami-
as is fixed by order of the judicial authority. A nation to the qualifications of the officer taking the
plaintiff who is a resident of this state may also deposition, or to the manner of taking it, or to
be compelled by like notice to give a deposition the evidence presented, or to the conduct of any
at any place within the county where the action party, and any other objection to the proceedings,
is commenced or is pending. shall be noted by the officer upon the deposition.
(b) A plaintiff who is not a resident of this state Evidence objected to shall be taken subject to
may be compelled by notice under Section 13-27 the objections. Every objection raised during a
(a) to attend at the plaintiff’s expense an examina- deposition shall be stated succinctly and framed
tion in the county of this state where the action is so as not to suggest an answer to the deponent
commenced or is pending or at any place within and, at the request of the questioning attorney,
thirty miles of the plaintiff’s residence or within the shall include a clear statement as to any defect
county of his or her residence or in such other in form or other basis of error or irregularity. A
place as is fixed by order of the judicial authority. person may instruct a deponent not to answer
(c) A defendant who is not a resident of this only when necessary to preserve a privilege, to
state may be compelled: enforce a limitation directed by the court, or to
(1) By subpoena to give a deposition in any present a motion under subsection (c) of this sec-
county in this state in which the defendant is per- tion. In lieu of participating in the oral examination,
sonally served, or parties may serve written questions in a sealed
(2) By notice under Section 13-27 (a) to give a envelope on the party taking the deposition and
deposition at any place within thirty miles of the the party shall transmit the questions to the officer,
defendant’s residence or within the county of his who shall propound them to the witness and
or her residence or at such other place as is fixed record the answers verbatim.
by order of the judicial authority. (c) At any time during the taking of the deposi-
(d) A nonparty deponent may be compelled by tion, on motion of a party or of the deponent and
subpoena served within this state to give a deposi- upon a showing that the examination is being con-
tion at a place within the county of his or her ducted in bad faith or in such manner as unrea-
residence or within thirty miles of the nonparty sonably to annoy, embarrass, or oppress the
deponent’s residence, or if a nonresident of this deponent or party, the court in which the action
state within any county in this state in which he is pending may order the officer conducting the
or she is personally served, or at such other place examination forthwith to cease taking the deposi-
as is fixed by order of the judicial authority. tion, or may limit the scope and manner of the
(e) In this section, the terms ‘‘plaintiff’’ and taking of the deposition as provided in Section 13-
‘‘defendant’’ include officers, directors and man- 5. If the order made terminates the examination, it
aging agents of corporate plaintiffs and corporate shall be resumed thereafter only upon the order
defendants or other persons designated under of the court in which the action is pending.
Section 13-27 (h) as appropriate. (d) If requested by the deponent or any party,
(f) If a deponent is an officer, director or manag- when the testimony is fully transcribed the deposi-
ing agent of a corporate party, or other person tion shall be submitted to the deponent for exami-
designated under Section 13-27 (h), the place of nation and shall be read to or by the deponent.
225
Any changes in form or substance which the (g) The parties may stipulate in writing and file
deponent desires to make shall be entered upon with the court, or the court may upon motion order,
the deposition by the officer with a statement of that a deposition be taken by telephone, video-
the reasons given by the deponent for making conference, or other remote electronic means. For
them. The deposition shall then be signed by the the purposes of Sections 13-26 through 13-29
deponent certifying that the deposition is a true and this section, such a deposition is deemed
record of the deponent’s testimony, unless the taken at the place where the deponent is to
parties by stipulation waive the signing or the wit- answer questions. Except as otherwise provided
ness is ill or cannot be found or refuses to sign. in this subsection, the rules governing the prac-
If the deposition is not signed by the deponent tice, procedures and use of depositions shall
within thirty days after its submission to the depo- apply to remote electronic means depositions.
nent, the officer shall sign it and state on the The following additional rules, unless otherwise
record the fact of the waiver or of the illness or agreed in writing by the parties or ordered by the
absence of the deponent or the fact of the refusal
court, shall apply to depositions taken by remote
or failure to sign together with the reason, if any,
given therefor; and the deposition may then be electronic means:
used as fully as though signed unless, on a motion (1) The deponent shall be in the presence of
to suppress under Section 13-31 (c) (4), the judi- the officer administering the oath and recording
cial authority holds that the reasons given for the the deposition.
refusal or failure to sign require rejection of the (2) Any exhibits or other demonstrative evi-
deposition in whole or in part. dence to be presented to the deponent by any
(e) The person recording the testimony shall party at the deposition shall be provided to the
certify on the deposition that the witness was duly officer administering the oath and all other parties
sworn by the person, that the deposition is a true prior to the deposition.
record of the testimony given by the deponent, (3) Nothing in subsection (g) shall prohibit any
whether each adverse party or his agent was pres- party from being with the deponent during the
ent, and whether each adverse party or his agent deposition, at that party’s expense; provided,
was notified, and such person shall also certify however, that a party attending a deposition shall
the reason for taking the deposition. The person give written notice of that party’s intention to
shall then securely seal the deposition in an enve- appear at the deposition to all other parties within
lope endorsed with the title of the action, the a reasonable time prior to the deposition.
address of the court where it is to be used and (4) The party at whose instance the remote
marked ‘‘Deposition of (here insert the name of electronic means deposition is taken shall pay all
the deponent),’’ shall then promptly deliver it to costs of the remote electronic means deposition
the party at whose request it was taken and give for the transmission from the location of the depo-
to all other parties a notice that the deposition has nent and one site for participation of counsel
been transcribed and so delivered. The party at located in the judicial district where the case is
whose request the deposition was taken shall file pending together with the cost of the steno-
the sealed deposition with the court at the time
graphic, video or other electronic record. The cost
of trial.
of participation in a remote electronic means
(f) Documents and things produced for inspec-
deposition from any other location shall be paid
tion during the examination of the deponent, shall,
upon the request of a party, be marked for identifi- by the party or parties participating from such
cation and annexed to and returned with the depo- other location.
sition, and may be inspected and copied by any (h) Notwithstanding this section, a deposition
party, except that (1) the person producing the may be attended by any party by remote electronic
materials may substitute copies to be marked for means even if the party noticing the deposition
identification, if the person affords to all parties does not elect to use remote electronic means if
fair opportunity to verify the copies by comparison (i) a party desiring to attend by remote electronic
with the originals, and (2) if the person producing means provides written notice of such intention
the materials requests their return, the officer shall to all parties in either the notice of deposition or
mark them, give each party an opportunity to a notice served in the same manner as a notice
inspect and copy them, and return them to the of deposition and (ii) if the party electing to partici-
person producing them, and the materials may pate by remote electronic means is not the party
then be used in the same manner as if annexed noticing the deposition, such party pays all costs
to and returned with the deposition to the court, associated with implementing such remote elec-
pending final disposition of the case. tronic participation by that party.
226
(i) Nothing contained in any provision providing witness is at a greater distance than thirty miles
for the use of remote electronic means deposi- from the place of trial or hearing, or is out of the
tions shall prohibit any party from securing a rep- state and will not return before the termination
resentative to be present at the location where of the trial or hearing, unless it appears that the
the deponent is located to report on the record absence of the witness was procured by the party
any events which occur in that location which offering the deposition; (C) that the witness is
might not otherwise be transmitted and/or unable to attend or testify because of age, illness,
recorded by the electronic means utilized. infirmity, or imprisonment; (D) that the party offer-
(j) The party on whose behalf a deposition is ing the deposition has been unable to procure the
taken shall bear the cost of the original transcript, attendance of the witness by subpoena; (E) that
and any permanent electronic record including the parties have agreed that the deposition may
audio or videotape. Any party or the deponent be so used; (F) upon application and notice, that
may obtain a copy of the deposition transcript and such exceptional circumstances exist as to make
permanent electronic record including audio or it desirable, in the interest of justice and with due
videotape at its own expense. regard to the importance of presenting the testi-
(P.B. 1978-1997, Sec. 247.) (Amended June 26, 2000, to mony of witnesses orally in open court, to allow
take effect Jan. 1, 2001; amended June 30, 2003, to take the deposition to be used.
Jan. 1, 2005; amended June 30, 2008, to take effect Jan. 1,
(5) If only part of a deposition is offered in evi-
2009; amended June 20, 2011, to take effect Jan. 1, 2012.) dence by a party, an adverse party may require
the party to introduce any other part which ought in
Sec. 13-31. —Use of Depositions in Court fairness to be considered with the part introduced,
Proceedings and any party may introduce any other parts.
(a) Use of Depositions. (6) Substitution of parties does not affect the
At the trial of a civil action, probate proceeding right to use depositions previously taken; and
or administrative appeal, or upon the hearing of when an action in any court of the United States
a motion or an interlocutory proceeding, any part or of any state has been dismissed and another
or all of a deposition, so far as admissible under action involving the same subject matter is after-
the rules of evidence applied as though the wit- ward brought between the same parties or their
ness were there present and testifying, may be representatives or successors in interest, all
used against any party who was present or repre- depositions lawfully taken and duly filed in the
sented at the taking of the deposition or who had former action may be used in the latter as if origi-
reasonable notice thereof, in accordance with any nally taken therefor.
of the following provisions: (b) Objections to Admissibility.
(1) Any deposition may be used by any party Subject to the provisions of subsection (c) of
for the purpose of contradicting or impeaching the this section, objection may be made at the trial or
testimony of the deponent as a witness. hearing to receiving in evidence any deposition
(2) The deposition of any physician, psycholo- or part thereof for any reason which would require
gist, chiropractor, natureopathic physician, osteo- the exclusion of the evidence if the witness were
pathic physician or dentist licensed under the then present and testifying.
provisions of the General Statutes may be (c) Effect of Errors and Irregularities in
received in evidence in lieu of the appearance of Depositions.
such witness at the trial or hearing whether or not (1) As to notice: All errors and irregularities in
the person is available to testify in person at the the notice for taking a deposition are waived
trial or hearing. unless written objection is promptly served upon
(3) The deposition of a party or of anyone who the party giving the notice.
at the time of the taking of the deposition was an (2) As to disqualification of officer: Objection to
officer, director, or managing agent or employee taking a deposition because of disqualification of
or a person designated under Section 13-27 (h) to the officer before whom it is to be taken is waived
testify on behalf of a public or private corporation, unless made before the taking of the deposition
partnership or association or governmental begins or as soon thereafter as the disqualification
agency which is a party may be used by an becomes known or could be discovered with rea-
adverse party for any purpose. sonable diligence.
(4) The deposition of a witness other than a (3) As to taking of deposition: (A) Objections to
person falling within the scope of subdivision (2) the competency of a witness or to the compe-
hereof, whether or not a party, may be used by tency, relevancy or materiality of testimony are
any party for any purpose if the judicial authority not waived by failure to make them before or dur-
finds: (A) that the witness is dead; (B) that the ing the taking of the deposition, unless the ground
227
of the objection is one which might have been and when so taken may be used as other deposi-
obviated or removed if presented at that time. tions, and (2) modify the procedures provided by
(B) Errors and irregularities occurring at the oral this chapter for other methods of discovery.
examination in the manner of taking the deposi- (P.B. 1978-1997, Sec. 249.)
tion, in the form of the questions or answers, in Sec. 13-33. Claim of Privilege or Protection
the oath or affirmation, or in the conduct of parties, after Production
and errors of any kind which might be obviated, (a) If papers, books, documents or electroni-
removed, or cured if promptly presented, are cally stored information produced in discovery are
waived unless seasonable objection thereto is subject to a claim of privilege or of protection as
made at the taking of the deposition. trial preparation material, the party making the
(4) As to completion and return of deposition: claim may notify any party that received the infor-
Errors and irregularities in the manner in which mation of the claim and the basis for the claim.
the testimony is transcribed or the deposition is (b) After being notified of a claim of privilege or
prepared, signed, certified, sealed, endorsed, of protection under subsection (a), a party shall
transmitted, filed or otherwise dealt with by the immediately sequester the specified information
officer are waived unless a motion to suppress and any copies it has and: (1) return or destroy
the deposition or some part thereof is made with the information and all copies and not use or dis-
reasonable promptness after such defect is, or close the information until the claim is resolved; or
with due diligence might have been, ascertained. (2) present the information to the judicial authority
(P.B. 1978-1997, Sec. 248.) under seal for a determination of the claim and
not otherwise use or disclose the information until
Sec. 13-32. Stipulations regarding Discov-
the claim is resolved.
ery and Deposition Procedure (c) If a party that received notice under subsec-
Unless the court orders otherwise, the parties tion (b) disclosed the information subject to the
may by written stipulation (1) provide that deposi- notice before being notified, the party shall take
tions may be taken before any person, at any time reasonable steps to retrieve the information.
or place, upon any notice, and in any manner, (Adopted June 20, 2011, to take effect Jan. 1, 2012.)
228
CHAPTER 14
DOCKETS, TRIAL LISTS, PRETRIALS AND ASSIGNMENT LISTS
Sec. Sec.
14-1. Claim for Statutory Exemption or Stay by Reason 14-10. Claims for Jury
of Bankruptcy 14-11. Pretrial; Assignment for Pretrial
14-2. Claim for Exemption from Docket Management 14-12. —When Case Not Disposed of at Pretrial
Program by Reason of Bankruptcy 14-13. —Pretrial Procedure
14-3. Dismissal for Lack of Diligence 14-14. —Orders at Pretrial
14-4. Maintenance of Case Records 14-15. Assignments for Trial in General
14-5. Definition of Administrative Appeals 14-16. Methods of Assigning Cases for Trial
14-6. Administrative Appeals Are Civil Actions 14-17. Immediate Trial
14-18. Cases Reached for Trial
14-7. Administrative Appeals; Exceptions
14-19. Cases Marked Settled
14-7A. —Administrative Appeals Brought Pursuant to 14-20. Order of Trial
General Statutes § 4-183 et seq.; Appearances; 14-21. Clerk to Communicate with Counsel in Cases
Records, Briefs and Scheduling Assigned for Week Certain
14-7B. Administrative Appeals from Municipal Land Use, 14-22. Assignment for Trial on Motion of Garnishee
Historic and Resource Protection Agencies; 14-23. Motions to Continue or Postpone Case Assigned
Records, Briefs and Scheduling; Withdrawal or for Trial
Settlement 14-24. Motion to Postpone; Absent Witness; Missing
14-8. Certifying That Pleadings Are Closed Evidence
14-9. Privileged Cases in Assignment for Trial 14-25. Availability of Counsel for Trial
Sec. 14-1. Claim for Statutory Exemption or An updated affidavit shall be filed every six months
Stay by Reason of Bankruptcy by that claimant.
(P.B. 1978-1997, Sec. 250B.) (Amended June 24, 2002,
When a claim for a statutory exemption or stay to take effect Jan. 1, 2003.)
by reason of bankruptcy is filed, it shall be accom-
panied by an affidavit setting forth the date the Sec. 14-3. Dismissal for Lack of Diligence
bankruptcy petition was filed, the district of the (a) If a party shall fail to prosecute an action
bankruptcy court in which it was filed and the with reasonable diligence, the judicial authority
address, the name of the bankruptcy debtor and may, after hearing, on motion by any party to the
the number of the bankruptcy case. action pursuant to Section 11-1, or on its own
When the stay has been relieved or terminated, motion, render a judgment dismissing the action
the plaintiff, the person filing the petition, or any with costs. At least two weeks’ notice shall be
other interested party shall file with the court a required except in cases appearing on an assign-
copy of the relief or termination of stay issued by ment list for final adjudication. Judgment files shall
the bankruptcy court. not be drawn except where an appeal is taken or
(P.B. 1978-1997, Sec. 250A.) (Amended June 21, 2004, where any party so requests.
to take effect Jan. 1, 2005.) (b) If a case appears on a docket management
calendar pursuant to the docket management pro-
Sec. 14-2. Claim for Exemption from Docket gram administered under the direction of the chief
Management Program by Reason of Bank- court administrator, and a motion for default for
ruptcy failure to plead is filed pursuant to Section 10-18,
(Amended June 24, 2002, to take effect Jan. 1, 2003.) only those papers which close the pleadings by
When a claim for an exemption from the docket joining issues, or raise a special defense, may be
management program by reason of bankruptcy is filed by any party, unless the judicial authority
filed, it shall be accompanied by an affidavit set- otherwise orders.
ting forth the date the bankruptcy petition was take effect Jan. 1, 2003; amended June 20, 2011, to take
filed, the district of the bankruptcy court in which effect Jan. 1, 2012.)
it was filed and the address, the name of the
bankruptcy debtor and the number of the bank- Sec. 14-4. Maintenance of Case Records
ruptcy case and shall be sworn to by the party The clerk in each judicial district and geographi-
claiming the exemption or that party’s attorney. cal area shall maintain and have available for
229
inspection during office hours a record concerning pursuant to General Statutes § 38a-139, are
each civil case and administrative appeal. Such excluded from the procedures prescribed in Sec-
record shall designate whether the pleadings are tion 14-7A and 14-7B, and shall, subsequent to
closed and shall distinguish those cases in which the filing of the appeal, follow the same course of
the amount, legal interest or property in demand, pleading as that followed in ordinary civil actions.
is less than $15,000, exclusive of interest and (d) Administrative appeals are not subject to
costs, from cases in which the amount, legal inter- the pretrial rules, except as otherwise provided in
est or property in demand, is $15,000 or more, Sections 14-7A and 14-7B.
exclusive of interest and costs. (P.B. 1978-1997, Sec. 257.) (Amended June 21, 2004, to
(P.B. 1978-1997, Sec. 254.) take effect Jan. 1, 2005; amended June 20, 2011, to take
Sec. 14-5. Definition of Administrative Jan. 1, 2014.)
Appeals
For the purposes of these rules, administrative Sec. 14-7A. —Administrative Appeals
appeals are those appeals taken pursuant to stat- Brought Pursuant to General Statutes § 4-
ute from decisions of officers, boards, commis- 183 et seq.; Appearances; Records, Briefs
sions or agencies of the state or of any political and Scheduling
subdivision of the state, and include specifically (Amended June 14, 2013, to take effect Jan. 1, 2014.)
appeals taken pursuant to: (a) Administrative appeals brought pursuant to
(1) chapter 54 of the General Statutes; General Statutes § 4-183 et seq. shall be served
(2) chapters 124 through 134 of the General in accordance with applicable law either by certi-
Statutes; or fied or registered mail of the appeal, and a notice
(3) other enabling legislation. of filing and recognizance on a form substantially
(P.B. 1978-1997, Sec. 255.) in compliance with Form JD-CV-137 prescribed
by the chief court administrator or by personal
Sec. 14-6. Administrative Appeals Are Civil service of the appeal, and a citation and recogni-
Actions zance on a form substantially in compliance with
For purposes of these rules, administrative Form JD-CV-138 prescribed by the chief court
appeals are civil actions subject to the provisions administrator. The appeal shall be filed with the
and exclusions of General Statutes § 4-183 et court in accordance with General Statutes § 4-
seq. and the Practice Book. Whenever these rules 183 (c).
refer to civil actions, actions, civil causes, causes (b) In administrative appeals brought pursuant
or cases, the reference shall include administra- to General Statutes § 4-183 et seq., the defendant
tive appeals except that an administrative appeal shall file an appearance within thirty days of ser-
shall not be deemed an action for purposes of vice made pursuant to General Statutes § 4-183
Section 10-8 of these rules or for General Statutes (c). Within thirty days of the filing of the defend-
§§ 52-48, 52-591, 52-592 or 52-593. ant’s appearance, or if a motion to dismiss is filed,
(P.B. 1978-1997, Sec. 256.) (Amended June 20, 2011, to within forty-five days of the denial of a motion to
take effect Jan. 1, 2012; amended June 14, 2013, to take dismiss, the agency shall file with the court and
transmit to all parties a certified list of the papers
Sec. 14-7. Administrative Appeals; Excep- in the record as set forth in General Statutes § 4-
tions 183 (g), and, unless otherwise excluded by law
(Amended June 14, 2013, to take effect Jan. 1, 2014.) or subject to a pending motion by either party,
(a) Appeals from the employment security shall make the existing listed papers available for
board of review shall follow the procedure set forth inspection by the parties.
in chapter 22 of these rules. (c) Except as provided in Section 14-7, or
(b) Workers’ compensation appeals taken to except as otherwise permitted by the judicial
the appellate court shall follow the procedure set authority in its discretion, in an administrative
forth in the Rules of Appellate Procedure. appeal brought pursuant to General Statutes § 4-
(c) Appeals in which the parties are entitled to 183 et seq., the record shall be transmitted and
a trial de novo, including but not limited to: (1) filed in accordance with this section. For the pur-
appeals from municipal boards of tax review or poses of this section, the term ‘‘papers’’ shall
boards of assessment appeals taken pursuant to include any and all documents, transcripts, exhib-
General Statutes §§ 12-117a and 12-119; (2) its, plans, minutes, agendas, correspondence, or
appeals from municipal assessors taken pursuant other materials, regardless of format, which are
to General Statutes § 12-103; (3) appeals from part of the entire record of the proceeding
the commissioner of revenue services; and (4) appealed from described in General Statutes
appeals from the insurance commissioner taken §§ 4-183 (g) and 4-177 (d), including additions
230
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 14-7B
to the record pursuant to General Statutes § 4- shall be conducted after the court renders its deci-
183 (h). sion on the appeal.
(d) No less than thirty days after the filing of (Adopted June 26, 2006, to take effect Jan. 1, 2007;
the certified list of papers in the record under sub-
section (b), the court and the parties will set up a Sec. 14-7B. Administrative Appeals from
conference to establish which of the contents of Municipal Land Use, Historic and Resource
the record are to be transmitted and will set up a Protection Agencies; Records, Briefs and
scheduling order, including dates for the filing of Scheduling; Withdrawal or Settlement
the designated contents of the record, for the filing (Amended June 14, 2013, to take effect Jan. 1, 2014.)
of appropriate pleading and briefs, and for con- (a) Except as provided in Sections 14-7 or 14-
ducting appropriate conferences and hearings. 7A, for appeals from municipal land use, historic,
No brief shall exceed thirty-five pages without per- and resource protection agencies, the board or
mission of the judicial authority. At the conference, agency shall transmit and file the record in accord-
the court shall also determine which, if any, of ance with this section. For the purposes of this
the designated contents of the record shall be Section 14-7B, the term ‘‘papers’’ shall include
transmitted to the parties and/or the court in paper any and all documents, transcripts, exhibits,
format because such papers are either difficult to plans, minutes, agendas, correspondence, or
reproduce electronically or difficult to review in other materials, regardless of format, which are
electronic format. part of the return of record described in General
(e) The agency shall transmit to the court certi- Statutes § 8-8 (i), including additions to the record
fied copies of the designated contents of the per § 8-8 (k).
record established in accordance with subsec- (b) Within thirty days of the return date, the
tion (d). board or agency shall transmit a certified list of
the papers in the record to all parties and shall
(f) If any party seeks to include in such party’s make the existing listed papers available for
brief or appendices, papers the party deems inspection by the parties.
material to its claim or position, which were not (c) The first time that the appeal appears on
part of the designated contents of the record the administrative appeals calendar, the court and
determined under subsection (d), but were on the the parties will establish, or will set up a confer-
certified list filed in accordance with subsection ence to establish, which of the contents of the
(b), such party shall file an amendment to the record are to be transmitted, and will set up a
record as of right attaching such papers. In the scheduling order, which will include dates for the
event such an amendment to the record as of filing of the designated contents of the record, for
right is filed, the scheduling order may be adjusted the filing of appropriate pleading and briefs, and
to provide either party with additional time to file for conducting appropriate conferences and hear-
a brief or reply brief. ings. No brief shall exceed thirty-five pages with-
(g) No party shall include in such party’s brief out permission of the judicial authority. At the
or appendices, papers that were neither part of conference, the court shall also determine which,
the designated contents of the record under sub- if any, of the designated contents of the record
section (d), nor on the certified list filed in accord- shall be transmitted to the parties and/or the court
ance with subsection (b), unless the court requires in paper format because such papers are either
or permits subsequent corrections of additions to difficult to reproduce electronically or difficult to
the record under General Statutes § 4-183 (g) or review in electronic format.
unless an application for leave to present addi- (d) The board or agency shall transmit to the
tional evidence is filed and granted under General court and all parties: (1) the certified list of papers
Statutes § 4-183 (h) or (i). in the record that was transmitted to the parties
under subsection (b) of this section; and (2) certi-
(h) Disputes about the contents of the record
fied copies of the designated contents of the
or other motion, application or objection will be record established in accordance with subsec-
heard as otherwise scheduled by the court. tion (c).
(i) If a party is not in compliance with the sched- (e) If any party seeks to include in such party’s
uling order, the judicial authority may, on its own brief or appendices papers the party deems mate-
motion or on motion of one of the parties, and after rial to its claim or position, which were not part of
hearing, make such order, including sanctions, as the designated contents of the record determined
the ends of justice require. under subsection (c) but were on the certified list
(j) Any hearings to consider the taxation of costs filed in accordance with subsection (b), such party
in accordance with General Statutes § 4-183 (g) shall file an amendment to the record as of right
231
Sec. 14-7B SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS
attaching such papers. In the event such an are closed on the issue or issues in the case
amendment to the record as of right is filed, the as to all parties, an accurate certificate of closed
scheduling order may be adjusted to provide pleadings shall be filed within ten days. Any party
either party with additional time to file a brief or may file the certificate. Upon the filing of the certifi-
reply brief. cate of closed pleadings, the case shall be sched-
(f) No party shall include in such party’s brief uled for a trial as soon as the court’s docket
or appendices, papers that were neither part of permits if it has not already been scheduled for
the designated contents of the record under sub- a trial.
section (c), nor on the certified list filed in accord- (b) If the case is claimed as privileged, the
ance with subsection (b), unless the court grants ground of privilege as defined in Section 14-9
permission to supplement the records with such shall be stated. If the privilege claimed arises from
papers pursuant to General Statutes § 8-8 (k). some other statute or rule giving a matter prece-
(g) Disputes about the contents of the records dence for trial, the applicable provisions shall be
or other motions, applications or objections will
cited with specificity.
be heard on the administrative appeals calendar
or as otherwise scheduled by the court. (c) An administrative appeal may be placed on
(h) If a party is not in compliance with the sched- the administrative appeal trial list at the direction
uling order, the judicial authority may, on its own of the judicial authority, pursuant to Section 14-
motion or on motion of one of the parties, and after 7A or 14-7B or in accordance with subsections
hearing, make such order, including sanctions, as (a) and (b) of this section.
the ends of justice require. (d) This section shall not apply to summary pro-
(i) Any hearings to consider taxation of costs in cess matters.
accordance with General Statutes § 8-8 (i) shall (P.B. 1978-1997, Sec. 258.) (Amended June 14, 2013, to
be conducted after the court renders its decision take effect Jan. 1, 2014.)
on the appeal.
(j) No appeal under General Statutes §§ 8-8 Sec. 14-9. Privileged Cases in Assignment
or 22a-43 shall be withdrawn and no settlement for Trial
between the parties to any such appeal shall be The following classes of cases shall be privi-
effective unless and until a hearing has been held leged in respect to assignment for trial: (1) hear-
before the superior court and such court has ings under the fair employment practices act and
approved such proposed withdrawal or settle- the labor relations act; (2) all actions, except
ment. No decision that is appealed under General actions upon probate bonds, brought by or on
Statutes §§ 8-8 or 22a-43 shall be modified by behalf of the state, including informations on the
settlement or stipulated judgment unless the relation of a private individual; (3) appeals from
terms of the settlement or stipulated judgment the employment security board of review; (4)
have been approved at a public meeting of the appeals from probate and from the doings of com-
municipal agency that issued the decision. The missioners appointed by courts of probate; (5)
proposed settlement shall be identified on the actions brought by receivers of insolvent corpora-
agenda of such meeting, which agenda shall be
tions by order of court; (6) actions by or against
posted in accordance with the applicable require-
ments of General Statutes § 1-210 et seq., and any person sixty-five years of age or older or who
the reasons for such approval shall be stated on reaches such age during the pendency of the
the record during such public meeting of such action; (7) appeals from findings, orders or other
agency and before the court. The court may actions of the public utilities control authority; (8)
inquire about the procedure followed by the equitable actions tried to the court wherein the
agency, inquire of the parties whether settlement essential claim asserted is for a permanent injunc-
was reached by coercion or intimidation, and con- tion and any claim for damages or other relief,
sider any other factors that the court deems legal or equitable, is merely in lieu of, or supple-
appropriate. No notice of the court proceeding mental to, the claim for injunction; (9) habeas cor-
other than normal publication of the calendar and pus proceedings; (10) motions to dissolve
notice to the parties is required unless otherwise temporary injunctions; (11) motions for temporary
ordered by the court. injunctions; (12) writs of ne exeat, prohibition and
(Adopted June 20, 2011, to take effect Jan. 1, 2012; mandamus; (13) applications for appointment of
receivers; (14) disclosures by garnishees; (15)
Sec. 14-8. Certifying That Pleadings Are actions by or against executors, administrators,
Closed or trustees in bankruptcy or insolvency; (16) hear-
(a) A case may be scheduled for trial at any ings to the court in damages on default or cases
time by order of the court. When the pleadings where there is an issue as to damages after the
232
judicial authority has granted a summary judg- or her discretion, requires the attendance of the
ment on the issue of liability; (17) cases remanded adjuster at the pretrial. If any person fails to attend
by the supreme and appellate courts for a new or to be available by telephone pursuant to this
trial and cases in which a verdict has been set rule, the judicial authority may make such order
aside, a new trial granted or a mistrial declared; as the ends of justice require, which may include
(18) any other actions given precedence by stat- the entry of a nonsuit or default against the party
ute or rule. failing to comply and an award to the complying
(P.B. 1978-1997, Sec. 259.) party of reasonable attorney’s fees. Each party
claiming damages or seeking relief of any kind,
Sec. 14-10. Claims for Jury
or such party’s attorney, shall obtain from the court
All claims of cases for the jury shall be made clerk a pretrial memo form, shall complete the
in writing, served on all other parties and filed form before the pretrial session and shall, at the
with the clerk within the time allowed by General commencement of the pretrial session, distribute
Statutes § 52-215. The jury claim fee shall be paid copies of the completed form to the judge and to
at the time the jury claim is filed. each other party. Such pretrial memoranda shall
(P.B. 1978-1997, Sec. 260.)
not be placed in the court file unless otherwise
Sec. 14-11. Pretrial; Assignment for Pretrial ordered by the judicial authority who conducted
(a) Cases in which the pleadings are closed the pretrial.
may be assigned by the caseflow coordinator or The following matters shall be considered at
clerk in consultation with the presiding judge for the pretrial session:
pretrial. (1) A discussion of the possibility of settlement.
(b) If there are reasons why a case scheduled (2) Simplification of the issues.
for pretrial cannot be pretried effectively, for exam- (3) Amendments to pleadings.
ple in cases in which the extent of the injuries are (4) Admissions of fact, including stipulations of
unknown or discovery has not been completed, the parties concerning any material matter and
then the judicial authority shall continue the case admissibility of evidence, particularly photo-
to a date certain for pretrial and may limit the time graphs, maps, drawings and documents, in order
for the completion of discovery. to minimize the time required for trial.
(P.B. 1978-1997, Sec. 263.) (5) The limitation of number of expert witnesses.
(6) Inspection of hospital records and x-ray
Sec. 14-12. —When Case Not Disposed of films.
at Pretrial (7) Exchange of all medical reports, bills and
If the pretrial does not result in the disposition evidences of special damage which have come
of the case by settlement, judgment by stipulation, into possession of the parties or of counsel since
or withdrawal, then the judicial authority may (1) compliance with previous motions for disclosure
continue the matter for a reasonable period if the and production for inspection.
parties agree to participate in any form of alterna- (8) Scheduling of a trial management confer-
tive dispute resolution, (2) enter appropriate ence and issuance of a trial management order
orders to assure that the case is readied for trial, by the judicial authority with reference thereto.
(3) order the case assigned for trial on a date (9) Consideration of alternative dispute resolu-
certain or a week certain in the future or, (4) assign tion options to trial.
the case to a specific judge for trial on a date (10) Such other procedures as may aid in the
certain. The date designated for trial shall, if possi- disposition of the case, including the exchange of
ble, be agreeable to the parties. medical reports, and the like, which come into
(P.B. 1978-1997, Sec. 264.) possession of counsel subsequent to the pre-
Sec. 14-13. —Pretrial Procedure trial session.
The chief court administrator or the presiding take effect Jan. 1, 2006.)
judge with the consent of the chief court adminis-
trator may designate one or more available judges Sec. 14-14. —Orders at Pretrial
or judge trial referees to hold pretrial sessions. The judicial authority may make any appro-
Parties and their attorneys shall attend the pretrial priate order at pretrial, including the issuance of
session; provided, that when a party against a trial management order, and such order shall
whom a claim is made is insured, an insurance control the subsequent conduct of the case unless
adjuster for such insurance company shall be modified at the trial to prevent manifest injustice.
available by telephone at the time of such pretrial If any party fails to abide by any such order the
session unless the judge or judge referee, in his judicial authority may make such order as the
233
ends of justice require, which may include the the judicial authority, for good cause shown,
entry of a nonsuit or default against the offending extends the time for a withdrawal.
party and an award to a complying party of rea- (P.B. 1978-1997, Sec. 274A.)
sonable attorney’s fees.
(P.B. 1978-1997, Sec. 268.) Sec. 14-20. Order of Trial
Parties and counsel shall be present and ready
Sec. 14-15. Assignments for Trial in General to proceed to trial on the day and time specified
Each week a sufficient number of cases shall by the judicial authority. The day specified shall
be assigned to provide business for each trial day be during the week certain selected by counsel.
of that week. Cases may be assigned for different (P.B. 1978-1997, Sec. 276.)
days and different times of the same day. In
Sec. 14-21. Clerk to Communicate with
determining the number of cases to be assigned,
Counsel in Cases Assigned for Week
the caseflow coordinator or clerk, in consultation
Certain
with the presiding judge, will schedule only the
number of cases that can reasonably be expected The caseflow coordinator or clerk, at the direc-
to be tried that week. Cases not reached for trial tion of the presiding judge, shall communicate
on the day certain or during the week certain to with counsel for the parties in the cases assigned
which they were assigned shall be assigned with for each week certain for trial to keep the court
priority to a new date, which shall, if possible, be provided with sufficient business for each day the
agreeable to the parties. court is in session. Cases shall not be assigned
(P.B. 1978-1997, Sec. 270.) for trial prior to the week certain that has been
assigned unless the parties consent.
Sec. 14-16. Methods of Assigning Cases (P.B. 1978-1997, Sec. 277.)
for Trial
Sec. 14-22. Assignment for Trial on Motion
(a) In each court location the presiding judge,
of Garnishee
subject to the approval of the chief court adminis-
trator, shall assign to trial judges for trial those When, in an action commenced by process of
cases not resolved at pretrial in accordance with foreign attachment, the defendant does not
Section 14-12. appear, if the plaintiff does not take a default in
(b) The presiding judge may, if circumstances such action within four months after the day on
require, assign for trial a case that has not which the process is returnable to such court, the
been pretried. judicial authority may, at any time thereafter, upon
(c) Upon request of a party and for good cause motion of any garnishee in such action, assign
shown, the presiding judge may postpone a case the same for trial.
(P.B. 1978-1997, Sec. 278.)
or reassign it to another judge.
(P.B. 1978-1997, Sec. 271.) Sec. 14-23. Motions to Continue or Post-
Sec. 14-17. Immediate Trial pone Case Assigned for Trial
The judicial authority may, on its own motion Whenever a motion for a postponement or con-
or on the motion of a party and upon a showing tinuance of a case assigned for trial is made by
of extraordinary circumstances, order a case to either party and such motion is granted, the court
be assigned for immediate trial. may require the party making the same to pay to
(P.B. 1978-1997, Sec. 273.) the adverse party such sum by way of indemnity
as it deems reasonable. (See General Statutes
Sec. 14-18. Cases Reached for Trial § 52-196.)
When a case is reached on a day or week (P.B. 1978-1997, Sec. 279.)
certain it shall be tried, defaulted, dismissed pur-
Sec. 14-24. Motion to Postpone; Absent Wit-
suant to Section 17-19 or nonsuited, unless for
ness; Missing Evidence
good cause shown the judicial authority may
assign it for trial on a future date. Such reschedul- (a) Whenever a motion is made for the post-
ing shall not displace cases already assigned ponement or continuance of a cause assigned
for trial. for trial on account of the absence of a material
(P.B. 1978-1997, Sec. 274.) witness, such motion, if the adverse party or the
judicial authority requires it, shall be supported by
Sec. 14-19. Cases Marked Settled an affidavit stating the name of the absent witness,
Any case that does not proceed to trial because if known, and the particular facts which, it is
it has been reported to the judicial authority as believed, may be proved by him or her, with the
having been settled shall be withdrawn within grounds of such belief. The judicial authority may
thirty days or shall be dismissed thereafter unless refuse to continue such cause if there is no good
234
reason why the party making the request did not (b) The same rule shall apply where the motion
make proper preparation to have the witness pre- is grounded on the want of any material document
sent or if the adverse party will admit that the or other evidence that might be used on the trial.
(P.B. 1978-1997, Sec. 280.)
absent witness would, if present, testify to the
Sec. 14-25. Availability of Counsel for Trial
facts stated in the affidavit, and will agree that the Whenever an attorney has cases assigned
same shall be received as evidence on the trial, simultaneously before the court and jury, the jury
in like manner as if the witness were present and assignment shall take precedence over the court
had testified thereto. Such agreement shall be assignment unless the attorney is actually
made in writing at the foot of the affidavit and engaged in the court trial.
signed by the party or attorney. take effect Jan. 1, 2003.)
235
CHAPTER 15
TRIALS IN GENERAL; ARGUMENT BY COUNSEL
Sec. Sec.
15-1. Order of Trial 15-6. Opening Argument
15-2. Separate Trials 15-7. Time Limit on Argument
15-3. Motion in Limine 15-8. Dismissal in Court Cases for Failure to Make Out a
15-4. Medical Evidence Prima Facie Case
15-5. Order of Parties Proceeding at Trial
Sec. 15-1. Order of Trial twenty-four hours prior to trial. The judge holding
In all cases, whether entered upon the docket the civil jury shall, at the opening session, order
as jury cases or court cases, the judicial authority that all such records be available for inspection
may order that one or more of the issues joined in the clerk’s office to any counsel of record under
be tried before the others. Where the pleadings the supervision of the clerk. Counsel must recog-
in an action present issues both of law and of fact, nize their responsibility to have medical testimony
the issues of law must be tried first, unless the available when needed and shall, when neces-
judicial authority otherwise directs. If some, but sary, subpoena medical witnesses to that end.
not all, of the issues in a cause are put to the jury, (P.B. 1978-1997, Sec. 290.)
the remaining issue or issues shall be tried first, Sec. 15-5. Order of Parties Proceeding at
unless the judicial authority otherwise directs.
Trial
(See General Statutes § 52-205 and annotations.)
(P.B. 1978-1997, Sec. 283.) (a) Unless the judicial authority for cause per-
mits otherwise, the parties shall proceed with the
Sec. 15-2. Separate Trials trial and argument in the following order:
The judicial authority may, upon motion, for (1) The plaintiff shall present a case in chief.
good cause shown, order a separate trial between (2) The defendant may present a case in chief.
any parties. (3) The plaintiff and the defendant may present
(P.B. 1978-1997, Sec. 284.) rebuttal evidence in successive rebuttals, as
Sec. 15-3. Motion in Limine required. The judicial authority for cause may per-
mit a party to present evidence not of a rebuttal
The judicial authority to whom a case has been nature, and if the plaintiff is permitted to present
assigned for trial may in its discretion entertain a further evidence in chief, the defendant may
motion in limine made by any party regarding the respond with further evidence in chief.
admission or exclusion of anticipated evidence. If
(4) The plaintiff shall be entitled to make the
a case has not yet been assigned for trial, a judicial
authority may, for good cause shown, entertain opening and final closing arguments.
the motion. Such motion shall be in writing and (5) The defendant may make a single closing
shall describe the anticipated evidence and the argument following the opening argument of the
prejudice which may result therefrom. All inter- plaintiff.
ested parties shall be afforded an opportunity to (b) If there are two or more plaintiffs or two or
be heard regarding the motion and the relief more defendants and they do not agree as to their
requested. The judicial authority may grant the order of proceeding, the judicial authority shall
relief sought in the motion or such other relief as determine their order.
it may deem appropriate, may deny the motion (P.B. 1978-1997, Sec. 295.)
with or without prejudice to its later renewal, or Sec. 15-6. Opening Argument
may reserve decision thereon until a later time in
the proceeding. Instead of reading the pleadings, counsel for
(P.B. 1978-1997, Sec. 284A.) any party shall be permitted to make a brief open-
ing statement to the jury in jury cases, or in a
Sec. 15-4. Medical Evidence court case at the discretion of the presiding judge,
A party who plans to offer a hospital record in to apprise the trier in general terms as to the
evidence shall have the record in the clerk’s office nature of the case being presented for trial. The
236
presiding judge shall have discretion as to the Sec. 15-8. Dismissal in Court Cases for Fail-
latitude of the statements of counsel. ure to Make Out a Prima Facie Case
(P.B. 1978-1997, Sec. 296.) If, on the trial of any issue of fact in a civil
matter tried to the court, the plaintiff has produced
Sec. 15-7. Time Limit on Argument evidence and rested, a defendant may move for
judgment of dismissal, and the judicial authority
The argument on behalf of any party shall not may grant such motion if the plaintiff has failed to
occupy more than one hour, unless the judicial make out a prima facie case. The defendant may
authority, on motion for special cause, before the offer evidence in the event the motion is not
commencement of such argument, allows a granted, without having reserved the right to do
longer time. (See General Statutes § 52-209 so and to the same extent as if the motion had
not been made.
and annotations.) (P.B. 1978-1997, Sec. 302.) (Amended June 30, 2008, to
(P.B. 1978-1997, Sec. 297.) take effect Jan. 1, 2009.)
237
CHAPTER 16
JURY TRIALS
Sec. Sec.
16-1. Deaf or Hearing Impaired Jurors 16-21. —Requests to Charge on Specific Claims
16-2. Challenge to Array 16-22. —Filing Requests
16-3. Preliminary Proceedings in Jury Selection 16-23. —Form and Contents of Requests to Charge
16-4. Disqualification of Jurors and Selection of Panel 16-24. —Charge Conference
16-5. Peremptory Challenges 16-25. Modification of Instructions for Correction or Clarifi-
16-6. Voir Dire Examination cation
16-7. Juror Questions and Note Taking 16-26. Other Instructions after Additional Instructions
16-8. Oath and Admonitions to Trial Jurors 16-27. Jury Request for Review of Testimony
16-9. Questions of Law and Fact 16-28. Jury Request for Additional Instructions
16-10. Order by Judicial Authority for Jury Trial of Factual 16-29. Deadlocked Jury
Issues in Equitable Actions 16-30. Verdict; Return of Verdict
16-31. —Acceptance of Verdict
16-11. Cases Presenting Both Legal and Equitable Issues
16-32. —Poll of Jury after Verdict
16-12. View by Jury of Place or Thing Involved in Case
16-33. —Discharge of Jury
16-13. Judgment of the Court 16-34. —Impeachment of Verdict
16-14. Communications between Parties and Jurors 16-35. Motions after Verdict: Motions in Arrest of Judg-
16-15. Materials to Be Submitted to Jury ment, to Set Aside Verdict, for Additur or Remitti-
16-16. Jury Deliberations tur, for New Trial, or for Collateral Source
16-17. Jury Returned for Reconsideration Reduction
16-18. Interrogatories to the Jury 16-36. Motions to Reduce Verdict [Repealed] (Transferred
16-19. Reading of Statement of Amount in Demand or to Section 17-2A.)
Statement of Claim; Arguing Amount Recov- 16-37. Reservation of Decision on Motion for Directed
erable Verdict
16-20. Requests to Charge and Exceptions; Necessity for 16-38. Memorandum on Setting Verdict Aside
Sec. 16-1. Deaf or Hearing Impaired Jurors authority shall require counsel to make a prelimi-
At the request of a deaf or hearing impaired nary statement as to the names of other counsel
juror or the judicial authority, an interpreter or with whom he or she is affiliated and other relevant
interpreters provided by the Commission on the facts, and shall require counsel to disclose the
Deaf and Hearing Impaired and qualified under names, and if ordered by the judicial authority,
General Statutes § 46a-33a shall assist such juror the addresses of all witnesses counsel intends to
during the juror orientation program and all subse- call at trial. The judicial authority may excuse any
quent proceedings, and when the jury assembles prospective juror for cause.
for deliberation. (See Sec. 303C, P.B. 1978-1997.)(P.B. 1998.)
(P.B. 1978-1997, Sec. 303A.)
Sec. 16-2. Challenge to Array Sec. 16-4. Disqualification of Jurors and

Selection of Panel
Any party may challenge an array on the ground
that there has been a material departure from the (a) A person shall be disqualified to serve as a
requirements of law governing the selection and juror if such person is found by the judicial author-
summoning of an array. Such challenge shall be ity to exhibit any quality which will impair this per-
made within five days after notification of the hear- son’s capacity to serve as a juror, except that
ing or trial date, unless the defect claimed has no person shall be disqualified on the basis of
arisen subsequent to the time required to make deafness or hearing impairment.
such motion. (b) The clerks shall keep a list of all persons
(P.B. 1998.)
disqualified under this section and shall send a
Sec. 16-3. Preliminary Proceedings in Jury copy of that list to the jury administrator at such
Selection time as the jury administrator may direct.
The judicial authority shall cause prospective (c) The clerk of the court, in impaneling the jury
jurors to be sworn or affirmed in accordance with for the trial of each cause, shall, when more jurors
General Statutes §§ 1-23 and 1-25. The judicial are in attendance than are required of the panel,
238
designate by lot those who shall compose the questions to be asked of witnesses during the trial
panel. of a civil action.
(P.B. 1978-1997, Sec. 303, 304.) (P.B. 1978-1997, Sec. 305A.)
Sec. 16-5. Peremptory Challenges Sec. 16-8. Oath and Admonitions to Trial
Jurors
Each party may challenge peremptorily the
number of jurors which each is entitled to chal- (a) The judicial authority shall cause the jurors
lenge by law. Where the judicial authority deter- selected for the trial to be sworn or affirmed in
mines a unity of interests exists, several plaintiffs accordance with General Statutes §§ 1-23 and 1-
or several defendants may be considered as a 25. The judicial authority shall admonish the jurors
single party for the purpose of making challenges, not to read, listen to or view news reports of the
or the judicial authority may allow additional case or to discuss with each other or with any
peremptory challenges and permit them to be person not a member of the jury the cause under
exercised separately or jointly. For the purposes consideration, except that after the case has been
of this section, a ‘‘unity of interest’’ means that submitted to the jury for deliberation the jurors
the interests of the several plaintiffs or the several shall discuss it among themselves in the jury
room.
defendants are substantially similar. A unity of
(b) In the presence of the jury, the judicial
interest shall be found to exist among parties who
authority shall instruct any interpreter for a deaf
are represented by the same attorney or law firm.
or hearing impaired juror to refrain from participat-
In addition, there shall be a presumption that a ing in any manner in the deliberations of the jury
unity of interest exists among parties where no and to refrain from having any communications,
cross claims or apportionment complaints have oral or visual, with any member of the jury except
been filed against one another. In all civil actions, for the literal translation of jurors’ remarks made
the total number of peremptory challenges during deliberations.
allowed to the plaintiff or plaintiffs shall not exceed (P.B. 1998.)
twice the number of peremptory challenges
allowed to the defendant or defendants, and the Sec. 16-9. Questions of Law and Fact
total number of peremptory challenges allowed to The judicial authority shall decide all issues of
the defendant or defendants shall not exceed law and all questions of law arising in the trial of
twice the number of peremptory challenges any issue of fact, and, in committing the cause to
allowed to the plaintiff or plaintiffs. the jury, shall direct it to find accordingly, and shall
(P.B. 1998.) (Amended June 21, 2004, to take effect Jan. submit all questions of fact to the jury, with such
1, 2005.) observations on the evidence, for the jury’s infor-
mation, as it thinks proper, without any direction
Sec. 16-6. Voir Dire Examination how the jury shall find the facts. After the cause
Each party shall have the right to examine, per- has been committed to the jury, no pleas, argu-
sonally or by counsel, each juror outside the pres- ments or evidence shall be received before the
ence of other prospective jurors as to verdict is returned into court and recorded. (See
qualifications to sit as a juror in the action, or as General Statutes § 52-216 and annotations.)
to the person’s interest, if any, in the subject mat- (P.B. 1978-1997, Sec. 306.)
ter of the action, or as to the person’s relations Sec. 16-10. Order by Judicial Authority for
with the parties thereto. If the judicial authority Jury Trial of Factual Issues in Equitable
before whom such examination is held is of the Actions
opinion from such examination that any juror
No issues of fact in an equitable action shall be
would be unable to render a fair and impartial
tried to the jury except upon order of the judicial
verdict, such juror shall be excused by the judicial
authority. Upon the application of any party, the
authority from any further service upon the panel, judicial authority may order any issue or issues
or in such action, as the judicial authority deter- of fact in any action demanding equitable relief to
mines. The right of such examination shall not be be tried by a jury, and such application shall be
abridged by requiring questions to be put to any deemed to be a request for a jury of six. (See
juror in writing and submitted in advance of the General Statutes § 52-218 and annotations.)
commencement of the trial. (P.B. 1978-1997, Sec. 307.)
(P.B. 1978-1997, Sec. 305.)
Sec. 16-11. Cases Presenting Both Legal
Sec. 16-7. Juror Questions and Note Taking and Equitable Issues
The members of the jury may, in the discretion A case presenting issues both in equity and law
of the judicial authority, take notes and submit may be claimed for the jury list, but, unless the
239
judicial authority otherwise orders, only the issues (c) If additional evidence is required, the judge
at law shall be assigned for trial by the jury. When- presiding at the trial shall, if possible, hear this
ever such an action has been placed upon the and render final judgment at said session.
docket as a jury case, no determination of the (P.B. 1978-1997, Sec. 309.)
equitable issues raised by the pleadings shall pre-
Sec. 16-14. Communications between Par-
vent a jury trial of the claim for damages, unless
ties and Jurors
both parties agree in writing to waive a jury, or
unless the determination of the equitable issues No party, and no attorney, employee, represen-
has necessarily adjudicated all the facts upon tative or agent of any party or attorney, shall con-
which the claim for damages rests. (See General tact, communicate with or interview any juror or
Statutes § 52-219 and annotations.) alternate juror, or any relative, friend or associate
(P.B. 1978-1997, Sec. 308.) of any juror or alternate juror concerning the delib-
erations or verdict of the jury or of any individual
Sec. 16-12. View by Jury of Place or Thing juror or alternate juror in any action during trial
Involved in Case until the jury has returned a verdict and/or the
When the judicial authority is of the opinion that jury has been dismissed by the judicial authority,
a viewing by the jury of the place or thing involved except upon leave of the judicial authority, which
in the case will be helpful to the jury in determining shall be granted only upon the showing of good
any material factual issue, it may in its discretion, cause. A violation of this section may be treated
at any time before the closing arguments, order as a contempt of court, and may be punished
that the jury be conducted to such place or location accordingly.
(P.B. 1978-1997, Sec. 309A.)
of such thing. During the viewing, the jury must
be kept together under the supervision of a proper Sec. 16-15. Materials to Be Submitted to
officer appointed by the judicial authority. The judi- Jury
cial authority and a court reporter must be present, (a) The judicial authority shall submit to the jury
and, with the judicial authority’s permission, any all exhibits received in evidence.
other person may be present. Counsel and self- (b) The judicial authority may, in its discretion,
represented parties may as a matter of right be submit to the jury:
present, but the right may be waived. The purpose
(1) The complaint, counterclaim and cross com-
of viewing shall be solely to permit visual observa- plaint, and responsive pleadings thereto;
tion by the jury of the place or thing in question
(2) A copy or audio recording of the judicial
and to permit a brief description of the site or thing
authority’s instructions to the jury;
being viewed by the judicial authority or by any
(3) Upon request by the jury, a copy or audio
witness or witnesses as allowed by the judicial
recording of an appropriate portion of the judicial
authority. Any proceedings at the location, includ-
authority’s instructions to the jury.
ing examination of witnesses, shall be at the dis- (P.B. 1978-1997, Sec. 309B.) (Amended June 20, 2011,
cretion of the judicial authority. Neither the parties to take effect Jan. 1, 2012.)
nor counsel nor the jurors while viewing the place
or thing may engage in discussion of the signifi- Sec. 16-16. Jury Deliberations
cance or the implications of anything under obser- After the case has been submitted to the jury,
vation or of any issue in the case. the jurors shall be in the custody of an officer who
(See Sec. 844, P.B. 1978-1997.)(P.B.1998.) shall permit no person to be present with them or
to speak to them when assembled for delibera-
Sec. 16-13. Judgment of the Court tions except a qualified interpreter assisting a deaf
(a) Where a complaint embracing matters call- or hearing impaired juror. The jurors shall be kept
ing for both legal and equitable relief is by order together for deliberations as the judicial authority
of the judicial authority tried to the jury, the judicial reasonably directs. If the judicial authority permits
authority may render judgment, either for legal the jury to recess its deliberations, the judicial
or equitable relief or both, not inconsistent with authority shall admonish the jurors not to discuss
the verdict. the case until they reconvene in the jury room.
(b) When an issue or issues of fact are deter- The judicial authority shall direct the jurors to
mined by the verdict, the judge presiding at the select one of their members to preside over the
trial shall, if possible, upon the evidence produced deliberations and to deliver any verdict agreed
and after hearing the claims and arguments of upon, and the judicial authority shall admonish
counsel, determine the other issues in the case the jurors that until they are discharged in the case
and render final judgment at the session at which they may communicate upon subjects connected
the verdict is rendered. with the trial only while they are convened in the
240
jury room. If written forms of verdict are submitted after the charge is delivered. Counsel taking the
to the jury, the member of the jury selected to exception shall state distinctly the matter objected
deliver the verdict shall sign any verdict agreed to and the ground of objection. The exception shall
upon. be taken out of the hearing of the jury.
(See Sec. 856, P.B. 1978-1997.)(P.B. 1998.) (P.B. 1978-1997, Sec. 315.)
Sec. 16-17. Jury Returned for Reconsid- Sec. 16-21. —Requests to Charge on Spe-
eration cific Claims
The judicial authority may, if it determines that Any party intending to claim the benefit of the
the jury has mistaken the evidence in the cause doctrines of supervening negligence, superseding
and has brought in a verdict contrary to it, or has cause, intervening cause, assumption of risk, or
brought in a verdict contrary to the direction of the provisions of any specific statute shall file a
the judicial authority in a matter of law, return the written request to charge on the legal principle
jury to a second consideration, and for like reason
involved.
may return it to a third consideration, and no more. (P.B. 1978-1997, Sec. 316.)
(See General Statutes § 52-223 and annotations.)
(P.B. 1978-1997, Sec. 311.) Sec. 16-22. —Filing Requests
Sec. 16-18. Interrogatories to the Jury Written requests to charge the jury and written
The judicial authority may submit to the jury requests for jury interrogatories must be filed with
written interrogatories for the purpose of the clerk before the beginning of arguments or at
explaining or limiting a general verdict, which shall such an earlier time as the judicial authority
be answered and delivered to the clerk as a part directs, and the clerk shall file them and forthwith
of the verdict. The clerk will take the verdict and hand one copy to the judicial authority and one
then the answers to the several interrogatories, to opposing counsel. A party’s request to charge
and thereafter the clerk will take the judicial may be amended in writing as a matter of right
authority’s acceptance of the verdict returned and at any time prior to the beginning of the charge
the questions as answered, and proceed conference.
according to the usual practice. The judicial (P.B. 1978-1997, Sec. 317.)
authority will not accept a verdict until the interrog-
atories which are essential to the verdict have Sec. 16-23. —Form and Contents of Re-
been answered. quests to Charge
(P.B. 1978-1997, Sec. 312.) (a) When there are several requests, they shall
Sec. 16-19. Reading of Statement of Amount be in separate and numbered paragraphs, each
in Demand or Statement of Claim; Arguing containing a single proposition of law clearly and
Amount Recoverable concisely stated with the citation of authority upon
which it is based, and the evidence to which the
In any action seeking damages for injury to the proposition would apply. Requests to charge
person, the amount demanded in the complaint should not exceed fifteen in number unless, for
shall not be disclosed to the jury. In the event that good cause shown, the judicial authority permits
the jury shall return a verdict which exceeds the the filing of an additional number. If the request
amount demanded, the judicial authority shall
is granted, the judicial authority shall apply the
reduce the award to, and render judgment in, the
proposition of law to the facts of the case.
amount demanded. Counsel for any party to the
action may articulate to the jury during closing (b) A principle of law should be stated in but
argument a lump sum or mathematical formula one request and in but one way. Requests
as to damages claimed to be recoverable. The attempting to state in different forms the same
judicial authority shall issue cautionary instruc- principle of law as applied to a single issue are
tions pursuant to General Statutes § 52-216b. improper.
(P.B. 1978-1997, Sec. 313.) (P.B. 1978-1997, Sec. 318.)
Sec. 16-20. Requests to Charge and Excep- Sec. 16-24. —Charge Conference
tions; Necessity for After the close of evidence but before argu-
An appellate court shall not be bound to con- ments to the jury, the judicial authority shall, if
sider error as to the giving of, or the failure to requested, inform counsel out of the presence of
give, an instruction unless the matter is covered the jury of the substance of its proposed
by a written request to charge or exception has instructions.
been taken by the party appealing immediately (P.B. 1978-1997, Sec. 318A.)
241
Sec. 16-25. Modification of Instructions for Sec. 16-30. Verdict; Return of Verdict
Correction or Clarification The verdict shall be unanimous and shall be
The judicial authority, after exceptions to the announced by the jury in open court.
charge, or upon its own motion, may recall the (See Sec. 867, P.B. 1978-1997.)(P.B. 1998.)
jury to the courtroom and give it additional instruc- Sec. 16-31. —Acceptance of Verdict
tions in order to:
Subject to the provisions of Section 16-17, the
(1) Correct or withdraw an erroneous in- judicial authority shall, if the verdict is in order and
struction; is technically correct, accept it without comment.
(2) Clarify an ambiguous instruction; or (See Sec. 868, P.B. 1978-1997.)(P.B. 1998; amended June
(3) Instruct the jury on any matter which should 29, 1998, to take effect Jan.1, 1999.)
have been covered in the original instructions.
(P.B. 1998; see Sec. 860.) Sec. 16-32. —Poll of Jury after Verdict
Subject to the provisions of Section 16-17, after
Sec. 16-26. Other Instructions after Addi- a verdict has been returned and before the jury
tional Instructions has been discharged, the jury shall be polled at
If the judicial authority gives additional instruc- the request of any party or upon the judicial
tions, it also may give or repeat other instructions authority’s own motion. The poll shall be con-
in order to avoid undue emphasis on the additional ducted by the clerk of the court by asking each
instructions. Additional instructions shall be gov- juror individually whether the verdict announced
erned by the procedures set forth in Section 16- is such juror’s verdict. If upon the poll there is not
25 concerning exceptions. unanimous concurrence, the jury may be directed
(See Sec. 861, P.B. 1978-1997.)(P.B. 1998.) to retire for further deliberations or it may be dis-
charged.
Sec. 16-27. Jury Request for Review of Tes- (See Sec. 869, P.B. 1978-1997.)(P.B. 1998; amended June
timony 29, 1998, to take effect Jan. 1, 1999.)
If the jury after retiring for deliberations requests Sec. 16-33. —Discharge of Jury
a review of certain testimony, the jury shall be Subject to the provisions of Section 16-17, the
conducted to the courtroom. Whenever the jury’s judicial authority shall discharge the jury after it
request is reasonable, the judicial authority, after has rendered its verdict or after a mistrial has
notice to and consultation with counsel, shall have been declared.
the requested parts of the testimony read to the (See Sec. 870, P.B. 1978-1997.)(P.B. 1998; amended June
jury. 29, 1998, to take effect Jan. 1, 1999.)
(See Sec. 863, P.B. 1978-1997.)(P.B. 1998.)
Sec. 16-34. —Impeachment of Verdict
Sec. 16-28. Jury Request for Additional Upon an inquiry into the validity of a verdict, no
Instructions evidence shall be received to show the effect of
If the jury, after retiring for deliberations, any statement, conduct, event or condition upon
requests additional instructions, the judicial the mind of a juror nor any evidence concerning
authority, after providing notice to the parties and mental processes by which the verdict was deter-
mined. Subject to these limitations, a juror’s testi-
an opportunity for suggestions by counsel, shall
mony or affidavit shall be received when it
recall the jury to the courtroom and give additional
concerns any misconduct which by law permits a
instructions necessary to respond properly to the jury to be impeached.
request or to direct the jury’s attention to a portion (See Sec. 871, P.B. 1978-1997.)(P.B. 1998.)
of the original instructions.
(See Sec. 864, P.B. 1978-1997.)(P.B. 1998.) Sec. 16-35. Motions after Verdict: Motions in
Arrest of Judgment, to Set Aside Verdict,
Sec. 16-29. Deadlocked Jury for Additur or Remittitur, for New Trial, or
If it appears to the judicial authority that the jury for Collateral Source Reduction
has been unable to agree, it may require the jury Motions in arrest of judgment, whether for
to continue its deliberations. The judicial authority extrinsic causes or causes apparent on the
shall not require or threaten to require the jury to record, motions to set aside a verdict, motions for
deliberate for an unreasonable length of time or remittitur, motions for additur, motions for new
for unreasonable intervals. It may also instruct trials, unless brought by petition served on the
the jury as to disagreements in accordance with adverse party or parties, and motions pursuant to
the law. General Statutes § 52-225a for reduction of the
(See Sec. 865, P.B. 1978-1997.)(P.B. 1998.) verdict due to collateral source payments must
242
be filed with the clerk within ten days after the day party who has moved for a directed verdict may
the verdict is accepted; provided that for good move to have the verdict and any judgment ren-
cause the judicial authority may extend this time. dered thereon set aside and have judgment ren-
The clerk shall notify the trial judge of such filing. dered in accordance with his or her motion for a
Such motions shall state the specific grounds directed verdict; or if a verdict was not returned
upon which counsel relies. such party may move for judgment in accordance
(P.B. 1978-1997, Sec. 320.) with his or her motion for a directed verdict within
Sec. 16-36. Motions to Reduce Verdict the aforesaid time after the jury has been dis-
charged from consideration of the case. If a verdict
[Transferred as of Jan. 1, 2012, to Section 17-2A.]
was returned, the judicial authority may allow the
Sec. 16-37. Reservation of Decision on judgment to stand or may set the verdict aside
Motion for Directed Verdict and either order a new trial or direct the entry of
Whenever a motion for a directed verdict made judgment as if the requested verdict had been
at any time after the close of the plaintiff’s case directed. If no verdict was returned, the judicial
in chief is denied or for any reason is not granted, authority may direct the entry of judgment as if
the judicial authority is deemed to have submitted the requested verdict had been directed or may
the action to the jury subject to a later determina- order a new trial.
(P.B. 1978-1997, Sec. 321.)
tion of the legal questions raised by the motion.
The defendant may offer evidence in the event Sec. 16-38. Memorandum on Setting Ver-
the motion is not granted, without having reserved dict Aside
the right to do so and to the same extent as if the When the judicial authority grants a motion to
motion had not been made. After the acceptance set a verdict aside, it shall file a memorandum
of a verdict and within the time stated in Section stating the grounds of its decision.
16-35 for filing a motion to set a verdict aside, a (P.B. 1978-1997, Sec. 322.)
243
CHAPTER 17
JUDGMENTS
Sec. Sec.
17-1. Judgments in General 17-27. —Entry of Judgment
17-2. Judgment on Verdict and Otherwise 17-28. —Enforcement of Judgment
17-2A. Motions to Reduce Verdict 17-29. —Default Motion Not on Short Calendar
17-3. Remittitur where Judgment Too Large 17-30. Summary Process; Default and Judgment for Fail-
17-4. Setting Aside or Opening Judgments ure to Appear or Plead
17-4A. Motions for New Trial 17-31. Procedure where Party is in Default
17-5. Record of Proceeding; Facts Supporting Judgment 17-32. Where Defendant is in Default for Failure to Plead
to Appear on Record 17-33. When Judgment May Be Rendered after a Default
17-6. Form of Finding 17-33A. Motions for Judgment of Foreclosure
17-7. Special Finding; Request 17-34. Hearings in Damages; Notice of Defenses
17-8. —Functions of Special Finding 17-35. —Requirements of Notice; Time
17-9. —Form and Contents of Special Finding 17-36. —Notice by Clerk
17-10. Modifying Judgment after Appeal 17-37. —Notice of Defense to Be Specific
17-11. Offer of Compromise by Defendant; How Made 17-38. —Amending Notice of Defense
17-12. —Acceptance of Defendant’s Offer 17-39. —No Reply Allowed
17-13. —Defendant’s Offer Not Accepted 17-40. —Evidence to Reduce Damages
17-14. Offer of Compromise by Plaintiff; How Made 17-41. Relief Permissible on Default
17-14A. —Alleged Negligence of Health Care Provider 17-42. Opening Defaults where Judgment Has Not
17-15. —Acceptance of Plaintiff’s Offer Been Rendered
17-16. —Plaintiff’s Offer Not Accepted 17-43. Opening Judgment upon Default or Nonsuit
17-17. —Offer of Compromise and Acceptance Included 17-44. Summary Judgments; Scope of Remedy
in Record 17-45. —Proceedings upon Motion for Summary Judg-
17-18. —Judgment where Plaintiff Recovers an Amount ment; Request for Extension of Time to Respond
Equal to or Greater than Offer 17-46. —Form of Affidavits
17-19. Procedure where Party Fails to Comply with Order 17-47. —When Appropriate Documents Are Unavailable
of Judicial Authority or to Appear for Trial 17-48. —Affidavits Made in Bad Faith
17-20. Motion for Default and Nonsuit for Failure to Appear 17-49. —Judgment
17-21. Defaults under Servicemembers Civil Relief Act 17-50. —Triable Issue as to Damages Only
17-22. Notice of Judgments of Nonsuit and Default for 17-51. —Judgment for Part of Claim
Failure to Enter an Appearance 17-52. Executions
17-23. Contract Actions to Pay a Definite Sum where There 17-53. Summary Process Executions
is a Default for Failure to Appear; Limitations 17-54. Declaratory Judgment; Scope
17-24. —Promise to Pay Liquidated Sum 17-55. —Conditions for Declaratory Judgment
17-25. —Motion for Default and Judgment; Affidavit of 17-56. —Procedure for Declaratory Judgment
Debt; Military Affidavit; Bill of Costs; Debt 17-57. —Costs in Declaratory Judgment
Instrument 17-58. —Declaratory Judgment Appealable
17-26. —Order for Weekly Payments 17-59. —Order of Priorities in Declaratory Judgment
Sec. 17-1. Judgments in General Sec. 17-2. Judgment on Verdict and

In all actions, whether the relief sought be legal Otherwise
or equitable in its nature, judgment may be given The judicial authority shall render judgment on
for or against one or more of several plaintiffs, all verdicts of the jury, according to the jury’s find-
and for or against one or more of several defending, subject to statutory adjustments, with costs,
unless the verdict is set aside; and in all cases
ants; and the judicial authority may grant to a where judgment is rendered otherwise than on a
defendant any affirmative relief to which the verdict, in favor of the plaintiff, the court shall
defendant may be entitled, and may determine assess the damages which the plaintiff shall
the rights of the parties on each side as between recover. If no motions under Sections 16-35 or
themselves insofar as a consideration of the 16-36 are filed, upon the expiration of the time
issues between them is necessary to a full adjudi- provided for the filing of such motions, judgment
cation as regards the claim stated in the com- on the verdict shall be rendered in accordance
plaint. (See General Statutes § 52-227.) with the verdict, and the date of the judgment shall
(P.B. 1978-1997, Sec. 323.) be the date the verdict was accepted. If motions
244
are filed pursuant to Sections 16-35 or 16-36, (c) The expedited procedures set forth in this
judgment shall be rendered at the time of and in subsection may be followed with regard to a
accordance with the decision on such motions. motion to open a judgment of foreclosure filed by
Whenever a judgment is rendered in a civil jury a plaintiff in which the filing fee has been paid,
case, the clerk shall send notice of such judgment the motion has been filed prior to the vesting of
to all attorneys and self-represented parties of title or the sale date, the plaintiff states in the
record. (See General Statutes § 52-225 and motion that the committee and appraisal fees
annotations.) have been paid or will be paid within thirty days
(P.B. 1978-1997, Sec. 324.) of court approval, and the motion has been served
on each party as provided by Sections 10-12
Sec. 17-2A. Motions to Reduce Verdict through 10-17 and with proof of service
Motions to reduce the amount of a verdict or endorsed thereon.
award pursuant to General Statutes §§ 52-225a (1) Parties shall have five days from the filing
or 52-216a shall be filed within ten days after the of the motion to file an objection with the court.
day the verdict or award is accepted and shall be Unless otherwise ordered by the judicial authority,
heard by the judge who conducted the trial. In the motion shall be heard not less than seven
matters referred to an arbitrator under the provi- days after the date the motion was filed. If the
sions of Section 23-61, motions to reduce the plaintiff states in the motion that all appearing
amount of an award shall be filed within ten days parties have received actual notice of the motion
after the decision of the arbitrator becomes a judg- and are in agreement with it, the judicial authority
ment of the court pursuant to subsection (a) of may grant the motion without a hearing.
Section 23-66. (2) When a motion to open judgment is filed
(P.B. 1978-1997, Sec. 320A.) (Amended June 28, 1999, pursuant to this subsection, the court will retain
on an interim basis pursuant to the provisions of Sec. 1-9 (c)
to take effect Jan. 1, 2000, and amendment adopted June 26,
jurisdiction over the action to award committee
2000, to take effect Jan. 1, 2001; transferred June 20, 2011, fees and expenses and appraisal fees, if neces-
to take effect Jan. 1, 2012.) sary. If judgment is not entered or the case has not
been withdrawn within 120 days of the granting of
Sec. 17-3. Remittitur where Judgment Too the motion, the judicial authority shall forthwith
Large enter a judgment of dismissal.
If any judgment is rendered, by mistake or cleri- (P.B. 1978-1997, Sec. 326.) (Amended June 22, 2009, to
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 Sec. 17-4A. Motions for New Trial
given to the adverse party or that party’s attorney; Motions for new trials in cases tried to the court,
and the judicial authority may thereupon order unless brought by petition served on the adverse
the record of such judgment to be corrected, and party or parties, must be filed with the clerk within
affirm the same for the amount to which it has ten days after the day the judgment is rendered;
been remitted. (See General Statutes § 52-228 provided that for good cause the judicial authority
and annotations.) may extend this time. The clerk shall notify the
(P.B. 1978-1997, Sec. 325.)
trial judge of such filing. Such motions shall state
Sec. 17-4. Setting Aside or Opening the specific grounds upon which counsel relies.
Judgments (Adopted June 26, 2000, to take effect Jan. 1, 2001.)
(a) Unless otherwise provided by law and Sec. 17-5. Record of Proceeding; Facts Sup-
except in such cases in which the court has contin- porting Judgment to Appear on Record
uing jurisdiction, any civil judgment or decree ren- Each judicial authority shall keep a record of its
dered in the superior court may not be opened or proceedings and cause the facts on which it found
set aside unless a motion to open or set aside is its final judgments and decrees to appear on the
filed within four months succeeding the date on record; and any such finding if requested by any
which notice was sent. The parties may waive the party shall specially set forth such facts. (See
provisions of this subsection or otherwise submit General Statutes § 52-231 and annotations.)
to the jurisdiction of the court. (P.B. 1978-1997, Sec. 327.)
(b) Upon the filing of a motion to open or set
aside a civil judgment, except a judgment in a Sec. 17-6. Form of Finding
juvenile matter, the moving party shall pay to the When all the material allegations put in issue
clerk the filing fee prescribed by statute unless in any action, whether brought for legal or for
such fee has been waived by the judicial authority. equitable relief, are found for either plaintiff or
245
defendant, the finding of the issue or issues for facts, not as a conclusion of law but as a conclu-
the plaintiff or defendant, as the case may be, will sion of fact, only the main or resulting fact should
be deemed equivalent to a finding that all material be set forth in the finding.
allegations which were put in issue are true, and (P.B. 1978-1997, Sec. 334.)
will be a sufficient compliance with Section 17-5.
Where only a part of the material allegations put in Sec. 17-10. Modifying Judgment after
issue by the pleadings are found for the prevailing Appeal
party the judgment must indicate the particular If a judgment fixing a set time for the perfor-
facts that are found. mance of an act is affirmed on appeal by the
(P.B. 1978-1997, Sec. 328.) supreme court and such time has elapsed pend-
ing the appeal, the judicial authority which ren-
Sec. 17-7. Special Finding; Request dered the judgment appealed from may, on
A request for a special finding of facts under motion and after due notice, modify it by extending
General Statutes § 52-226, shall be by written the time.
motion filed within fourteen days after the entry (P.B. 1978-1997, Sec. 340.)
of judgment.
(P.B. 1978-1997, Sec. 332.) (Amended June 20, 2011, to Sec. 17-11. Offer of Compromise by Defend-
take effect Jan. 1, 2012.) ant; How Made
Sec. 17-8. —Functions of Special Finding In any action on contract, or seeking the recov-
A special finding of facts under Section 17-5 ery of money damages, whether or not other relief
should rarely be requested or made but when is sought, the defendant may not later than thirty
made it becomes a part of the record with the days before the commencement of jury selection
same effect as though the facts were included in in a jury trial or before the commencement of
the judgment and claims of error may be based evidence in a court trial file with the clerk of the
upon it as appearing of record. If the special find- court a written offer of compromise signed by the
ing is insufficient to support the judgment, the defendant or the defendant’s attorney, directed to
error is one upon the record. The purpose of a the plaintiff or the plaintiff’s attorney, offering to
special finding is to place upon the record the settle the claim underlying the action for a sum
material facts upon which the judgment is based; certain. (See General Statutes § 52-193 and
other matters have no place in it and can only be annotations.)
presented in a finding made for the purpose of (P.B. 1978-1997, Sec. 342.) (Amended June 24, 2002, to
an appeal. A special finding is an incident to the take effect Jan. 1, 2003; amended June 26, 2006, to take
judgment, and interlocutory rulings should not be effect Jan. 1, 2007.)
included in it. The rules as to seeking corrections
in a finding for an appeal have no application to Sec. 17-12. —Acceptance of Defendant’s
a special finding. Offer
(P.B. 1978-1997, Sec. 333.) The plaintiff may, within sixty days after being
notified by the defendant of the filing of an offer
Sec. 17-9. —Form and Contents of Special of compromise, file with the clerk of the court a
Finding written acceptance of the offer signed by the plain-
The special findings of fact required by Section tiff or the plaintiff’s attorney agreeing to settle the
17-5 to be made, if requested, as an incident to underlying action for the sum certain specified in
the judgment should ordinarily form a part of the the defendant’s offer of compromise. Upon the
judgment file. It should contain only facts material filing of the written acceptance and receipt by the
to the issues tried. When any fact upon which final plaintiff of such sum certain, the plaintiff shall file
judgment is founded is simply a bare conclusion a withdrawal of the action with the clerk of the
of law from more detailed and subordinate facts, court and the clerk shall record the withdrawal of
as, for instance, in cases of constructive fraud, the action against the defendant accordingly. No
the finding, if a special one be requested, must trial shall be postponed because the period within
specially set forth the subordinate facts from which the plaintiff may accept such offer has not
which, as such conclusion of law, the judicial expired, except at the discretion of the judicial
authority finds the principal fact. In such cases authority. (See General Statutes § 52-194 and
the finding should be such as distinctly to show annotations.)
any conclusion of law thus drawn. When a mate- (P.B. 1978-1997, Sec. 343.) (Amended June 26, 2006, to
rial fact is found from more detailed or subordinate take effect Jan. 1, 2007.)
246
Sec. 17-13. —Defendant’s Offer Not whether in tort or in contract, in which it is alleged
Accepted that such injury or death resulted from the negli-
If the plaintiff does not, within the time allowed gence of a health care provider, an offer of com-
for acceptance of the offer of compromise and promise pursuant to Section 17-14 may be filed
before any evidence is offered at the trial, file the not earlier than 365 days after service of process
plaintiff’s notice of acceptance, the offer shall be is made on the defendant in such action and, if
deemed to be withdrawn and shall not be given the offer of compromise is not accepted within
in evidence; and the plaintiff, unless recovering sixty days and prior to the rendering of a verdict
more than the sum specified in the offer, with by the jury or an award by the court, the offer of
interest from its date, shall recover no costs accru- compromise shall be considered rejected and not
ing after the plaintiff received notice of the filing subject to acceptance unless refiled.
of such offer, but shall pay the defendant’s costs amended June 15, 2012, to take effect Jan. 1, 2013.)
accruing after said time. Such costs may include
reasonable attorney’s fees in an amount not to Sec. 17-15. —Acceptance of Plaintiff’s Offer
exceed $350. Nothing in this section shall be inter- Within thirty days after being notified of the filing
preted to abrogate the contractual rights of any of such offer of compromise and prior to the ren-
party concerning the recovery of attorney’s fees dering of a verdict by the jury or an award by the
in accordance with the provisions of any written judicial authority, the defendant or the defendant’s
contract between the parties to the action. The attorney may file with the clerk of the court a writ-
provisions of this section shall not apply to cases ten acceptance of the offer of compromise agree-
in which nominal damages have been assessed ing to settle the claim underlying the action for
upon a hearing after a default or after a motion the sum certain specified in the plaintiff’s offer.
to strike has been denied. (See General Statutes Upon such filing and the receipt by the plaintiff of
§ 52-195 and annotations.) such sum certain, the plaintiff shall file a with-
(P.B. 1978-1997, Sec. 344.) (Amended June 26, 2006, to drawal of the action with the clerk and the clerk
take effect Jan. 1, 2007.) shall record the withdrawal of the action against
Sec. 17-14. Offer of Compromise by Plain- the defendant accordingly.
tiff; How Made take effect Jan. 1, 2003; amended June 26, 2006, to take
(Amended June 26, 2006, to take effect Jan. 1, 2007.) effect Jan. 1, 2007.)
After commencement of any civil action based
upon contract or seeking the recovery of money Sec. 17-16. —Plaintiff’s Offer Not Accepted
damages, whether or not other relief is sought, If such offer of compromise is not accepted
the plaintiff may, not earlier than one hundred within thirty days and prior to the rendering of a
eighty days after service of process is made upon verdict by the jury or an award by the judicial
the defendant in such action but not later than authority, such offer of compromise shall be con-
thirty days before the commencement of jury sidered rejected and not subject to acceptance
selection in a jury trial or the commencement of unless refiled.
evidence in a court trial, file with the clerk of the (P.B. 1978-1997, Sec. 348.) (Amended June 24, 2002, to
court a written offer of compromise signed by the take effect Jan. 1, 2003; amended June 26, 2006, to take
effect, Jan. 1, 2007.)
plaintiff or the plaintiff’s attorney, directed to the
defendant or the defendant’s attorney, offering to Sec. 17-17. —Offer of Compromise and
settle the claim underlying the action for a sum Acceptance Included in Record
certain. For the purposes of this section, such (Amended June 26, 2006, to take effect Jan. 1, 2007.)
plaintiff includes a counterclaim plaintiff under Any such offer of compromise and any accep-
General Statutes § 8-132. The plaintiff shall give tance of the offer of compromise shall be included
notice of such offer of compromise to the defend- by the clerk in the record of the case.
ant’s attorney, or if the defendant is not repre- (P.B. 1978-1997, Sec. 349.) (Amended June 26, 2006, to
sented by an attorney, to the defendant.
(P.B. 1978-1997, Sec. 346.) (Amended June 24, 2002, to Sec. 17-18. —Judgment where Plaintiff
Recovers an Amount Equal to or Greater
Jan. 1, 2009.) than Offer
After trial the judicial authority shall examine
Sec. 17-14A. —Alleged Negligence of Health the record to determine whether the plaintiff made
Care Provider an offer of compromise which the defendant failed
In the case of any action to recover damages to accept. If the judicial authority ascertains from
resulting from personal injury or wrongful death, the record that the plaintiff has recovered an
247
amount equal to or greater than the sum certain (c) It shall be the responsibility of counsel filing
specified in that plaintiff’s offer of compromise, a motion for default for failure to appear to serve
the judicial authority shall add to the amount so the defaulting party with a copy of the motion.
recovered 8 percent annual interest on said Service and proof thereof may be made in accord-
amount. In the case of a counterclaim plaintiff ance with Sections 10-12, 10-13 and 10-14. Upon
under General Statutes § 8-132, the judicial good cause shown, the judicial authority may dis-
authority shall add to the amount so recovered 8 pense with this requirement when judgment is
percent annual interest on the difference between rendered.
the amount so recovered and the sum certain (d) Except as provided in Sections 17-23
specified in the counterclaim plaintiff’s offer of through 17-30, motions for default for failure to
compromise. Any such interest shall be computed appear shall be acted on by the clerk not less
as provided in General Statutes § 52-192a. The than seven days from the filing of the motion and
judicial authority may award reasonable attor- shall not be printed on the short calendar. The
ney’s fees in an amount not to exceed $350 and motion shall be granted by the clerk if the party
shall render judgment accordingly. Nothing in this who is the subject of the motion has not filed an
section shall be interpreted to abrogate the con- appearance. The provisions of Section 17-21 shall
tractual rights of any party concerning the recov- not apply to such motions, but such provisions
ery of attorney’s fees in accordance with the shall be complied with before a judgment may be
provisions of any written contract between the entered after default. If the defaulted party files
parties to the action. an appearance in the action prior to the entry of
(P.B. 1978-1997, Sec. 350.) (Amended June 26, 2006, to judgment after default, the default shall automati-
take effect Jan. 1, 2007; amended June 30, 2008, to take cally be set aside by operation of law. A claim for
a hearing in damages shall not be filed before the
Sec. 17-19. Procedure where Party Fails to expiration of fifteen days from the entry of a default
Comply with Order of Judicial Authority or under this subsection, except as provided in Sec-
to Appear for Trial tions 17-23 through 17-30.
If a party fails to comply with an order of a (e) A motion for nonsuit for failure to appear
judicial authority or a citation to appear or fails shall be placed on the short calendar. If it is proper
without proper excuse to appear in person or by to grant the motion, the judicial authority shall
counsel for trial, the party may be nonsuited or grant it without the need for the moving party to
defaulted by the judicial authority. appear at the short calendar.
(P.B. 1978-1997, Sec. 351.) (f) The granting of a motion for nonsuit for failure
to appear or a motion for judgment after default
Sec. 17-20. Motion for Default and Nonsuit for failure to appear shall be subject to the provi-
for Failure to Appear sions of Sections 9-1 and 17-21. Such motion
(a) Except as provided in subsection (b), if no shall contain either (1) a statement that a military
appearance has been entered for any party to any affidavit is attached thereto or (2) a statement,
action on or before the second day following the with reasons therefor, that it is not necessary to
return day, any other party to the action may make attach a military affidavit to the motion.
a motion that a nonsuit or default be entered for (P.B. 1978-1997, Sec. 352.) (Amended June 21, 2004, to
failure to appear. effect Jan. 1, 2010; amended June 21, 2010, to take effect
(b) In an action commenced by a mortgagee Jan. 1, 2011; amended June 20, 2011, to take effect Jan. 1,
prior to July 1, 2014, for the foreclosure of (1) a 2012; amended June 15, 2012, to take effect Jan. 1, 2013.)
mortgage on residential real property consisting
of a one to four-family dwelling occupied as the Sec. 17-21. Defaults under Servicemembers
primary residence of the mortgagor, with a return Civil Relief Act
date on or after July 1, 2008, or (2) a mortgage (a) An affidavit must be filed in every case in
on real property owned by a religious organization which there is a nonappearing defendant, either
with a return date during the period from October (1) stating that such defendant is in military ser-
1, 2011, to June 30, 2014, inclusive, if no appear- vice, within the meaning of the Servicemembers
ance has been entered for the mortgagor on or Civil Relief Act, or that the plaintiff is unable to
before the fifteenth day after the return day or, determine whether or not such defendant is in
if the court has extended the time for filing an such service, or (2) setting forth facts showing
appearance and no appearance has been entered that such defendant is not in such service.
on or before the date ordered by the court, any (b) If it appears that the defendant is in such
other party to the action may make a motion that service the judicial authority shall, and if it is unde-
a default be entered for failure to appear. termined whether the defendant is in such service
248
or not the judicial authority may, appoint an attor- (h) An application for a stay under this section
ney to represent such defendant before judgment does not constitute an appearance for jurisdic-
is rendered. No such attorney shall have the tional purposes and does not constitute a waiver
power to waive any right of the person for whom of any substantive or procedural defense.
he or she is appointed or to bind such person by (P.B. 1978-1997, Sec. 353.) (Amended June 20, 2005, to
his or her acts. take effect Jan. 1, 2006.)
(c) Unless it appears that the defendant is not
in such service, the judicial authority may require Sec. 17-22. Notice of Judgments of Nonsuit
as a condition before judgment is rendered that and Default for Failure to Enter an
the plaintiff file a bond approved by the judicial Appearance
authority conditioned to indemnify the defendant, A notice of every nonsuit for failure to enter an
if in military service, against any loss or damage appearance or judgment after default for failure
that such defendant may suffer by reason of any to enter an appearance, which notice includes the
judgment should the judgment be thereafter set terms of the judgment, shall be sent by mail or
aside in whole or in part.
electronic delivery within ten days of the entry of
(d) If it appears that the defendant is in military
judgment by counsel of the prevailing party to the
service, the judicial authority shall grant a stay of
proceedings for a minimum period of ninety days party against whom it is directed and a copy of
upon application of counsel or on the judicial such notice shall be filed with the clerk’s office.
authority’s own motion, if the judicial authority Proof of service shall be in accordance with Sec-
determines that: (1) there may be a defense to tion 10-14.
the action which cannot be presented without the (P.B. 1978-1997, Sec. 354.) (Amended June 20, 2011, to
defendant’s presence, or (2) counsel has been
unable to contact the defendant or otherwise
Sec. 17-23. Contract Actions to Pay a Defi-
determine if a meritorious defense exists.
(e) If the defendant is in military service or is nite Sum where There is a Default for Failure
within ninety days after termination of or release to Appear; Limitations
from such service and has received notice of the Sections 17-24 through 17-27 shall not be appli-
proceedings, the following provisions apply. At cable to: (1) any action wherein any defendant
any stage before final judgment the judicial against whom judgment is sought is in the military
authority may on its own motion and shall, upon or naval service of the United States when judg-
application by the defendant, stay the action for ment is rendered; or (2) any action brought under
a period of not less than ninety days if the applica- the small claims rules.
tion includes (1) a letter or other communication (P.B. 1978-1997, Sec. 356.)
containing facts stating how current military duty
requirements materially affect the defendant’s Sec. 17-24. —Promise to Pay Liquidated
ability to appear and stating a date when the Sum
defendant will be able to appear, and (2) a letter
(a) In any action based upon an express or
or other communication from the defendant’s
commanding officer stating that current military implied promise to pay a definite sum and claiming
duty prevents appearance and that military leave only liquidated damages, which may include inter-
is not authorized at the time of the letter. est, a reasonable attorney’s fee and other lawful
(f) (1) A defendant who is granted a stay under charges, the procedure set forth in Section 17-
subsection (e) may apply for an additional stay 20 and in Sections 17-25 through 17-28 shall be
based on the continuing material effect of military followed, if there is a default of appearance. A
duty on the defendant’s ability to appear. The certificate of closed pleadings shall not be filed in
application may be made at the time of the initial matters which fall within the scope of these rules
application or when it appears that the defendant because such matters shall not proceed on the
is unable to appear to defend the action. The inventory of pending cases requiring a hearing
application shall include the same information in damages.
required under subparagraphs (1) and (2) of sub- (b) When moving for default and judgment pur-
section (e). suant to Sections 17-25 through 17-28, a party
(2) If the judicial authority denies the application shall move for default and judgment on forms pre-
for an additional stay, the judicial authority shall scribed by the office of the chief court adminis-
appoint counsel to represent the defendant. trator.
(g) The findings made under the six preceding (P.B. 1978-1997, Sec. 357.) (Amended June 29, 1998, to
subsections shall be recited in the judgment. take effect Jan. 1, 1999.)
249
Sec. 17-25. —Motion for Default and Judg- (c) Nothing contained in this section shall pre-
ment; Affidavit of Debt; Military Affidavit; vent the judicial authority from requiring the sub-
Bill of Costs; Debt Instrument mission of additional written documentation or the
(a) The plaintiff shall file a motion for default for presence of the plaintiff, the authorized represen-
failure to appear and judgment, a bill of costs, a tative of the plaintiff or other affiants, as well as
proposed judgment and notice to all parties and, counsel, before the court prior to rendering judg-
ment if it appears to the judicial authority that
if applicable, a request for an order of weekly
additional information or evidence is required in
payments pursuant to Section 17-26.
order to enter judgment.
(b) The motion shall have attached to it the (P.B. 1978-1997, Sec. 358.) (Amended June 20, 2011, to
following affidavits: take effect Jan. 1, 2012; amended June 14, 2013, to take
(1) An affidavit of debt signed by the plaintiff or effect Jan. 1, 2014.)
by an authorized representative of the plaintiff who Sec. 17-26. —Order for Weekly Payments
is not the plaintiff’s attorney. The affidavit shall
state the amount due or the principal owed and If the moving party seeks and is entitled to an
contain an itemization of interest, attorney’s fees order for payments under the General Statutes in
excess of a nominal amount, the judicial authority
and other lawful charges claimed. The affidavit
may make, as part of the judgment, an order for
shall contain a statement that any documents
weekly payment of such sums as shall appear to
attached to it are true copies of the originals. Any the judicial authority to be reasonable. If such
plaintiff claiming interest shall separately state the order is sought, the proposed notice and form of
interest and shall specify the dates from which judgment shall contain substantially the following
and to which interest is computed, the rate of language: It is further adjudged that the defendant
interest, the manner in which it was calculated make weekly payments of $ on this judgment
and the authority upon which the claim for interest to commencing on .
is based. (P.B. 1978-1997, Sec. 359.)
(A) If the instrument on which the contract is
based is a negotiable instrument or assigned con- Sec. 17-27. —Entry of Judgment
tract, the affidavit shall state that the instrument Not less than seven days from receipt of the
or contract is now owned by the plaintiff, and a motion and affidavits, the clerk shall bring the
copy of the executed instrument or contract shall motion and affidavits to the attention of the judicial
be attached to the affidavit. If the plaintiff is not authority. If the judicial authority orders judgment
the original party with whom the instrument or entered, the clerk shall complete the proposed
contract was made, the plaintiff shall either (i) judgment and notice to all parties in accordance
attach all bills of sale back to the original creditor with the terms of the judgment. The clerk shall
and swear to its purchase of the debt from the last immediately mail or electronically deliver one copy
owner in its affidavit of debt or (ii) in the affidavit of of the judgment and notice to all parties to the
debt, recite the names of all prior owners of the plaintiff or plaintiff’s attorney.
debt with the date of each prior sale and also take effect Jan. 1, 2012.)
include the most recent bill of sale from the plain-
tiff’s seller and swear to its purchase of the debt Sec. 17-28. —Enforcement of Judgment
from its seller in the affidavit of debt. Execution upon such judgment shall be stayed
(B) If the plaintiff claims any lawful fees or until twenty days after the clerk receives from the
charges other than interest, including a reason- plaintiff, or plaintiff’s attorney, one copy of the
able attorney’s fee, the plaintiff shall attach to the judgment and notice to all parties, with a certifica-
affidavit of debt a copy of the portion of the con- tion that one copy thereof was served upon each
tract containing the terms of the contract providing judgment debtor. Service and proof thereof must
for such fees or charges and the amount claimed. be made in accordance with Sections 10-12
(C) If a claim for a reasonable attorney’s fee is through 10-14.
(P.B. 1978-1997, Sec. 361.)
made, the plaintiff shall include in the affidavit of
debt the reasons for the specific amount Sec. 17-29. —Default Motion Not on Short
requested in order that the judicial authority may Calendar
determine the relationship between the fee No motion for default and judgment filed under
requested and the actual and reasonable costs Sections 17-24 through 17-28 shall be placed on
which are incurred by counsel. the short calendar, unless the judicial authority
(2) A military affidavit as required by Section shall so order. No short calendar claim shall be
17-21. filed with this motion. Other than as provided for
250
in those sections and in Section 17-20 no notice party may file a written motion for a nonsuit or
of a default or of a judgment after default shall be default or, where applicable, an order pursuant to
required in connection with any such motion. Section 13-14. Except as otherwise provided in
(P.B. 1978-1997, Sec. 362.) (Amended June 20, 2011, to Sections 17-30 and 17-32, any such motion, after
take effect Jan. 1, 2012.) service upon each adverse party as provided by
Sec. 17-30. Summary Process; Default and Sections 10-12 through 10-17 and with proof of
Judgment for Failure to Appear or Plead service endorsed thereon, shall be filed with the
(Amended June 26, 2000, to take effect Jan. 1, 2001.) clerk of the court in which the action is pending,
(a) If the defendant in a summary process action and, unless the pleading in default be filed or the
does not appear within two days after the return disclosure be made within ten days thereafter, the
day and a motion for judgment for failure to appear clerk shall, upon the filing of a short calendar claim
and the notice to quit signed by the plaintiff or by the moving party, place the motion on the next
plaintiff’s attorney and endorsed, with his or her available short calendar list.
doings thereon, by the proper officer or indifferent (P.B. 1978-1997, Sec. 363.)
person who served such notice to quit is filed with Sec. 17-32. Where Defendant is in Default
the clerk, the judicial authority shall, not later than for Failure to Plead
the first court day after the filing of such motion,
enter judgment that the plaintiff recover posses- (a) Where a defendant is in default for failure
sion or occupancy of the premises with costs, and to plead pursuant to Section 10-8, the plaintiff may
execution shall issue subject to the statutory pro- file a written motion for default which shall be
visions. acted on by the clerk not less than seven days
(b) If the defendant in a summary process action from the filing of the motion, without placement
appears but does not plead within two days after on the short calendar.
the return day or within three days after the filing (b) If a party who has been defaulted under this
of the preceding pleading or motion, the plaintiff section files an answer before a judgment after
may file a motion for judgment for failure to plead, default has been rendered by the judicial author-
served in accordance with Sections 10-12 through ity, the default shall automatically be set aside by
10-17. If the defendant fails to plead within three operation of law unless a claim for a hearing in
days after receipt of such motion by the clerk, the damages or a motion for judgment has been filed.
judicial authority shall forthwith enter judgment If a claim for a hearing in damages or a motion
that the plaintiff recover possession or occupancy for judgment has been filed, the default may be
with costs. set aside only by the judicial authority. A claim for
(c) In summary process actions, a motion for a hearing in damages or motion for judgment shall
judgment by default that is sent to the court either not be filed before the expiration of fifteen days
electronically or is hand-delivered to the court from the date of notice of issuance of the default
shall be deemed to be filed on the third business under this subsection.
day following such delivery unless the party filing to take effect Jan. 1, 2011; amended June 12, 2015, to take
the motion for judgment by default certifies that effect Aug. 1, 2015.)
the motion has also been sent electronically or HISTORY—2016: Prior to 2016, subsection (b) read: ‘‘If a
hand-delivered on the same day to all opposing party who has been defaulted under this section files an
parties or their counsel. answer before a judgment after default has been rendered by
(P.B. 1978-1997, Sec. 362A.) (Amended June 26, 2000, the judicial authority, the clerk shall set aside the default. If a
to take effect Jan. 1, 2001; amended June 20, 2005, to take claim for a hearing in damages or a motion for judgment has
effect Jan. 1, 2006; amended June 12, 2015, to take effect been filed, the default may be set aside only by the judicial
Jan. 1, 2016.) authority. A claim for a hearing in damages or motion for
HISTORY—2016: In 2016, subsection (c) was added. judgment shall not be filed before the expiration of fifteen
COMMENTARY—2016: When motions for judgment are days from the date of notice of issuance of the default under
sent electronically or hand-delivered to the court and then this subsection.’’
mailed to the opposing parties or their counsel, there is a COMMENTARY—2016: The revision to this section is
significant chance that by the time the motion is received intended to incorporate the language of Section 17-20 regard-
by the opposing parties or their counsel judgment will have ing setting aside a default for failure to appear in order to make
entered. The revision to this section is intended to avoid the setting aside of a default for failure to plead more efficient.
that situation.
Sec. 17-33. When Judgment May Be Ren-
Sec. 17-31. Procedure where Party is in dered after a Default
Default (a) If a defendant is defaulted for failure to
Where either party is in default by reason of appear for trial, evidence may be introduced and
failure to comply with Sections 10-8, 10-35, 13-6 judgment rendered without notice to the
through 13-8, 13-9 through 13-11, the adverse defendant.
251
(b) Since the effect of a default is to preclude (b) In all actions in which there may be a hearing
the defendant from making any further defense in damages, notice of defenses must be filed
in the case so far as liability is concerned, the within ten days after notice from the clerk to the
judicial authority, at or after the time it renders the defendant that a default has been entered.
default, notwithstanding Section 17-32 (b), may (P.B. 1978-1997, Sec. 368.)
also render judgment in foreclosure cases, in
actions similar thereto and in summary process Sec. 17-36. —Notice by Clerk
actions, provided the plaintiff has also made a The clerk shall give notice of entry of a default,
motion for judgment and provided further that any in the case of a defendant who has filed an
necessary affidavits of debt or accounts or state- appearance, in person to the defendant or the
ments verified by oath, in proper form, are submit- defendant’s attorney, by mail, or by electronic
ted to the judicial authority. The judicial authority notice, and in the case of a nonappearing defend-
may render judgment in any contract action where ant, by mailing such notice to the defendant at
the damages are liquidated provided that the his or her last known address. The clerk shall
plaintiff has made a motion for judgment and sub- enter on the docket the date when the clerk gives,
mitted the affidavits and attachments specified in mails or sends the notice, and said period of ten
Section 17-25 (b) (1). days shall run from said date.
(c) If the taking of testimony is required, the take effect Jan. 1, 1999.)
procedures in Section 17-34 shall be followed
before judgment is rendered. Sec. 17-37. —Notice of Defense to Be
(P.B. 1978-1997, Sec. 364.) (Amended June 24, 2002, to Specific
effect Jan. 1, 2014.) The notice shall not contain a general denial,
but shall specify which, if any, of the allegations,
Sec. 17-33A. Motions for Judgment of Fore- or parts thereof, of the complaint will be contro-
closure verted; and only those allegations should be spec-
In all foreclosure actions, motions for judgment ified which it is intended to controvert by proof.
shall not be filed prior to the expiration of 30 days The denial of the right of the plaintiff to maintain
after the return date. the action must go to the plaintiff’s right to maintain
(Adopted June 22, 2009, to take effect Jan. 1, 2010.) it in the capacity in which the plaintiff sues, and
not otherwise controvert the right of action. Any
Sec. 17-34. Hearings in Damages; Notice new matter by way of confession and avoidance
of Defenses must be specified. The defense of contributory
(a) In any hearing in damages upon default, the negligence must be specified and the grounds
defendant shall not be permitted to offer evidence stated. Partial defenses must be specified in the
to contradict any allegations in the plaintiff’s com- same manner as complete defenses.
plaint, except such as relate to the amount of (P.B. 1978-1997, Sec. 371.)
damages, unless notice has been given to the Sec. 17-38. —Amending Notice of Defense
plaintiff of the intention to contradict such allega-
tions and of the subject matter which the defend- The judicial authority may, for cause shown,
ant intends to contradict, nor shall the defendant and upon such terms as it may impose, permit
be permitted to deny the right of the plaintiff to such notice to be filed or amended at any time.
(P.B. 1978-1997, Sec. 372.)
maintain such action, nor shall the defendant be
permitted to prove any matter of defense, unless Sec. 17-39. —No Reply Allowed
written notice has been given to the plaintiff of the The plaintiff shall file no pleading to such notice,
intention to deny such right or to prove such matter but may meet the facts set up therein by any
of defense. proper evidence.
(b) This notice shall apply to defaults entered (P.B. 1978-1997, Sec. 373.)
on all claims, counterclaims, cross claims, and
other claims for affirmative relief. (See General Sec. 17-40. —Evidence to Reduce Damages
Statutes § 52-221 and annotations.) The defendant may, without notice, offer evi-
(P.B. 1978-1997, Sec. 367.) dence to reduce the amount of damages claimed.
(P.B. 1978-1997, Sec. 374.)
Sec. 17-35. —Requirements of Notice; Time
(a) The notices required by Section 17-34 shall Sec. 17-41. Relief Permissible on Default
be given in the manner provided in Sections 10- Upon a default, the plaintiff can have no greater
12 through 10-14, the original with proof of service relief than that demanded in the complaint; but in
being filed with the clerk. any other case the judicial authority may, upon a
252
proper amendment, grant the plaintiff any other been assigned for trial. If a scheduling order has
relief consistent with the case made on the trial been entered by the court, either party may move
and embraced within the issues. for summary judgment as to any claim or defense
(P.B. 1978-1997, Sec. 375.) as a matter of right by the time specified in the
Sec. 17-42. Opening Defaults where Judg- scheduling order. If no scheduling order exists but
ment Has Not Been Rendered the case has been assigned for trial, a party must
move for permission of the judicial authority to file
A motion to set aside a default where no judg-
a motion for summary judgment. These rules shall
ment has been rendered may be granted by the
judicial authority for good cause shown upon such be applicable to counterclaims and cross com-
terms as it may impose. As part of its order, the plaints, so that any party may move for summary
judicial authority may extend the time for filing judgment upon any counterclaim or cross com-
pleadings or disclosure in favor of a party who plaint as if it were an independent action. The
has not been negligent. Certain defaults may be pendency of a motion for summary judgment shall
set aside by the clerk pursuant to Sections 17-20 delay trial only at the discretion of the trial judge.
and 17-32. (P.B. 1978-1997, Sec. 379.) (Amended June 14, 2013, to
Sec. 17-43. Opening Judgment upon Default Sec. 17-45. —Proceedings upon Motion for
or Nonsuit Summary Judgment; Request for Extension
(a) Any judgment rendered or decree passed of Time to Respond
upon a default or nonsuit may be set aside within (Amended June 30, 2003, to take effect Jan. 1, 2004.)
four months succeeding the date on which notice A motion for summary judgment shall be sup-
was sent, and the case reinstated on the docket ported by such documents as may be appropriate,
on such terms in respect to costs as the judicial including but not limited to affidavits, certified tran-
authority deems reasonable, upon the written scripts of testimony under oath, disclosures, writ-
motion of any party or person prejudiced thereby, ten admissions and the like. The motion shall be
showing reasonable cause, or that a good cause placed on the short calendar to be held not less
of action or defense in whole or in part existed at than fifteen days following the filing of the motion
the time of the rendition of such judgment or the and the supporting materials, unless the judicial
passage of such decree, and that the plaintiff or authority otherwise directs. Any adverse party
the defendant was prevented by mistake, accident may, within ten days of the filing of the motion
or other reasonable cause from prosecuting or with the court, file a request for extension of time
appearing to make the same. Such written motion to respond to the motion. The clerk shall grant
shall be verified by the oath of the complainant or such request and cause the motion to appear on
the complainant’s attorney, shall state in general the short calendar not less than thirty days from
terms the nature of the claim or defense and shall the filing of the request. Any adverse party shall
particularly set forth the reason why the plaintiff
at least five days before the date the motion is to
or the defendant failed to appear. The judicial
authority shall order reasonable notice of the pen- be considered on the short calendar file opposing
dency of such written motion to be given to the affidavits and other available documentary evi-
adverse party, and may enjoin that party against dence. Affidavits, and other documentary proof
enforcing such judgment or decree until the deci- not already a part of the file, shall be filed and
sion upon such written motion. served as are pleadings.
(b) If the judicial authority opens a nonsuit (P.B. 1978-1997, Sec. 380.) (Amended June 26, 2000, to
entered pursuant to Section 17-31, the judicial effect Jan. 1, 2004; amended June 21, 2004, to take effect
authority as part of its order may extend the time Jan. 1, 2005.)
for filing pleadings or disclosure. (See General
Statutes § 52-212.) Sec. 17-46. —Form of Affidavits
(P.B. 1978-1997, Sec. 377.)
Supporting and opposing affidavits shall be
Sec. 17-44. Summary Judgments; Scope of made on personal knowledge, shall set forth such
Remedy facts as would be admissible in evidence, and
In any action, including administrative appeals shall show affirmatively that the affiant is compe-
which are enumerated in Section 14-7, any party tent to testify to the matters stated therein. Sworn
may move for a summary judgment as to any or certified copies of all papers or parts thereof
claim or defense as a matter of right at any time referred to in an affidavit shall be attached thereto.
if no scheduling order exists and the case has not (P.B. 1978-1997, Sec. 381.)
253
Sec. 17-47. —When Appropriate Documents Sec. 17-52. Executions

Are Unavailable Pursuant to the General Statutes, the judgment
Should it appear from the affidavits of a party creditor or the attorney for the judgment creditor
opposing the motion that such party cannot, for may file a written application with the court for an
reasons stated, present facts essential to justify execution to collect an unsatisfied money
opposition, the judicial authority may deny the judgment.
motion for judgment or may order a continuance (P.B. 1978-1997, Sec. 387.)
to permit affidavits to be obtained or discovery to
Sec. 17-53. Summary Process Executions
be had or may make such other order as is just.
(P.B. 1978-1997, Sec. 382.) Whenever a summary process execution is
requested because of a violation of a term in a
Sec. 17-48. —Affidavits Made in Bad Faith judgment by stipulation or a judgment with a stay
Should it appear to the satisfaction of the judicial of execution beyond the statutory stay, a hearing
authority at any time that any affidavit is made or shall be required. If the violation consists of non-
presented in bad faith or solely for the purpose payment of a sum certain, an affidavit with service
of delay, the judicial authority shall forthwith order certified in accordance with Sections 10-12
the offending party to pay to the other party the through 10-17 shall be accepted in lieu of a hear-
reasonable expenses which the filing of the affida- ing unless an objection to the execution is filed
vit caused that party to incur, including attorney’s by the defendant prior to the issuance of the exe-
fees. Any offending party or attorney may be cution. The execution shall issue on the third busi-
adjudged guilty of contempt, and any offending ness day after the filing of the affidavit.
attorney may also be disciplined by the judicial An affidavit asserting nonpayment of a sum cer-
authority. tain that is sent to the court either electronically
(P.B. 1978-1997, Sec. 383.) or is hand-delivered to the court shall be deemed
Sec. 17-49. —Judgment to be filed on the third business day following such
delivery unless the party filing the affidavit certifies
The judgment sought shall be rendered forth-
that the affidavit has also been sent electronically
with if the pleadings, affidavits and any other proof
or hand-delivered on the same day to all opposing
submitted show that there is no genuine issue as
parties or their counsel.
to any material fact and that the moving party is (P.B. 1978-1997, Sec. 387A.) (Amended June 26, 2000,
entitled to judgment as a matter of law. to take effect Jan. 1, 2001; amended June 25, 2001, to take
(P.B. 1978-1997, Sec. 384.) effect Jan. 1, 2002; amended June 12, 2015, to take effect
Jan. 1, 2016.)
Sec. 17-50. —Triable Issue as to Damages HISTORY—2016: In 2016, what is now the second para-
Only graph of this section was added.
A summary judgment, interlocutory in charac- COMMENTARY—2016: When affidavits of noncompliance
ter, may be rendered on the issue of liability alone, are sent electronically or hand-delivered to the court and then
although there is a genuine issue as to damages. mailed to the opposing parties or their counsel, there is a
significant chance that by the time the affidavit is received by
In such case the judicial authority shall order an the opposing parties or their counsel an execution will have
immediate hearing before a judge trial referee, issued. The revision to this section is intended to avoid that sit-
before the court, or before a jury, whichever may uation.
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 Sec. 17-54. Declaratory Judgment; Scope
applicable. Upon the conclusion of these proceed- The judicial authority will, in cases not herein
ings, the judicial authority shall forthwith render excepted, render declaratory judgments as to the
the appropriate summary judgment. existence or nonexistence (1) of any right, power,
(P.B. 1978-1997, Sec. 385.) privilege or immunity; or (2) of any fact upon which
the existence or nonexistence of such right,
Sec. 17-51. —Judgment for Part of Claim power, privilege or immunity does or may depend,
If it appears that the defense applies to only whether such right, power, privilege or immunity
part of the claim, or that any part is admitted, the now exists or will arise in the future.
moving party may have final judgment forthwith (P.B. 1978-1997, Sec. 389.)
for so much of the claim as the defense does not
apply to, or as is admitted, on such terms as may Sec. 17-55. —Conditions for Declaratory
be just; and the action may be severed and pro- Judgment
ceeded with as respects the remainder of the A declaratory judgment action may be main-
claim. tained if all of the following conditions have
(P.B. 1978-1997, Sec. 386.) been met:
254
(1) The party seeking the declaratory judgment ordinance, persons interested in the subject mat-
has an interest, legal or equitable, by reason of ter of the declaratory judgment shall include such
danger of loss or of uncertainty as to the party’s municipality, and if the proceeding involves the
rights or other jural relations; validity of a state statute, such persons shall
(2) There is an actual bona fide and substantial include the attorney general.
question or issue in dispute or substantial uncer- The party seeking the declaratory judgment
tainty of legal relations which requires settlement shall append to its complaint or counterclaim a
between the parties; and certificate stating that all such interested persons
(3) In the event that there is another form of have been joined as parties to the action or have
proceeding that can provide the party seeking the been given reasonable notice thereof. If notice
declaratory judgment immediate redress, the was given, the certificate shall list the names, if
court is of the opinion that such party should be known, of all such persons, the nature of their
allowed to proceed with the claim for declaratory interest and the manner of notice.
(c) Except as provided in Sections 10-39 and
judgment despite the existence of such alter-
10-44, no declaratory judgment action shall be
nate procedure. defeated by the nonjoinder of parties or the failure
take effect Jan. 1, 2000.) to give notice to interested persons. The exclusive
remedy for nonjoinder or failure to give notice
Sec. 17-56. —Procedure for Declaratory to interested persons is by motion to strike as
Judgment provided in Sections 10-39 and 10-44.
(a) Procedure in actions seeking a declaratory (d) Except as otherwise provided by law, no
declaration shall be binding against any persons
judgment shall be as follows:
not joined as parties. If it appears to the court that
(1) The form and practice prescribed for civil the rights of nonparties will be prejudiced by its
actions shall be followed. declaration, it shall order entry of judgment in such
(2) The prayer for relief shall state with precision form as to affect only the parties to the action.
the declaratory judgment desired and no claim for (P.B. 1978-1997, Sec. 391.) (Amended June 28, 1999, to
consequential relief need be made. take effect Jan. 1, 2000.)
(3) Actions claiming coercive relief may also be Sec. 17-57. —Costs in Declaratory Judg-
accompanied by a claim for a declaratory judgment
ment, either as an alternative remedy or as an Costs shall be discretionary and may be
independent remedy. granted to or against any party to the action.
(4) Subject to the provisions of Sections 10-21 (P.B. 1978-1997, Sec. 392.)
through 10-24, causes of action for other relief Sec. 17-58. —Declaratory Judgment Ap-
may be joined in complaints seeking declara- pealable
tory judgments. The decision of the judicial authority shall be
(5) The defendant in any appropriate action may final between the parties to the action as to the
seek a declaratory judgment by a counterclaim. question or issue determined, and shall be subject
(6) Issues of fact necessary to the determination to review by appeal as in other causes.
of the cause may be submitted to the jury as in (P.B. 1978-1997, Sec. 393.)
other actions. Sec. 17-59. —Order of Priorities in Declara-
(b) All persons who have an interest in the sub- tory Judgment
ject matter of the requested declaratory judgment In any action in which order of priorities could
that is direct, immediate and adverse to the inter- be determined under scire facias proceedings,
est of one or more of the plaintiffs or defendants such order of priorities may be determined by
in the action shall be made parties to the action declaratory judgment proceedings. (See General
or shall be given reasonable notice thereof. If the Statutes § 52-235a.)
proceeding involves the validity of a municipal (P.B. 1978-1997, Sec. 394.)
255
CHAPTER 18
FEES AND COSTS
Sec. Sec.
18-1. Vouchers for Court Expenses 18-11. Witness Not Called; Fees
18-2. Costs on Appeal from Commissioners 18-12. Costs where Several Issues
18-3. Costs on Creditor’s Appeal 18-13. Several Defendants; Costs
18-4. Eminent Domain; Clerk’s Fees 18-14. Fees and Costs where Plaintiffs Join or Actions
18-5. Taxation of Costs; Appeal Are Consolidated
18-6. Costs on Writ of Error 18-15. Costs where Both Legal and Equitable Issues
18-7. Costs on Interlocutory Proceedings 18-16. Costs on Complaint and Counterclaim
18-8. Jury Fee where More than One Trial 18-17. Costs on Counterclaim
18-9. Nonresident Witnesses; Fees 18-18. Costs for Exhibits
18-10. Witness Fees in Several Suits 18-19. Proceedings before Judge; No Costs
Sec. 18-1. Vouchers for Court Expenses other. No costs shall be allowed against the
No costs shall be taxed for court expenses estate.
unless each item of payment of over fifty dollars (P.B. 1978-1997, Sec. 410.)
shall be accompanied by a proper voucher. No Sec. 18-4. Eminent Domain; Clerk’s Fees
part of the clerk’s bill or fees shall be included for
taxation in the state marshal’s bill, or in any bill If, by the provisions of the charter of any railroad
of a community correctional center. company, canal company, bridge company, or the
(P.B. 1978-1997, Sec. 407.) (Amended June 25, 2001, to like, it shall be made the duty of the judicial author-
take effect Jan. 1, 2002.) ity to appoint appraisers, assessors, commission-
ers, etc., the clerk’s fees must be paid as in
Sec. 18-2. Costs on Appeal from Commis- other causes.
sioners (P.B. 1978-1997, Sec. 411.)
If an executor, administrator or trustee upon an
estate shall appeal from the report of the commis- Sec. 18-5. Taxation of Costs; Appeal
sioners in allowing a claim to a creditor and such (a) Except as otherwise provided in this section,
claim is disallowed upon the appeal, or if a creditor costs may be taxed by the clerk in civil cases
shall appeal from the disallowance of claim in fourteen days after the filing of a written bill of
whole or in part and shall recover no more than costs provided that no objection is filed. If a written
was allowed by the commissioners, judgment for objection is filed within the fourteen day period,
costs shall be rendered against the creditor. If notice shall be given by the clerk to all appearing
upon an appeal by an executor, administrator or parties of record of the date and time of the clerk’s
trustee the creditor shall recover as large a sum taxation. The parties may appear at such taxation
as, or a larger sum than, was allowed to the credi- and have the right to be heard by the clerk.
tor by the commissioners, or if upon the creditor’s (b) Either party may move the judicial authority
own appeal from the disallowance of claim in for a review of the taxation by the clerk by filing
whole or in part, a creditor shall recover a greater a motion for review of taxation of costs within
sum than was allowed by the commissioners, twenty days of the issuance of the notice of taxa-
costs will be taxed in the creditor’s favor against tion by the clerk.
the estate. In any other case, costs shall be discre- (c) Notwithstanding the provisions of subsec-
tionary with the judicial authority. tion (a), the costs paid as an application fee for any
(P.B. 1978-1997, Sec. 409.) execution on a money judgment shall be taxed by
the clerk upon the issuance of the execution.
Sec. 18-3. Costs on Creditor’s Appeal (P.B. 1978-1997, Sec. 412.) (Amended June 20, 2005, to
If any creditor of such an estate shall appeal take effect Jan. 1, 2006.)
from the doings or report of the commissioners in
allowing the claim of any other creditor, costs, at Sec. 18-6. Costs on Writ of Error
the discretion of the judicial authority, may be No copy of a record upon which a writ of error
taxed in favor of the prevailing party against the shall be pending shall be taxed in the bill of costs
256
on such writ, unless such copy shall become nec- (b) When costs are awarded to both parties,
essary by reason of a defense of nul tiel record. the judicial authority upon motion of either party
(P.B. 1978-1997, Sec. 413.) may order a setoff of the same, and execution
Sec. 18-7. Costs on Interlocutory Pro- will then issue only for the balance.
(P.B. 1978-1997, Sec. 419.)
ceedings
Costs taxed on any interlocutory proceedings Sec. 18-13. Several Defendants; Costs
must be paid before any further pleading may be In all cases where there are several defendants,
filed or other step taken in the cause by the party the judicial authority may make such order as it
against whom they were awarded, unless the judi- may deem just to prevent any defendant from
cial authority specially directs otherwise or the
being embarrassed or put to expense by being
written consent of the adverse party is given.
(P.B. 1978-1997, Sec. 414.) required to attend upon any proceedings in the
action in which such defendant may have no inter-
Sec. 18-8. Jury Fee where More than One est; and no costs shall be taxed against any
Trial defendant with which that defendant is not
If more than one trial to the jury of a case is justly chargeable.
had, no more than one jury fee shall be required (P.B. 1978-1997, Sec. 420.)
to be paid.
(P.B. 1978-1997, Sec. 415.) Sec. 18-14. Fees and Costs where Plaintiffs
Join or Actions Are Consolidated
Sec. 18-9. Nonresident Witnesses; Fees (a) Where plaintiffs join under Section 9-4, or
The mileage or travel of witnesses residing out actions are consolidated, and the case is claimed
of the state will be computed and taxed from the for the jury, there shall be but one jury fee, except
state line, on the usual course of travel. that if separate jury trials are ordered, a jury fee
(P.B. 1978-1997, Sec. 416.)
shall be paid for each such trial.
Sec. 18-10. Witness Fees in Several Suits (b) Each party who prevails shall be entitled to
If a witness be in attendance in more cases recover from the losing party or parties indemnity,
than one, between the same parties, at the same trial and witness fees to the same extent as though
time, and on behalf of the same party, the fees the plaintiffs who have several rights had brought
of the witness for travel and attendance will be separate actions.
taxed for one case only. (P.B. 1978-1997, Sec. 421.)
(P.B. 1978-1997, Sec. 417.)
Sec. 18-15. Costs where Both Legal and
Sec. 18-11. Witness Not Called; Fees Equitable Issues
If witnesses, having been duly summoned, Where legal and equitable matters or claims
attend as witnesses, but are not called to testify, for relief arising out of the same transaction or
their fees shall be taxed in the bill of costs, if it transactions connected with the same subject of
appears to the judicial authority that they were action are joined in the same complaint, or where
summoned in good faith and with the expectation any pleading setting forth a matter which, before
of using them, and if their testimony would have January 1, 1980, would have been cognizable
been admissible. only at law is met by setting up some equitable
(P.B. 1978-1997, Sec. 418.)
matter, either by itself or in connection with a legal
Sec. 18-12. Costs where Several Issues defense, the costs upon the whole case shall be
(a) Whenever in any action there shall be two at the discretion of the judicial authority; but where
or more issues joined on material allegations, and legal and equitable causes of action which are
a part of such issues shall be found for the defend- wholly unconnected with each other are joined in
ant and the remainder for the plaintiff, the defend- the same complaint, the costs upon the judgment
ant shall recover such costs as were incurred on the equitable causes of action only shall be dis-
upon the issues found in defendant’s favor, includ- cretionary.
ing fees of witnesses and the expense of sum- (P.B. 1978-1997, Sec. 422.)
moning them. If several distinct claims shall be
made under one count, and the plaintiff shall Sec. 18-16. Costs on Complaint and Coun-
recover upon some and not upon others, plaintiff terclaim
shall not recover costs incurred in attempting to When judgment shall be for the defendant on
support the claims which plaintiff shall fail to the complaint and for the plaintiff on a counter-
establish. claim, costs shall be taxed for the defendant as
257
the prevailing party under General Statutes § 52- Sec. 18-18. Costs for Exhibits
257, unless the judicial authority shall direct The sum to be taxed to the prevailing party
otherwise. under General Statutes § 52-257, for maps, plans,
(P.B. 1978-1997, Sec. 423.) mechanical drawings, and photographs shall be
determined by the judicial authority.
(P.B. 1978-1997, Sec. 425.)
Sec. 18-17. Costs on Counterclaim Sec. 18-19. Proceedings before Judge; No
No costs shall be taxed in favor of a defendant Costs
recovering judgment on a counterclaim or setoff, In proceedings before a judge no costs shall
be taxed in favor of either party unless otherwise
which were incurred before the same was filed. provided by statute.
(P.B. 1978-1997, Sec. 424.) (P.B. 1978-1997, Sec. 427.)
258
CHAPTER 19
REFERENCES
Sec. Sec.
19-1. Application of Chapter 19-9. Request for Finding
19-2. Reference to Committee 19-10. Alternative Report
19-2A. Reference to Attorney Trial Referee 19-11. Amending Report
19-3. Reference to Judge Trial Referee 19-12. Motion to Correct [Repealed]
19-3A. Reference to Special Assignment Probate Judge 19-13. Exceptions to Report or Finding [Repealed]
19-4. Attorney Trial Referees and Special Assignment 19-14. Objections to Acceptance of Report
Probate Judges; Time to File Report 19-15. Time to File Objections
19-5. Appointment of Committee or Referee 19-16. Judgment on the Report
19-6. Effect of Reference 19-17. Function of the Court
19-7. Pleadings 19-18. Extensions of Time
19-8. Report 19-19. Reference to Accountant
Sec. 19-1. Application of Chapter the issuance of the notice. In addition to matters
The provisions of this chapter shall govern the required to be referred to a judge trial referee, the
procedure in matters, except dissolution of mar- judicial authority may refer any civil nonjury case
riage or civil union, legal separation, annulment, or, with the written consent of the parties or their
and juvenile matters, referred to committees, state attorneys, any civil jury case, pending before such
referees and senior judges, attorney trial referees, court, in which the issues have been closed, to a
special assignment probate judges, and, so far judge trial referee, who shall have and exercise
as applicable, to auditors, appraisers or other per- the powers of the superior court in respect to trial,
sons designated to make reports to the court. judgment and appeal in such case, and any pro-
(P.B. 1978-1997, Sec. 428.) (Amended June 28, 1999, to ceeding resulting from a demand for a trial de
take effect Jan. 1, 2000; amended June 26, 2006, to take novo pursuant to subsection (e) of General Stat-
Jan. 1, 2012.)
utes § 52-549z, may be referred without the con-
sent of the parties to a judge trial referee who has
Sec. 19-2. Reference to Committee been specifically designated to hear such pro-
The court or any judge thereof may send to a ceedings pursuant to subsection (b) of General
committee for a finding of facts any case wherein Statutes § 52-434. Any case referred to a judge
the parties are not, as a matter of right, entitled to trial referee shall be deemed to have been
a trial by jury. A committee shall not be appointed referred for all further proceedings and judgment,
without the consent of all parties appearing, including matters pertaining to any appeal there-
unless the court, after a hearing upon motion for from, unless otherwise ordered before or after the
appointment of a committee, is of the opinion that reference. The court may also refer to a judge
the questions involved are such as clearly ought trial referee any motion for summary judgment
to be sent to a committee. and any other pretrial matter in any civil nonjury
(P.B. 1978-1997, Sec. 429.) or civil jury case.
Sec. 19-2A. Reference to Attorney Trial take effect Jan. 1, 2003.)
Referee
The court or judicial authority may refer to an Sec. 19-3A. Reference to Special Assign-
attorney trial referee any civil nonjury case in ment Probate Judge
which the issues have been closed, provided that The court may refer any appeal filed under Gen-
the appearing parties or their counsel consent to eral Statutes § 45a-186, except those matters
the referral. described in subdivision (h) (3) of that statute, to
a special assignment probate judge appointed in
Sec. 19-3. Reference to Judge Trial Referee accordance with General Statutes § 45a-79b who
(Amended June 28, 1999, to take effect Jan. 1, 2000.) is assigned by the Probate Court Administrator
The clerk shall give notice to each referee of a for the purposes of such appeal, except that such
reference and note in the court file the date of appeal shall be heard by the court if any party
259
files a demand for such hearing in writing with the judge until the issues are closed and a certification
court not later than twenty days after service of to that effect has been filed pursuant to Section
the appeal. 14-8. Thereafter no pleadings may be filed except
(Adopted June 20, 2011, to take effect Jan. 1, 2012.) by agreement of all parties or order of the court
Sec. 19-4. Attorney Trial Referees and Spe- or the attorney trial referee or special assignment
cial Assignment Probate Judges; Time to probate judge. Such pleadings shall be filed with
File Report the clerk and a copy filed with the committee, the
attorney trial referee or the special assignment
An attorney trial referee or special assignment probate judge.
probate judge to whom a case has been referred take effect Jan. 1, 1999; amended June 28, 1999, to take
shall file a report with the clerk of the court, with effect Jan. 1, 2000; amended June 20, 2011, to take effect
sufficient copies for all counsel, within one hun- Jan. 1, 2012.)
dred and twenty days of the completion of the
trial before such referee or special assignment Sec. 19-8. Report
probate judge. (a) The report of a committee, attorney trial ref-
(P.B. 1978-1997, Sec. 430A.) (Amended June 20, 2011, eree or special assignment probate judge shall
state, in separate and consecutively numbered
Sec. 19-5. Appointment of Committee or paragraphs, the facts found and the conclusions
Referee drawn therefrom. It should not contain statements
It is the function of the court or judge to deter- of evidence or excerpts from the evidence. The
mine and appoint the person or persons who shall report should ordinarily state only the ultimate
constitute a committee, or the referee to whom facts found; but if the committee, attorney trial
a case shall be referred. Recommendations by referee or special assignment probate judge has
counsel shall be made only at the request of the reason to believe that the conclusions as to such
court or judge. If more than one person shall con- facts from subordinate facts will be questioned, it
stitute the committee, the first person named by may also state the subordinate facts found
the court shall be the chair of the committee. proven; and any committee, attorney trial referee
(P.B. 1978-1997, Sec. 431.) or special assignment probate judge having rea-
son to believe that the rulings will be questioned
Sec. 19-6. Effect of Reference may state them with a brief summary of such
(a) When any case shall be referred, no trial facts as are necessary to explain them; and the
will be had by the court unless the reference be committee, attorney trial referee or special assign-
revoked upon stipulation of the parties or order ment probate judge should state such claims as
of the court. Any reference shall continue in force were made by the parties and which either party
until the duties thereunder have been performed requests be stated.
or the order revoked. (b) The committee, attorney trial referee or spe-
(b) In making a reference in any eminent cial assignment probate judge may accompany
domain proceeding, the court shall fix a date not the report with a memorandum of decision includ-
more than sixty days thereafter, unless for good
ing such matters as it may deem helpful in the
cause shown a longer period is required, on which
the parties shall exchange copies of their decision of the case, and, in any case in which
appraisal reports. Such reports shall set forth the appraisal fees may be awarded by the court, shall
valuation placed upon the property in issue and make a finding and recommendation as to such
the details of the items of, or the basis for, such appraisal fees as it deems reasonable.
valuation. The court may, in its discretion and take effect Jan. 1, 2000; amended June 20, 2011, to take
under such conditions as it deems proper, and effect Jan. 1, 2012.)
after notice and hearing, grant a further extension
of time, beyond that originally fixed, to any party Sec. 19-9. Request for Finding
confronted with unusual and special circum- Either party may request a committee, attorney
stances requiring additional time for the exchange trial referee or special assignment probate judge
of appraisal reports. to make a finding of subordinate facts or of its
take effect Jan. 1, 2000.) rulings, and of the claims made, and shall include
in or annex to such request a statement of the
Sec. 19-7. Pleadings facts, or rulings, or claims, the party desires the
No case shall be referred to a committee, attor- committee, attorney trial referee or special assign-
ney trial referee or special assignment probate ment probate judge to incorporate in the report.
260
(P.B. 1978-1997, Sec. 435.) (Amended June 28, 1999, to Sec. 19-16. Judgment on the Report
effect Jan. 1, 2012.) After the expiration of twenty-one days from the
mailing or electronic delivery of the report, either
Sec. 19-10. Alternative Report party may, without written motion, claim the case
If alternative claims are made before the com- for the short calendar for judgment on the report
mittee, attorney trial referee or special assignment of the committee, attorney trial referee or special
probate judge, or the committee, attorney trial ref- assignment probate judge, provided, if the parties
eree or special assignment probate judge deems file a stipulation that no objections will be filed,
it advisable, it may report all the facts bearing the case may be so claimed at any time thereafter.
upon such claims and make its conclusions in The court may, on its own motion and with
the alternative, so that the judgment rendered will notice thereof, schedule the matter for judgment
depend upon which of the alternative conclusions on the report and/or hearing on any objections
the facts are found legally to support.
(P.B. 1978-1997, Sec. 436.) (Amended June 28, 1999, to thereto, anytime after the expiration of twenty-one
take effect Jan. 1, 2000; amended June 20, 2011, to take days from the mailing or electronic delivery of the
effect Jan. 1, 2011.) report to the parties or their counsel by the clerk.
Sec. 19-11. Amending Report take effect Jan. 1, 2000; amended June 20, 2011, to take
A committee, attorney trial referee or special effect, Jan. 1, 2012.)
assignment probate judge may, at any time before
a report is accepted, file an amendment to it or Sec. 19-17. Function of the Court
an amended report. (a) The court shall render such judgment as the
(P.B. 1978-1997, Sec. 437.) (Amended June 28, 1999, to law requires upon the facts in the report. If the
effect Jan. 1, 2012.) court finds that the committee, attorney trial ref-
eree or special assignment probate judge has
Sec. 19-12. Motion to Correct materially erred in its rulings or that there are other
[Repealed as of Jan. 1, 2000.] sufficient reasons why the report should not be
accepted, the court shall reject the report and
Sec. 19-13. Exceptions to Report or Finding refer the matter to the same or another committee,
[Repealed as of Jan. 1, 2000.] attorney trial referee or special assignment pro-
bate judge, as the case may be, for a new trial or
Sec. 19-14. Objections to Acceptance of
Report revoke the reference and leave the case to be
disposed of in court.
A party may file objections to the acceptance
(b) The court may correct a report at any time
of a report on the ground that conclusions of fact
before judgment upon the written stipulation of
stated in it were not properly reached on the basis
of the subordinate facts found, or that the commit- the parties or it may upon its own motion add a
tee, attorney trial referee or special assignment fact which is admitted or undisputed or strike out
probate judge erred in rulings on evidence or other a fact improperly found.
rulings or that there are other reasons why the
report should not be accepted. A party objecting effect Jan. 1, 2012.)
on these grounds must file with the party’s objec-
tions a transcript of the evidence taken before the Sec. 19-18. Extensions of Time
committee, except such portions as the parties
may stipulate to omit. Any judge of the court in which the report is
(P.B. 1978-1997, Sec. 440.) (Amended June 28, 1999, to filed may for good cause shown allow extensions
take effect Jan. 1, 2000; amended June 26, 2000, to take of time for taking any of the steps herein provided.
effect Jan. 1, 2001; amended June 20, 2011, to take effect (P.B. 1978-1997, Sec. 444.) (Amended June 28, 1999, to
Jan. 1, 2012.) take effect Jan. 1, 2000.)
Sec. 19-15. Time to File Objections Sec. 19-19. Reference to Accountant

Objections to the acceptance of a report shall The court or any judge thereof may refer any
be filed within twenty-one days after the mailing pending matter to an accountant for an examina-
or electronic delivery of the report to the parties
tion of any account or books. The accountant shall
or their counsel by the clerk.
(P.B. 1978-1997, Sec. 441.) (Amended June 28, 1999, to have authority to make such examination and
take effect Jan. 1, 2000; amended June 20, 2011, to take shall file a report with comments with the court or
effect Jan. 1, 2012.) judge. The fees and expenses of the accountant,
261
as fixed and allowed by the court or judge, shall this chapter shall not be applicable to reports by
be paid by the estate or the parties, as the court accountants under this section.
or judge may determine. The other provisions of (P.B. 1978-1997, Sec. 445.)
262
CHAPTER 20
HEARINGS IN CHAMBERS
Sec. Sec.
20-1. Procedure in Contested Matters 20-4. Trial before Judge; Lodging File and Papers
20-2. Certifying Proceedings to Court 20-5. Lodging Papers in Cause Affecting Land
20-3. Transfer of Hearings before Judges 20-6. Clerk Designated by Judge to Take Papers
Sec. 20-1. Procedure in Contested Matters to such judge or had theretofore been pending
Where any matter in a proceeding which has before him or her. (See General Statutes § 51-
or might have been made returnable to the court in 189.)
any judicial district is brought, pursuant to statute (P.B. 1978-1997, Sec. 448.)
before a judge, and is contested, and it may Sec. 20-4. Trial before Judge; Lodging File
become necessary to take oral testimony, the and Papers
judge may, at his or her discretion and by In all trials of causes before a judge that might
agreement of the parties, repair to the courthouse, have been brought to the court, the judge, when
open a special session of the court, certify such a decision has been reached, shall lodge the file
proceedings to said court, and go forward with and papers in such cause, and a memorandum
the hearing as a court. of the judge’s decision, with the clerk of the court
(P.B. 1978-1997, Sec. 446.)
who would have been the custodian thereof had
Sec. 20-2. Certifying Proceedings to Court the cause been tried by the court in such judicial
Each application or petition made to any judge district, and such clerk shall thereupon become
in connection with any cause then pending in or their lawful custodian. (See General Statutes
returnable to any court and the proceedings § 51-190a.)
(P.B. 1978-1997, Sec. 449.)
thereon shall be certified to the said court by said
judge. (See General Statutes § 52-504.) Sec. 20-5. Lodging Papers in Cause Affect-
(P.B. 1978-1997, Sec. 447.) (Amended June 25, 2001, to ing Land
In all causes relating to an interest in land, tried
Sec. 20-3. Transfer of Hearings before by a judge, the judge shall lodge the file and
Judges papers in the cause, with a memorandum of the
When, upon any application, petition or matter judge’s decision, with a clerk of the court in the
presented to any judge of the court for a hearing judicial district in which the land affected is
by him or her as a judge, notice to the adverse located, who shall thereupon become their law-
party of the hearing thereon is required, either by ful custodian.
(P.B. 1978-1997, Sec. 450.)
statute or in the discretion of the judge, the judge
to whom such application, petition or matter has Sec. 20-6. Clerk Designated by Judge to
been presented may, in the order of notice issued Take Papers
by the judge, designate any other judge of the When a cause other than one mentioned in
court to hear the same, the consent thereto of Sections 20-4 and 20-5 is tried by a judge, and it
such other judge having first been obtained, and is not otherwise provided by law where the file
when any application, petition or matter is pending and papers shall be lodged, the judge, when a
before any judge of the court, such application, decision has been reached, shall designate a
petition or matter may be by the judge transferred clerk of the superior court with whom the same
to any other judge of the court, upon like consent shall be lodged, and shall thereupon lodge the
first obtained; and in either case such other judge same with such clerk with a memorandum of the
shall thereupon proceed with such application, judge’s decision, and such clerk shall thereupon
petition or matter with the same authority as become the lawful custodian thereof.
though the same had originally been presented (P.B. 1978-1997, Sec. 451.)
263
CHAPTER 21
RECEIVERS
Sec. Sec.
21-1. Appointment of Temporary Receiver in Chambers 21-13. Semiannual Summary of Orders
21-2. Permanent Receiver 21-14. Semiannual Accounts
21-3. Appointments by Court 21-15. Orders in Chambers
21-4. Receiver to Give Bond 21-16. Duty of Clerks
21-5. Inventory 21-17. Removal of Receivers
21-6. Insolvent Estates to Be Liquidated 21-18. Ancillary Receivers
21-7. Presentation and Allowance of Claims; Presen- 21-19. Receiver of Rents; Applicability of Previous
tation Sections
21-8. —Allowance; Hearing 21-20. —Appointment
21-9. —Extensions of Time 21-21. —Bond
21-10. —Hearing before Action on Allowance 21-22. —Discharge
21-11. Continuance of Business 21-23. —Orders
21-12. Reports where Business Continued 21-24. —Reports
Sec. 21-1. Appointment of Temporary Re- the temporary receiver, on or before such open-
ceiver in Chambers ing, shall make and place upon the short calendar
All applications for the appointment of a receiver list an application therefor.
(P.B. 1978-1997, Sec. 486.)
shall be made in a civil action, and at any time
after the writ and complaint has been signed. As Sec. 21-3. Appointments by Court
ancillary thereto, an application may be made, (a) All appointments of receivers shall be tem-
when the court before which such action is pend- porary appointments, unless made by the court
ing is not in actual session, to a judge in chambers after the return day of the action, and upon full
for the appointment of a temporary receiver, after notice and opportunity to be heard to all con-
notice to the parties in interest, unless the exigen- cerned. If made after the return day the appoint-
cies of the case require otherwise; and said judge ment shall be upon written motion addressed to
may appoint a temporary receiver, and upon such the court. If made before the return day the party
appointment shall fix a time for a hearing upon desiring the appointment shall file a written appli-
the confirmation of such temporary receiver and cation as is required where the appointment is by
the appointment of appraisers, and cause not less a judge in chambers.
than six days’ notice thereof to be given to all (b) In either case the court making a temporary
parties in interest by mail and otherwise if deemed appointment shall forthwith make an order for a
necessary. Upon such hearing or an adjournment hearing upon the confirmation of such temporary
thereof, the judge may appoint two or more appointment and the appointment of two or more
appraisers and either confirm the temporary appraisers, and direct the temporary receiver to
receiver or make a new appointment of a tempo- give notice of such hearing and of the time and
rary receiver. The appointment of a temporary place thereof to all parties concerned by public
receiver shall continue until a permanent receiver advertisement if it seems advisable and by caus-
shall be appointed or until the further order of ing a written or printed notice thereof to be mailed,
the court. postpaid, to all known creditors and to all stock-
(P.B. 1978-1997, Sec. 485.) holders of record of the corporation, if the defend-
ant be a corporation, at least six days before
Sec. 21-2. Permanent Receiver such hearing.
The temporary receiver shall cause the case to (c) At said hearing, if after the return day, the
be duly assigned for trial in the court at the earliest court may appoint a permanent receiver, who may
practicable day after the return day of the action, be either the temporary receiver or a new appoin-
for the appointment of a permanent receiver, and tee. If said hearing is before the return day, then
in cases where the day for such hearing has not such appointment shall be temporary only, and
been fixed before the opening of the session of such temporary receiver shall cause the matter
the court to which said proceeding is returnable, of his or her confirmation as permanent receiver
264
or the appointment of some other person as per- Sec. 21-8. —Allowance; Hearing
manent receiver to be brought before the court (a) The receiver shall, within two weeks after
as provided in the case of temporary receivers the order of notice, make a return of compliance
appointed by a judge in chambers. with it, and within a like time after the expiration
(P.B. 1978-1997, Sec. 487.) of the limitation file a list of claims presented,
Sec. 21-4. Receiver to Give Bond separately stating those in which a preference is
Every receiver, temporary or permanent, before claimed, and make application for an order of the
assuming to act as such, shall file with the clerk court thereon.
of the court by which, or by a judge of which, he (b) The court shall thereupon by its order allow
or she was appointed, a bond with such surety or or disallow, in whole or in part, the claims so
sureties, and for such an amount as such court returned and any preferences claimed and order
or judge may order and approve, payable to the the receiver forthwith to give written notice to each
state and conditioned for the faithful performance claimant whose claim has been disallowed in
of the receiver’s official duties. (See General Stat- whole or in part that unless the claimant shall
utes § 52-506 and annotations.) within two weeks from the giving of such notice
(P.B. 1978-1997, Sec. 488.) (Amended June 25, 2001, to by the receiver bring an application to the court
take effect Jan. 1, 2002.) for the allowance of the claim, the same shall be
barred; and any such application shall be speedily
Sec. 21-5. Inventory heard and the decision thereon shall, subject to
Every receiver, upon confirmation or permanent appeal, be final. Any creditor may intervene in
appointment, shall forthwith, and without any the proceeding.
order therefor, prepare and file a sworn inventory (P.B. 1978-1997, Sec. 493.)
of the assets of the estate, which shall contain Sec. 21-9. —Extensions of Time
an appraisal of each item therein, made by the
appraisers appointed for such purpose. Every The court, for good cause shown, may extend
temporary receiver, upon original appointment, the time for presenting a claim or claims to the
shall make an inventory, unless otherwise receiver, and may extend the time for making
ordered. application for the allowance of a claim or claims
(P.B. 1978-1997, Sec. 489.) disallowed in whole or in part.
(P.B. 1978-1997, Sec. 494.)
Sec. 21-6. Insolvent Estates to Be Liq-
uidated Sec. 21-10. —Hearing before Action on
Allowance
At the time of the appointment or of the confir-
mation of a temporary receiver or the appointment The court may, upon due notice to a claimant,
of a permanent receiver, such inquiry as is practi- hear the claimant’s claim before allowing or disal-
cable shall be made by the judge or court relative lowing the same and, subject to appeal, the deci-
to the solvency of the estate. When, upon such sion thereon shall be final.
(P.B. 1978-1997, Sec. 495.)
inquiry or thereafter, it appears to the judge or
court that the estate is insolvent, the estate shall Sec. 21-11. Continuance of Business
be promptly liquidated and no further continuance No order for the continuance of a business shall
of the business, except for the purpose of liq- be made for a greater period of time than four
uidation, shall be permitted, unless, because of months, except for special cause shown. For
exceptional circumstances, it shall be otherwise cause shown, such orders may be renewed from
ordered. time to time, as the exigencies of the case may
(P.B. 1978-1997, Sec. 490.) require.
(P.B. 1978-1997, Sec. 496.)
Sec. 21-7. Presentation and Allowance of
Claims; Presentation Sec. 21-12. Reports where Business Con-
The court shall, in the judgment appointing a tinued
permanent receiver, limit a time for the presenta- When a receiver is continuing business under
tion of claims against the estate and direct that the order of a judge or the court, the receiver shall,
the receiver forthwith give notice thereof, and that during the first ten days of each month, file a report
all claims not exhibited within said time will be showing the results of operating the business dur-
barred, to all known creditors, by mailing a written ing the preceding month. The receiver shall fur-
or printed copy of such order. The court may pro- nish supplemental schedules and information if
vide for further notice if it deems the same required by the court.
advisable. (P.B. 1978-1997, Sec. 497.) (Amended June 25, 2001, to
265
Sec. 21-13. Semiannual Summary of Orders Sec. 21-18. Ancillary Receivers

Every receiver shall, on the first Tuesdays of These rules, so far as applicable, shall govern
April and October of each year, file a summary the appointment and duties of ancillary receivers.
statement of all orders made in said cause during (P.B. 1978-1997, Sec. 503.)
the six months preceding, and the doings thereun-
der. The clerk shall refer the statement to the Sec. 21-19. Receiver of Rents; Applicability
judge holding the term or session then pending, of Previous Sections
or held next thereafter, who shall, upon examina- Sections 21-1 through 21-15 shall not apply to
tion of the same, make such further orders in said receivers of rents.
cause as are deemed necessary, and may direct (P.B. 1978-1997, Sec. 505.)
that the cause be placed on the short calendar Sec. 21-20. —Appointment
for an order approving the statement.
(P.B. 1978-1997, Sec. 498.) (Amended June 20, 2011, to Every application for the appointment of a
take effect Jan. 1, 2012.) receiver of rents shall be made in or ancillary to
a civil action and may be made either to the court
Sec. 21-14. Semiannual Accounts before which such action is pending or, when the
Every receiver upon an estate which has been court is not in actual session, to a judge in cham-
in process of settlement more than four months bers. The court or judge may examine the plaintiff
(except receivers of state banks and trust compa- or plaintiff’s attorney and may thereupon appoint
nies) shall during the first week of April and Octo- a receiver of rents. Notice of the hearing should
ber of each year sign, swear to and file with the be given when practical but such appointment
court a full and detailed account of the condition may be made without notice if sufficient cause
and prospects of the estate as of the close of the appears.
next preceding month, including therein a state- (P.B. 1978-1997, Sec. 506.)
ment of realization and liquidation. The receiver Sec. 21-21. —Bond
shall furnish supplemental schedules and infor-
mation if required by the court. The receiver shall No such appointment shall become effective
cause a motion for the approval of the report to until the receiver shall have filed a bond in such
be placed on the short calendar. amount as shall have been fixed at the time of
(P.B. 1978-1997, Sec. 499.) (Amended June 25, 2001, to appointment or until said bond shall have been
take effect Jan. 1, 2002.) approved by the judge or clerk of the court in
which the action is pending; provided that no bond
Sec. 21-15. Orders in Chambers need be required of a bank or trust company.
Whenever any judge shall have appointed a The condition of bonds of such receivers shall be
receiver in chambers, all applications for orders substantially in the following form:
in said proceeding made out of court shall, except The condition of this obligation is such that,
in the case of such judge’s absence from the state, whereas the above named A has by (court or
the judge’s disability or a request in writing to the judge) been appointed, in an action brought by X
contrary, be made to such judge. against Y, to be receiver of rents of property
(P.B. 1978-1997, Sec. 500.) located in the town of
and described as (describe generally, e.g., No.
Sec. 21-16. Duty of Clerks 93 Maple Street):
The clerks shall see that these rules are Now, therefore, if said A shall well and truly
enforced and shall promptly report any violations perform his or her duties under such appointment,
thereof to the court. then this obligation shall be void, otherwise in full
(P.B. 1978-1997, Sec. 501.) force and effect.
(P.B. 1978-1997, Sec. 507.)
Sec. 21-17. Removal of Receivers
Receivers may be removed at any time, at the Sec. 21-22. —Discharge
pleasure of the court by which they were Any party in interest may at any time move for
appointed or, if such court is not in session, by a the discharge of the receiver.
judge thereof; and, if any receiver is removed or (P.B. 1978-1997, Sec. 508.)
declines to act or dies, the court that appointed
the receiver, or, if such court is not in session, a Sec. 21-23. —Orders
judge thereof, may fill the vacancy. (See General The court in which the action is pending, or the
Statutes § 52-513 and annotations.) appointing judge, may make such orders for the
(P.B. 1978-1997, Sec. 502.) governance of the receiver as circumstances
266
require. The judge shall certify any order passed Sec. 21-24. —Reports
by the judge in chambers to the court in which Such receivers shall file written reports quar-
the action may be pending. terly and at such other times as may be required.
(P.B. 1978-1997, Sec. 509.) (P.B. 1978-1997, Sec. 510.)
267
CHAPTER 22
UNEMPLOYMENT COMPENSATION
Sec. Sec.
22-1. Appeal 22-6. —Motion to Correct by Appellee
22-2. Assignment for Hearing 22-7. —Duty of Board on Motion to Correct
22-3. Finding 22-8. —Claiming Error on Board’s Decision on Motion to
22-4. Correction of Finding; Motion to Correct Finding Correct
22-5. —Evidence to Be Filed by Appellee 22-9. Function of the Court
Sec. 22-1. Appeal Sec. 22-2. Assignment for Hearing

(a) A decision of the employment security board (a) Appeals from decisions of the employment
of review may be appealed, within the time limited security board of review are privileged with
by statute, to the superior court for the judicial respect to their assignment for trial, but they shall
district of Hartford or for the judicial district wherein be claimed for the short calendar. The judicial
the appellant resides. The appeal shall be in the authority, however, may order the appeal placed
form of a petition which shall state the grounds on the administrative appeal trial list.
on which a review is sought. The appellant shall (b) In any appeal in which one of the parties is
file the original and five copies of the petition in not represented by counsel and in which the party
the office of the employment security board of taking the appeal does not claim the case for the
review. The chair of the board shall, within the short calendar or trial within a reasonable time
third business day after such filing, cause the origi- after the return day, the judicial authority may of
nal petition or petitions to be mailed to the clerk its own motion dismiss the appeal, or the party
of the superior court and, copy or copies thereof ready to proceed may move for nonsuit or default
to be mailed to the administrator and to each other as appropriate.
party to the proceeding in which the appeal was (P.B. 1978-1997, Sec. 511B.)
taken. The clerk shall docket the appeal as
Sec. 22-3. Finding
returned to the next return day after the receipt
of the petition or petitions. No appeal bond shall The finding of the board should contain only the
be required. ultimate, relevant and material facts essential to
(b) At the time the petition is mailed to the clerk, the case in hand and found by it, together with a
or as soon thereafter as practicable, the chair of statement of its conclusions and the claims of law
the board shall cause to be mailed to the clerk a made by the parties. It should not contain excerpts
certified copy of the record, which shall consist of from evidence or merely evidential facts, nor the
the notice of appeal to the referee and the board, opinions or beliefs of the board, nor the reasons
the notices of hearing before them, the referee’s for its conclusions. The opinions, beliefs, reasons
findings of fact and decision, the findings and deci- and argument of the board should be expressed
sion of the board, all documents admitted into in the memorandum of decision, if any be filed,
evidence before the referee and the board or both, so far as they may be helpful in the decision of
and all other evidentiary material accepted by the case.
them. (P.B. 1978-1997, Sec. 514.)
(c) The judicial authority may, on request of a Sec. 22-4. Correction of Finding; Motion to
party to the action or on its own motion, order the Correct Finding
board to prepare and verify to the court a transcript
If the appellant desires to have the finding of
of the hearing before the referee in cases in which
the board corrected, he or she must, within two
the board’s decision was rendered on the record
weeks after the record has been filed in the supe-
of such hearing, or a transcript of the hearing
before the board in cases in which the board’s rior court, unless the time is extended for cause
decision was rendered on the record of its own by the board, file with the board a motion for the
evidentiary hearing. correction of the finding and with it such portions
(P.B. 1978-1997, Sec. 511A.) (Amended June 29, 1998, of the evidence as he or she deems relevant and
to take effect Sept. 1, 1998; amended June 25, 2001, to take material to the corrections asked for, certified by
effect Jan. 1, 2002.) the stenographer who took it; but if the appellant
268
claims that substantially all the evidence is rele- with the court within two weeks from the date the
vant and material to the corrections sought, he or board’s decision on the motion to correct was
she may file all of it, so certified, indicating in the mailed to the party making the claim, and shall
motion so far as possible the portion applicable to contain a certification that a copy thereof has been
each correction sought. The board shall forthwith served on the board and on each other party to the
upon the filing of the motion and of the transcript appeal in accordance with Sections 10-12 through
of the evidence, give notice to the adverse party 10-17.
or parties. (b) The appellant shall include his or her claims
(P.B. 1978-1997, Sec. 515A.) of error in the appeal petition unless they are filed
subsequent to the filing of that petition, in which
Sec. 22-5. —Evidence to Be Filed by Ap-
case they shall be set forth in an amended petition.
pellee (P.B. 1978-1997, Sec. 518A.)
The appellee should, if he or she deems that
additional evidence is relevant and material to Sec. 22-9. Function of the Court
the motion to correct, within one week after the (a) Such appeals are heard by the court upon
appellant has filed the transcript of evidence, so the certified copy of the record filed by the board.
notify the board, and, at the earliest time, he or The court does not retry the facts or hear evi-
she can procure it file with the board such addi- dence. It considers no evidence other than that
tional evidence. certified to it by the board, and then for the limited
(P.B. 1978-1997, Sec. 516.) purpose of determining whether the finding should
be corrected, or whether there was any evidence
Sec. 22-6. —Motion to Correct by Appellee to support in law the conclusions reached. It can-
If the appellee desires to file a motion to correct, not review the conclusions of the board when
the procedure to be followed shall be the same these depend upon the weight of the evidence
as that set forth in Sections 22-4 and 22-5 above. and the credibility of witnesses. In addition to ren-
(P.B. 1978-1997, Sec. 516A.) dering judgment on the appeal, the court may
order the board to remand the case to a referee
Sec. 22-7. —Duty of Board on Motion to for any further proceedings deemed necessary by
Correct the court. The court may remand the case to the
The board shall file with the court, within a rea- board for proceedings de novo, or for further pro-
sonable time, such motions to correct together ceedings on the record, or for such limited pur-
with its decision thereon. If the motions are denied poses as the court may prescribe. The court may
in whole or in part and such denial is made a retain jurisdiction by ordering a return to the court
ground of appeal to the court, the board shall, of the proceedings conducted in accordance with
within a reasonable time thereafter, file in the court the order of the court, or may order final disposi-
the transcripts of evidence filed by the appellant tion. A party aggrieved by a final disposition made
and the appellee, together with such additional in compliance with an order of the superior court
evidence as may have been taken before the may, by the filing of an appropriate motion,
board in the form of testimony, or taken by it in request the court to review the disposition of
other ways, and deemed by it relevant and mate- the case.
rial to these corrections. (b) Corrections by the court of the board’s find-
(P.B. 1978-1997, Sec. 518.) ing will only be made upon the refusal to find a
material fact which was an admitted or undisputed
Sec. 22-8. —Claiming Error on Board’s Deci- fact, upon the finding of a fact in language of
sion on Motion to Correct doubtful meaning so that its real significance may
(a) Any party to the appeal may file claims of not clearly appear, or upon the finding of a material
error concerning the board’s decision on a motion fact without evidence.
to correct the finding. Such claims shall be filed (P.B. 1978-1997, Sec. 519.)
269
CHAPTER 23
MISCELLANEOUS REMEDIES AND PROCEDURES
Sec. Sec.
23-1. Arbitration; Confirming, Correcting or Vacating 23-32. —Amendments
Award 23-33. —Request for a More Specific Statement
23-2. Expedited Process Cases [Repealed] 23-34. —Summary Procedures for Habeas Corpus
23-3. —Placement on the Expedited Process Track Petitions
[Repealed] 23-35. —Schedule for Filing Pleadings
23-4. —Pleadings Allowed in Expedited Process Track 23-36. —The Expanded Record
Cases [Repealed] 23-37. —Summary Judgment in Habeas Corpus
23-5. —Motions Allowed [Repealed] 23-38. —Discovery in Habeas Corpus
23-6. —Discovery Allowed [Repealed] 23-39. —Depositions in Habeas Corpus
23-7. —Discovery Procedure for Expedited Process 23-40. —Court Appearance in Habeas Corpus
Cases [Repealed] 23-41. —Motion for Leave to Withdraw Appearance of
23-8. —Certification That Pleadings Are Closed Appointed Counsel
[Repealed] 23-42. —Judicial Action on Motion for Permission to With-
23-9. —Case Management Conference for Expedited draw Appearance
Process Track Cases [Repealed] 23-43. Interpleader; Pleadings
23-10. —Transfer to Regular Docket [Repealed] 23-44. —Procedure in Interpleader
23-11. —Offers of Judgment [Repealed] 23-45. Mandamus; Parties Plaintiff
23-12. —Trial of Cases on Expedited Process Track 23-46. —Mandamus Complaint
[Repealed] 23-47. —Mandamus in Aid of Pending Action
23-13. Granting of Complex Litigation Status and 23-48. —Temporary Order of Mandamus
Assignment 23-49. —Pleadings in Mandamus
23-14. —Powers of Judge Assigned in Complex Litiga- 23-50. Writs of Error
tion Cases 23-51. Petition to Open Parking or Citation Assessment
23-15. —Request for Complex Litigation Status 23-52. Fact-Finding; Approval of Fact Finders
23-16. Foreclosure of Mortgages 23-53. —Referral of Cases to Fact Finders
23-17. —Listing of Law Days 23-54. —Selection of Fact Finders; Disqualification
23-18. —Proof of Debt in Foreclosures 23-55. —Hearing in Fact-Finding
23-56. —Finding of Facts
23-19. —Motion for Deficiency Judgment
23-57. —Objections to Acceptance of Finding of Facts
23-20. Review of Civil Contempt
23-58. —Action by Judicial Authority
23-21. Habeas Corpus 23-59. —Failure to Appear at Hearing
23-22. —The Petition 23-60. Arbitration; Approval of Arbitrators
23-23. —Return of Noncomplying Petition 23-61. —Referral of Cases to Arbitrators
23-24. —Preliminary Consideration of Judicial Authority 23-62. —Selection of Arbitrators; Disqualification
23-25. —Waiver of Filing Fees and Costs of Service 23-63. —Hearing in Arbitration
23-26. —Appointment of Counsel 23-64. —Decision of Arbitrator
23-27. —Venue for Habeas Corpus 23-65. —Failure to Appear at Hearing before Arbitrator
23-28. —Transfer of Habeas Corpus 23-66. —Claim for Trial De Novo in Arbitration; Judgment
23-29. —Dismissal 23-67. Alternative Dispute Resolution
23-30. —The Return 23-68. Where Presence of Person May Be by Means of
23-31. —Reply to the Return an Interactive Audiovisual Device
Sec. 23-1. Arbitration; Confirming, Correct- there be, why the application should not be
ing or Vacating Award granted.
(P.B. 1978-1997, Sec. 525.)
In proceedings brought for confirming, vacating
or correcting an arbitration award under General Sec. 23-2. Expedited Process Cases
Statutes §§ 52-417, 52-418 or 52-419, the court [Repealed as of Jan. 1, 2015.]
or judge to whom the application is made shall
cause to be issued a citation directing the adverse Sec. 23-3. —Placement on the Expedited
party or parties in the arbitration proceeding to Process Track
appear on a day certain and show cause, if any [Repealed as of Jan. 1, 2015.]
270
Sec. 23-4. —Pleadings Allowed in Expedited Section 23-13. The request shall be submitted in
Process Track Cases writing to the chief court administrator and the
[Repealed as of Jan. 1, 2015.] chief administrative judge of the civil division.
When an attorney makes such a request, the
Sec. 23-5. —Motions Allowed attorney shall serve a copy of the request on other
[Repealed as of Jan. 1, 2015.] parties pursuant to Sections 10-12 through 10-
17. Should the chief court administrator deem it
Sec. 23-6. —Discovery Allowed appropriate to do so, the chief court administrator
[Repealed as of Jan. 1, 2015.] may solicit comments on the request by causing
Sec. 23-7. —Discovery Procedure for Expe- a notice to be published in the Connecticut Law
dited Process Cases Journal.
(P.B. 1998.)
[Repealed as of Jan. 1, 2015.]
Sec. 23-16. Foreclosure of Mortgages
Sec. 23-8. —Certification That Pleadings
Are Closed At the time the plaintiff files a motion for judg-
ment of foreclosure, the plaintiff shall serve on
[Repealed as of Jan. 1, 2015.] each appearing defendant, in accordance with
Sec. 23-9. —Case Management Conference Sections 10-12 through 10-17, a copy of the
for Expedited Process Track Cases appraisal report of the property being foreclosed.
[Repealed as of Jan. 1, 2015.] The motion for judgment shall contain a certifica-
tion that such service was made.
Sec. 23-10. —Transfer to Regular Docket (P.B. 1978-1997, Sec. 526.)
[Repealed as of Jan. 1, 2015.] Sec. 23-17. —Listing of Law Days
Sec. 23-11. —Offers of Judgment (a) In any action to foreclose a mortgage or lien,
[Repealed as of Jan. 1, 2015.] any party seeking a judgment of strict foreclosure
shall file, with the motion for judgment, a list indi-
Sec. 23-12. —Trial of Cases on Expedited cating the order in which law days should be
Process Track assigned to the parties to the action. The order
[Repealed as of Jan. 1, 2015.] of the law days so indicated shall reflect the infor-
mation contained in the plaintiff’s complaint, as
Sec. 23-13. Granting of Complex Litigation that information may have been modified by the
Status and Assignment pleadings. Objections to the order of law days
The chief court administrator or the chief admin- indicated on said list shall only be considered in
istrative judge of the civil division may designate the context of a motion for determination of priorit-
a group of cases that have many parties and com- ies, which motion must be filed prior to the entry
mon questions of law or fact as complex litigation of judgment.
cases and assign the cases to a single judge (b) Unless otherwise ordered by the judicial
for pretrial, trial, or both and, if appropriate, may authority at the time it renders the judgment of
assign the cases to another judge or court officer strict foreclosure, the following provisions shall be
for settlement or mediation discussions. deemed to be part of every such judgment:
(P.B. 1998.)
(1) That, upon the payment of all of the sums
Sec. 23-14. —Powers of Judge Assigned in found by the judicial authority to be due the plain-
Complex Litigation Cases tiff, including all costs as allowed by the judicial
The judge to whom complex litigation cases authority and taxed by the clerk, by any defendant,
have been assigned may stay any or all further after all subsequent parties in interest have been
proceedings in the cases, may transfer any or all foreclosed, the title to the premises shall vest
further proceedings in the cases to the judicial absolutely in the defendant making such payment,
district where the judge is sitting, may hear all subject to such unpaid encumbrances, if any, as
pretrial motions, and may enter any appropriate precede the interest of the redeeming defendant.
order which facilitates the management of the (2) That the defendants, and all persons claim-
complex litigation cases. ing possession of the premises through any of the
(P.B. 1998.) defendants under any conveyance or instrument
executed or recorded subsequent to the date of
Sec. 23-15. —Request for Complex Litiga- the lis pendens or whose interest shall have been
tion Status thereafter obtained by descent or otherwise,
An attorney or judge may request the chief court deliver up possession of the premises to the plain-
administrator to make an assignment pursuant to tiff or the defendant redeeming in accordance with
271
this decree, with stay of execution of ejectment of the property, such party shall file an objection
in favor of the redeeming defendant until one day five days before the hearing on the motion and
after the time herein limited to redeem, and if all shall disclose the name of any person who will
parties fail to redeem, then until the day following testify as to the value of the property.
the last assigned law day. (P.B. 1978-1997, Sec. 528.)
(P.B. 1978-1997, Sec. 526A.)
Sec. 23-20. Review of Civil Contempt
Sec. 23-18. —Proof of Debt in Foreclosures No person shall continue to be detained in a
(a) In any action to foreclose a mortgage where correctional facility pursuant to an order of civil
no defense as to the amount of the mortgage contempt for longer than thirty days, unless at
debt is interposed, such debt may be proved by the expiration of such thirty days such person is
presenting to the judicial authority the original note presented to the judicial authority. On each such
and mortgage, together with the affidavit of the presentment, the contemnor shall be given an
plaintiff or other person familiar with the indebted- opportunity to purge himself or herself of the con-
ness, stating what amount, including interest to tempt by compliance with the order of the judicial
the date of the hearing, is due, and that there is authority. If the contemnor does not so act, the
no setoff or counterclaim thereto. judicial authority may direct that the contemnor
(b) No less than five days before the hearing remain in custody under the terms of the order of
on the motion for judgment of foreclosure, the the judicial authority then in effect, or may modify
plaintiff shall file with the clerk of the court and the order if the interests of justice so dictate.
serve on each appearing party, in accordance (P.B. 1978-1997, Sec. 528A.)
with Sections 10-12 through 10-17, a preliminary Sec. 23-21. Habeas Corpus
statement of the plaintiff’s monetary claim.
(P.B. 1978-1997, Sec. 527.) Except as otherwise provided herein, the proce-
dures set forth in Sections 23-22 through 23-42
Sec. 23-19. —Motion for Deficiency Judg- shall apply to any petition for a writ of habeas
ment corpus which sets forth a claim of illegal confine-
(a) Whenever a deficiency judgment is claimed ment. Such procedures shall not apply to any peti-
in a foreclosure action, the party claiming such tion for a writ of habeas corpus brought to
judgment shall file with the clerk of the court within determine the custody and visitation of children
the time limited by statute a written motion setting or brought by or on behalf of a person confined
forth the facts relied on as the basis for the judg- in a hospital for mental illness.
ment, which motion shall be placed on the short (P.B. 1978-1997, Sec. 529.)
calendar for an evidentiary hearing. Such hearing Sec. 23-22. —The Petition
shall be held not less than fifteen days following
the filing of the motion, except as the judicial A petition for a writ of habeas corpus shall be
authority may otherwise order. At such hearing under oath and shall state:
the judicial authority shall hear the evidence, (1) the specific facts upon which each specific
establish a valuation for the mortgaged property claim of illegal confinement is based and the
and shall render judgment for the plaintiff for the relief requested;
difference, if any, between such valuation and the (2) any previous petitions for the writ of habeas
plaintiff’s claim. The plaintiff in any further action corpus challenging the same confinement and the
upon the debt, note or obligation, shall recover dispositions taken thereon; and
only the amount of such judgment. (3) whether the legal grounds upon which the
(b) Upon the motion of any party and for good petition is based were previously asserted at the
cause shown, the court may refer such motion to criminal trial, on direct appeal or in any previous
a judge trial referee for hearing and judgment. petition.
(c) Not less than fifteen days prior to the hearing to take effect Jan. 1, 2002.)
on the motion for deficiency judgment, the party
claiming the deficiency judgment shall file with the Sec. 23-23. —Return of Noncomplying
clerk of the court and serve on each appearing Petition
party, in accordance with Sections 10-12 through The court may return any petition not in sub-
10-17, a preliminary computation of the debt, the stantial compliance with the requirements of Sec-
name of any expert on whose opinion the party tion 23-22 with a description of how the petition
will rely to prove the value of the property on the fails to comply with filing requirements and a state-
date of vesting, and a statement of the party’s ment indicating that a corrected petition may be
claims as to the value. If any party intends to offer resubmitted.
evidence contradicting the debt or the valuation (P.B. 1978-1997, Sec. 529B.)
272
Sec. 23-24. —Preliminary Consideration of new facts or to proffer new evidence not reason-
Judicial Authority ably available at the time of the prior petition;
(a) The judicial authority shall promptly review (4) the claims asserted in the petition are moot
any petition for a writ of habeas corpus to deter- or premature;
mine whether the writ should issue. The judicial (5) any other legally sufficient ground for dis-
authority shall issue the writ unless it appears that: missal of the petition exists.
(1) the court lacks jurisdiction; (P.B. 1978-1997, Sec. 529H.)
(2) the petition is wholly frivolous on its face; or
(3) the relief sought is not available. Sec. 23-30. —The Return
(b) The judicial authority shall notify the peti- (a) The respondent shall file a return to the
tioner if it declines to issue the writ pursuant to petition setting forth the facts claimed to justify
this rule. the detention and attaching any commitment
(P.B. 1978-1997, Sec. 529C.) order upon which custody is based.
(b) The return shall respond to the allegations
Sec. 23-25. —Waiver of Filing Fees and
of the petition and shall allege any facts in support
Costs of Service
of any claim of procedural default, abuse of the
The judicial authority may waive the filing fee writ, or any other claim that the petitioner is not
and costs of service in accordance with Section entitled to relief.
8-2. (P.B. 1978-1997, Sec. 529I.)
(P.B. 1978-1997, Sec. 529D.)
Sec. 23-26. —Appointment of Counsel Sec. 23-31. —Reply to the Return

In petitions arising from criminal matters, extra- (a) If the return alleges any defense or claim
dition proceedings or delinquency matters, if the that the petitioner is not entitled to relief, and such
petitioner has requested counsel, the judicial allegations are not put in dispute by the petition,
authority shall refer the matter to the public the petitioner shall file a reply.
defender for an investigation of indigence. If, after (b) The reply shall admit or deny any allegations
such investigation, the judicial authority deter- that the petitioner is not entitled to relief.
mines that the petitioner is eligible for public (c) The reply shall allege any facts and assert
defender services, the judicial authority shall any cause and prejudice claimed to permit review
appoint counsel in accordance with the provisions of any issue despite any claimed procedural
of General Statutes § 51-296. default. The reply shall not restate the claims of
(P.B. 1978-1997, Sec. 529E.) the petition.
(P.B. 1978-1997, Sec. 529J.)
Sec. 23-27. —Venue for Habeas Corpus
The venue for habeas corpus matters shall be Sec. 23-32. —Amendments
in accordance with the general statutes. Transfer The petitioner may amend the petition at any
or removal of the subject of the petition to another time prior to the filing of the return. Following the
location shall not affect venue, provided that the return, any pleading may be amended with leave
subject of the petition remains in the custody of of the judicial authority for good cause shown.
the respondent. (P.B. 1978-1997, Sec. 529K.)
(P.B. 1978-1997, Sec. 529F.)
Sec. 23-33. —Request for a More Specific
Sec. 23-28. —Transfer of Habeas Corpus Statement
The petition may be transferred to another judi- Any party may request a more specific state-
cial district for good cause shown. ment regarding a preceding pleading to obtain a
(P.B. 1978-1997, Sec. 529G.)
more complete and particular statement of the
Sec. 23-29. —Dismissal facts supporting each legal claim or to obtain any
The judicial authority may, at any time, upon its other appropriate correction in the preceding
own motion or upon motion of the respondent, pleading. Such request shall be deemed to have
dismiss the petition, or any count thereof, if it been granted by the judicial authority on the date
determines that: of the filing and shall be complied with by the party
(1) the court lacks jurisdiction; to whom it is directed within thirty days of filing,
(2) the petition, or a count thereof, fails to state unless within thirty days of filing the party to whom
a claim upon which habeas corpus relief can be it is directed objects, setting forth, in concise fash-
granted; ion, the basis for the objection. A request for a
(3) the petition presents the same ground as a more specific statement, and objection, may be
prior petition previously denied and fails to state ruled upon by the judicial authority without oral
273
argument, unless the judicial authority determines record or clerk’s file as part of the record before the habeas
that oral argument is necessary. court.’’
(P.B. 1978-1997, Sec. 529L.) COMMENTARY—2016: The revisions to this section allow
for the creation of an ‘‘expanded record’’ in the habeas court
Sec. 23-34. —Summary Procedures for from materials from the underlying criminal case. This will
Habeas Corpus Petitions reduce confusion as to what materials are before the court
and what the parties are relying on. It will also reduce record
The judicial authority may establish such addi- keeping issues that are created when a trial is over and some
tional procedures as it determines will aid in the of the criminal court records were delivered as part of the
fair and summary disposition of habeas corpus expanded record, but never marked as exhibits.
petitions, including, but not limited to, schedul-
ing orders. Sec. 23-37. —Summary Judgment in
(P.B. 1978-1997, Sec. 529M.) Habeas Corpus
Sec. 23-35. —Schedule for Filing Pleadings At any time after the pleadings are closed, any
party may move for summary judgment, which
Unless the judicial authority issues specific
scheduling orders, the following schedule shall shall be rendered if the pleadings, affidavits and
apply: any other evidence submitted show that there is
(a) Amended Petition. no genuine issue of material fact between the
(1) Transcript Necessary. If a transcript of prior parties requiring a trial and the moving party is
proceedings is necessary to pursue the petition, entitled to judgment as a matter of law.
(P.B. 1978-1997, Sec. 529P.)
within thirty days after notice that the writ has
issued, or notice of appointment of counsel, Sec. 23-38. —Discovery in Habeas Corpus
whichever is later, the petitioner shall file a state-
ment describing any transcript(s) ordered. Upon (a) Discovery, as of right, is limited to:
receipt of the transcript(s), the petitioner shall file (1) A list of witnesses;
a notice of transcript receipt. Within sixty days of (2) A statement of the subject matter upon
receipt of the transcript(s), the petitioner shall file which any expert witness is expected to testify;
an amended petition, or notice that the petition (3) A statement of the opinions the expert is
will not be amended. expected to render and the ground for each
(2) Transcript not Necessary. If a transcript is opinion.
not necessary to pursue the petition, within thirty (b) The parties may cooperatively engage in
days after notice that the writ has issued, or notice informal discovery. The provisions of chapter 13,
of appointment of counsel, whichever is later, the Discovery and Depositions of the rules of practice,
petitioner shall file an amended petition or a notice do not apply to habeas corpus proceedings.
that the petition will not be amended.
(c) Upon motion, the judicial authority may order
(b) Return or Responsive Pleading. The return
such other limited discovery as the judicial author-
or responsive pleading shall be filed within thirty
days of the filing of the amended petition or the ity determines will enhance the fair and summary
notice that the petition will not be amended. disposal of the case.
(P.B. 1978-1997, Sec. 529Q.)
(c) Reply. Any reply to the return shall be filed
within thirty days after the filing of the return. Sec. 23-39. —Depositions in Habeas Corpus
(d) The judicial authority may alter the time for
filing any pleading. (a) Upon leave of the judicial authority, the testi-
(P.B. 1978-1997, Sec. 529N.) mony of any person may be taken by deposition
if the testimony will be required at an evidentiary
Sec. 23-36. —The Expanded Record hearing and it appears:
A party may, consistent with the rules of evi- (1) the testimony may not be available at the
dence, offer as an exhibit, or the habeas court required evidentiary hearing because of physical
may take judicial notice of, the transcript and any or mental illness or infirmity of the witness; or
portion of the superior court, appellate court or (2) the witness resides out of this state and
supreme court record or clerk’s file from the peti- cannot be compelled to attend and give testi-
tioner’s criminal matter which is the subject of the mony; or
habeas proceeding. (3) the witness may otherwise be unavailable
(P.B. 1978-1997, Sec. 529O.) (Amended June 12, 2015,
to testify at the required evidentiary hearing.
HISTORY—2016: Prior to 2016, this section read: ‘‘A party (b) The admissibility of deposition testimony
may file with the court any portion of the transcript and any shall be governed by the rules of evidence.
portion of the superior court, appellate court or supreme court (P.B. 1978-1997, Sec. 529R.)
274
Sec. 23-40. —Court Appearance in Habeas motion and supporting memorandum are filed to
Corpus file a response with the court.
(P.B. 1978-1997, Sec. 529T.) (Amended June 22, 2009, to
(a) The petitioner and, if they are not the same, take effect Jan. 1, 2010.)
the subject of the petition, shall have the right to
be present at any evidentiary hearing and at any Sec. 23-42. —Judicial Action on Motion for
hearing or oral argument on a question of law Permission to Withdraw Appearance
which may be dispositive of the case, unless the (a) The presiding judge shall fully examine the
petitioner, or the subject of the petition, as the memoranda of law filed by counsel and the peti-
case may be, waives such right or is excused by tioner, together with any relevant portions of the
the judicial authority for good cause shown. If the records of prior trial court, appellate and postcon-
petitioner is represented by counsel, the judicial viction proceedings. If, after such examination, the
authority may, but is not required to, permit the presiding judge concludes that the submissions
petitioner to be present at any other proceeding. establish that the petitioner’s case is wholly frivo-
(b) Notwithstanding any other provision of these lous, such judge shall grant counsel’s motion to
rules, in a petition arising from a claim regarding withdraw and permit the petitioner to proceed as
conditions of confinement the physical appear- a self-represented party. A memorandum shall be
ance in court of the petitioner or the subject of filed setting forth the basis for granting any motion
the petition may, in the discretion of the judicial under Section 23-41.
authority, be made by means of an interactive (b) If, after the examination required in subsec-
audiovisual device. Such audiovisual device must tion (a), the presiding judge does not conclude
operate so that the petitioner, or the subject of that the petitioner’s case is wholly frivolous, such
the petition, his or her attorney, if any, and the judge may deny the motion to withdraw, may
judicial authority can see and communicate with appoint substitute counsel for further proceedings
each other simultaneously. In addition, a proce- under Section 23-41, or may allow the withdrawal
dure by which the petitioner and his or her attorney on other grounds and appoint new counsel to rep-
can confer in private must be provided. resent the petitioner.
(P.B. 1978-1997, Sec. 529S.) (Amended June 28, 1999, (P.B. 1978-1997, Sec. 529U.) (Amended June 22, 2009,
to take effect Jan. 1, 2000.) to take effect Jan. 1, 2010.)
Sec. 23-41. —Motion for Leave to Withdraw Sec. 23-43. Interpleader; Pleadings
Appearance of Appointed Counsel The complaint in an interpleader action shall
(a) When counsel has been appointed pursuant allege only such facts as show that there are
to Section 23-26, and counsel, after conscientious adverse claims to the fund or property.
(P.B. 1978-1997, Sec. 538.)
investigation and examination of the case, con-
cludes that the case is wholly frivolous, counsel Sec. 23-44. —Procedure in Interpleader
shall so advise the judicial authority by filing a No trial on the merits of an interpleader action
motion for leave to withdraw from the case. shall be had until (1) an interlocutory judgment of
(b) At the time such motion is filed, counsel for interpleader shall have been entered; and (2) all
the petitioner shall also file all relevant portions defendants shall have filed statements of claim,
of the record of the criminal case, direct appeal been defaulted or filed waivers. Issues shall be
and any postconviction proceedings not already closed on the claims as in other cases.
filed together with a memorandum of law outlining: (P.B. 1978-1997, Sec. 539.) (Amended June 25, 2001, to
(1) the claims raised by the petitioner and any take effect Jan. 1, 2002.)
other potential claims apparent in the case; Sec. 23-45. Mandamus; Parties Plaintiff
(2) the efforts undertaken to investigate the fac-
tual basis and legal merit of each claim; An action of mandamus may be brought in an
individual right by any person who claims entitle-
(3) the factual and legal basis for the conclusion
ment to that remedy to enforce a private duty
that the case is wholly frivolous.
owed to that person, or by any state’s attorney in
(c) Any motion for leave to withdraw and sup- a capacity as such to enforce a public duty.
porting memorandum of law shall be filed under (P.B. 1978-1997, Sec. 541.)
seal and provided to the petitioner. Counsel shall
serve opposing counsel with notice that a motion Sec. 23-46. —Mandamus Complaint
for leave to withdraw has been filed but shall not The writ and complaint in an original action shall
serve opposing counsel with a copy of the motion be in the form used in, and served as are, ordinary
or any supporting memorandum of law. The peti- civil actions, but with a distinct statement in the
tioner shall have thirty days from the date the prayer for relief that an order in the nature of a
275
mandamus is sought. No affidavit to the truth of of error in the proceedings in the superior court
the allegations of the complaint is required, and relied upon as grounds of relief must be set forth.
no bond or recognizance is necessary other than No others will be heard or considered by the judi-
that ordinarily used in civil actions; and no bond or cial authority.
recognizance shall be required where the action is (P.B. 1978-1997, Sec. 546.)
brought by a state’s attorney.
(P.B. 1978-1997, Sec. 542.) Sec. 23-51. Petition to Open Parking or Cita-
tion Assessment
Sec. 23-47. —Mandamus in Aid of Pending (a) Any aggrieved person who wishes to appeal
Action a parking or citation assessment issued by a town,
An order in the nature of a mandamus may be city, borough or other municipality shall file with
made in aid of a pending action upon the applica- the clerk of the court within the time limited by
tion of any party, and any person claimed to be statute a petition to open assessment with a copy
charged with the duty of performing the act in of the notice of assessment annexed thereto. A
question may be summoned before the court by copy of the petition with the notice of assessment
the service upon that person of a rule to show annexed shall be sent by the petitioner by certified
cause. mail to the town, city, borough or municipality
(P.B. 1978-1997, Sec. 543.) involved.
Sec. 23-48. —Temporary Order of Manda- (b) Upon receipt of the petition, the clerk of the
mus court, after consultation with the presiding judge,
The plaintiff may attach to the complaint or sub- shall set a hearing date on the petition and shall
sequently file a motion under oath for a temporary notify the parties thereof. There shall be no plead-
order of mandamus to be effective until the final ings subsequent to the petition.
disposition of the cause. Such a motion shall be (c) The hearing on the petition shall be de novo.
addressed to the court to which the action is There shall be no right to a hearing before a jury.
(P.B. 1978-1997, Sec. 546A.)
returnable. The judicial authority may, if it appears
upon hearing that the plaintiff will otherwise suffer Sec. 23-52. Fact-Finding; Approval of Fact
irreparable injury, forthwith issue such an order Finders
or it may issue a rule to show cause why it should (a) Upon publication of notice requesting appli-
not be issued; but no such temporary order shall cations, any commissioner of the superior court
issue in any case, except where the state’s attor- admitted to practice in this state for at least five
ney is the plaintiff, until the plaintiff has given to years may submit his or her name to the office of
the opposing party a bond with surety, approved the chief court administrator for approval to be
by the judicial authority, that the plaintiff will placed on a list of fact finders for one or more
answer all damages should the plaintiff fail to pros- judicial districts.
ecute the action to effect, unless the judicial (b) The chief court administrator shall have the
authority shall find that the giving of such bond is power to designate fact finders for such term as
unnecessary. Any party may at any time make a the chief court administrator may fix and, in his
motion to the court that any such temporary order or her discretion, to revoke such designation at
be dissolved. any time.
(P.B. 1978-1997, Sec. 544.)
(c) Applicants and fact finders must satisfacto-
Sec. 23-49. —Pleadings in Mandamus rily complete such training programs as may be
The defendant may file any proper motion required by the chief court administrator.
directed to the allegations of the complaint, or, (P.B. 1978-1997, Sec. 546C.)
desiring to attack their legal sufficiency in law, a Sec. 23-53. —Referral of Cases to Fact
motion to strike, or a return in the form of an Finders
answer, and further pleadings shall continue as
in civil actions until issues are joined, provided The court, on its own motion, may refer to a fact
that, where an application for an order is made in finder any contract action pending in the superior
a pending action, the extent to which and the time court, except claims under insurance contracts for
in which the respondent may plead shall be as uninsured and or underinsured motorist coverage,
directed by the judicial authority. in which money damages only are claimed, which
(P.B. 1978-1997, Sec. 545.) is based upon an express or implied promise to
pay a definite sum, and in which the amount, legal
Sec. 23-50. Writs of Error interest or property in controversy is less than
In every writ of error there must be a special $50,000, exclusive of interest and costs. Such
assignment of errors, in which the precise matters cases may be referred to a fact finder only after
276
the pleadings have been closed, a certificate of (b) Objections must be filed within fourteen days
closed pleadings has been filed, and the time pre- after the filing of the finding of facts.
scribed for filing a jury trial claim has expired. (P.B. 1978-1997, Sec. 546H.)
(P.B. 1978-1997, Sec. 546D.) (Amended June 29, 1998,
Sec. 23-58. —Action by Judicial Authority
(a) After review of the finding of facts and hear-
Sec. 23-54. —Selection of Fact Finders; Dis- ing on any objections thereto, the judicial authority
qualification may take the following action: (1) render judgment
(a) The fact finder shall be selected by the pre- in accordance with the finding of facts; (2) reject
siding civil judge for the court location where the the finding of facts and remand the case to the
case is pending. fact finder who originally heard the matter for a
(b) A fact finder may disqualify himself or herself rehearing on all or part of the finding of facts; (3)
upon his or her own application or upon applica- reject the finding of facts and remand the matter
tion of a party. Should a party object to a fact to another fact finder for rehearing; (4) reject the
finder’s refusal to disqualify himself or herself for finding of facts and revoke the reference; (5)
cause, such party may file an application for dis- remand the case to the fact finder who originally
qualification with the presiding civil judge in the heard the matter for a finding on an issue raised
court location where the case is pending. in an objection which was not addressed in the
original finding of facts; or (6) take any other action
(c) Should a fact finder disqualify himself or
the judicial authority may deem appropriate.
herself, the fact finder shall inform in writing the
(b) The judicial authority may correct a finding
presiding civil judge in the court location where of facts at any time before accepting it, upon the
the case is pending. written stipulation of the parties.
(P.B. 1978-1997, Sec. 546E.)
(c) The fact finder shall not be called as a wit-
Sec. 23-55. —Hearing in Fact-Finding ness, nor shall the decision of the fact finder be
admitted into evidence at another proceeding
In matters submitted to fact-finding a record
ordered by a judicial authority.
shall be made of the proceedings and the civil (P.B. 1978-1997, Sec. 546J.)
rules of evidence shall apply.
(P.B. 1978-1997, Sec. 546F.) Sec. 23-59. —Failure to Appear at Hearing
(a) Where a party fails to appear at the hearing,
Sec. 23-56. —Finding of Facts the fact finder shall nonetheless proceed with the
(a) The findings of facts shall be in writing, and hearing and shall make a finding of facts, as may
in accordance with Section 19-8. The fact finder be just and proper under the facts and circum-
shall include in the finding of facts the number of stances of the action, which shall be filed with the
days on which hearings concerning that case clerk of the court pursuant to Section 23-56 for
were held. It shall be signed by the fact finder and consideration by the judicial authority pursuant to
should include an award of damages, if Section 23-58. If, pursuant to Section 23-57, the
applicable. party who failed to appear files an objection to
(b) The fact finder may accompany the finding the acceptance of the finding of facts and the
of facts with a memorandum of decision including objection is sustained by the judicial authority, the
such matters as the fact finder may deem helpful judicial authority may require that party to pay to
in the decision of the case. the court an amount not greater than the total
(c) Within 120 days of the completion of the fact fees then payable to the fact finder for services
finder’s hearing the fact finder shall file the finding in the case.
of facts with the clerk of the court with sufficient (b) If all parties fail to appear at the hearing,
copies for all counsel. the fact finder shall file a request with the court
(P.B. 1978-1997, Sec. 546G.) to dismiss the action. If the judicial authority does
not dismiss the action it may be heard by the fact
Sec. 23-57. —Objections to Acceptance of finder upon further order of the judicial authority.
Finding of Facts Such order may provide for the payment by any
(a) A party may file objections to the acceptance party to the court of an amount not greater than
of a finding of facts on the ground that conclusions $100.
(P.B. 1978-1997, Sec. 546K.)
of fact stated in it were not properly reached on
the basis of the subordinate facts found, or that Sec. 23-60. Arbitration; Approval of Arbi-
the fact finder erred in rulings on evidence or in trators
other rulings, or that there are other reasons why (a) Upon publication of notice requesting appli-
the finding of facts should not be accepted. cations, any commissioner of the superior court
277
admitted to practice in this state for at least five Sec. 23-64. —Decision of Arbitrator
years, and who possesses civil litigation experi- (a) The arbitrator shall state in writing the deci-
ence may submit his or her name to the office of sion on the issues in the case and the factual
the chief court administrator for approval to be basis of the decision. The arbitrator shall include
placed on a list of arbitrators for one or more in the decision the number of days on which hear-
judicial districts. ings concerning that case were held.
(b) The chief court administrator shall have the (b) Within 120 days of the completion of the
power to designate arbitrators for such term as arbitration hearing the arbitrator shall file the deci-
the chief court administrator may fix and, in his sion with the clerk of the court together with suffi-
or her discretion, to revoke such designation at cient copies for all counsel.
any time. (P.B. 1978-1997, Sec. 546Q.)
(c) Applicants and arbitrators must satisfactorily
complete such training programs as may be Sec. 23-65. —Failure to Appear at Hearing
required by the chief court administrator. before Arbitrator
(P.B. 1978-1997, Sec. 546M.) (Amended June 29, 1998, (a) Where a party fails to appear at the hearing,
to take effect Jan. 1, 1999.) the arbitrator shall nonetheless proceed with the
Sec. 23-61. —Referral of Cases to Arbi- hearing and shall render a decision, which shall
trators be rendered as a judgment by the court. Such
judgment may not be opened or set aside unless
The court, on its own motion, may refer to an a motion to open or set aside is filed within four
arbitrator any civil action in which, in the discretion months succeeding the date on which notice was
of the court, the reasonable expectation of a judg- sent. If the judicial authority opens or sets aside
ment is less than $50,000, exclusive of interest the judgment, it may resubmit the action to the
and costs and in which a claim for a trial by jury arbitrator. Any order opening or setting aside the
and a certificate of closed pleadings have been judgment may be upon condition that the moving
filed. An award under this section shall not exceed party pay to the court an amount not greater than
$50,000, exclusive of legal interest and costs. Any the total fees then payable to the arbitrator for
party may petition the court to participate in the services in the case.
arbitration process hereunder. (b) If all parties fail to appear at the hearing,
(P.B. 1978-1997, Sec. 546N.) (Amended June 29, 1998,
to take effect Jan. 1, 1999.) the arbitrator shall file a request with the court to
dismiss the action. If the judicial authority does
Sec. 23-62. —Selection of Arbitrators; Dis- not dismiss the action, it may be heard by the
qualification arbitrator upon further order of the judicial author-
(a) The arbitrator shall be selected by the pre- ity. Such order may provide for the payment by
siding civil judge for the court location in which any party to the court of an amount not greater
the case is pending. than one hundred dollars.
(P.B. 1978-1997, Sec. 546R.) (Amended June 29, 1998,
(b) An arbitrator may disqualify himself or her-
self upon his or her own application or upon appli-
cation of a party. Should a party object to an Sec. 23-66. —Claim for Trial De Novo in Arbi-
arbitrator’s refusal to disqualify himself or herself tration; Judgment
for cause, such party may file an application for
(a) A decision of the arbitrator shall become a
disqualification with the presiding civil judge in the
judgment of the court if no claim for a trial de novo
court location where the case is pending.
is filed in accordance with subsection (c).
(c) Should an arbitrator disqualify himself or
(b) A decision of the arbitrator shall become
herself, the arbitrator shall inform in writing the
null and void if a claim for a trial de novo is filed
presiding civil judge in the court location where
the case is pending. in accordance with subsection (c).
(P.B. 1978-1997, Sec. 546O.) (c) A claim for a trial de novo must be filed with
the court clerk within twenty days after the deposit
Sec. 23-63. —Hearing in Arbitration of the arbitrator’s decision in the United States
In matters submitted to arbitration no record mail, as evidenced by the postmark. Thirty days
shall be made of the proceedings and the strict after the filing of a timely claim for a trial de novo
adherence to the civil rules of evidence shall not the court may, in its discretion, schedule the mat-
be required. ter for a trial within thirty days thereafter. Only a
(P.B. 1978-1997, Sec. 546P.) (Amended June 29, 1998, party who appeared at the arbitration hearing may
to take effect Jan. 1, 1999.) file a claim for a trial de novo. The decision of the
278
arbitrator shall not be admissible in any proceed- Sec. 23-68. Where Presence of Person May
ing resulting after a claim for a trial de novo pursu- Be by Means of an Interactive Audiovisual
ant to this section or from a setting aside of an Device
award pursuant to General Statutes § 52-549aa. (a) The appearance of an incarcerated individ-
(d) The judicial authority may refer any proceed- ual for any proceeding set forth in subsection (b)
ing resulting from the filing of a demand for a trial of this section may, in the discretion of the judicial
authority on motion of a party or on its own motion,
de novo under subsection (c) of this section to a be made by means of an interactive audiovisual
judge trial referee without the consent of the par- device. Such audiovisual device must operate so
ties, and said judge trial referee shall have and that such person and his or her attorney, if any,
exercise the powers of the superior court in and the judicial authority can see and communi-
respect to trial, judgment and appeal in the case, cate with each other simultaneously. In addition,
including a judgment of fifty thousand dollars or a procedure by which such person and his or her
more. attorney can confer in private must be provided.
(P.B. 1978-1997, Sec. 546S.) (Amended June 29, 1998, For purposes of this section, judicial authority
to take effect Jan. 1, 1999; subsection (c) was amended June includes family support magistrates.
29, 1998, on an interim basis, pursuant to the provisions of (b) Proceedings in which an incarcerated indi-
Section 1-9 (c), to take effect Jan. 1, 1999; amended June vidual may appear by means of an interactive
28, 1999, to take effect Jan. 1, 2000; amended June 24, 2002, audiovisual device are limited to civil and family
to take effect Jan. 1, 2003.) (1) proceedings prior to trial including, but not
limited to, short calendar, prejudgment remedy,
Sec. 23-67. Alternative Dispute Resolution lis pendens, mechanics lien and other discovery
The judicial authority may, upon stipulation of and procedural hearings, case evaluation confer-
the parties, refer a civil action to a program of ences, pretrials, alternative dispute resolutions,
alternative dispute resolution agreed to by the par- status conferences, trial management confer-
ences, (2) hearings on posttrial motions and (3)
ties. The judicial authority shall set a time limit on matters within the jurisdiction of the family support
the duration of the referral, which shall not exceed magistrate division.
ninety days. The referral of an action to such a (c) Unless otherwise required by law or unless
program will stay the time periods within which otherwise ordered by the judicial authority, prior
all further pleadings, motions, requests, discovery to any proceeding in which a person appears by
and other procedures must be filed or undertaken means of an interactive audiovisual device, copies
until such time as the alternative dispute resolu- of all documents which may be offered at the
tion process is completed or the time period set proceeding shall be provided to all counsel and
by the judicial authority has elapsed, whichever self-represented parties in advance of the pro-
ceeding.
occurs sooner. Such referred action shall be (d) Nothing contained in this section shall be
exempt from the docket management program construed to establish a right for any incarcerated
during the time of the referral. person to appear by means of an interactive
(P.B. 1978-1997, Sec. 546T.) (Amended June 24, 2002, to audiovisual device.
take effect Jan. 1, 2003.) (Adopted Dec. 19, 2006, to take effect March 12, 2007.)
279
CHAPTER 24
SMALL CLAIMS
Sec. Sec.
24-1. In General 24-19. —Claim of Setoff or Counterclaim
24-2. Allowable Actions 24-20. —Amendment of Claim or Answer, Setoff or Coun-
24-3. Institution of Actions; Electronic Filing terclaim; Motion to Dismiss
24-4. Where Claims Shall Be Filed 24-20A. —Request for Documents; Depositions
24-5. Venue 24-21. Transfer to Regular Docket
24-6. Definition of ‘‘Plaintiff’’ and ‘‘Representative’’ 24-22. Hearings in Small Claims Actions; Subpoenas
24-7. What Constitutes File 24-23. —Procedure
24-8. Institution of Small Claims Actions; Beginning of 24-24. Judgments in Small Claims; When Presence of the
Action Plaintiff or Representative is Not Required for
24-9. —Preparation of Writ Entry of Judgment
24-10. —Service of Small Claims Writ and Notice of Suit 24-25. —Failure of the Defendant to Answer
24-11. —Further Service of Claim [Repealed] 24-26. —Failure of a Party to Appear before the Court
24-12. —Answer Date when Required
24-13. —Alternative Method of Commencing Action 24-27. —Dismissal for Failure to Obtain Judgment
[Repealed] 24-28. —Finality of Judgments and Decisions
24-14. —Notice of Time and Place of Hearing 24-29. —Decision in Small Claims; Time Limit
24-15. —Scheduling of Hearings; Continuances 24-30. —Satisfying Judgment
24-16. Answers; Requests for Time to Pay 24-31. —Opening Judgment; Costs
24-17. —Prohibition of Certain Filings 24-32. Execution in Small Claims Actions
24-18. —Plaintiff to Inquire as to Answer Filed [Repealed] 24-33. Costs in Small Claims
Sec. 24-1. In General Sec. 24-3. Institution of Actions; Electronic

(a) The general purpose of these rules is to Filing
secure the prompt and inexpensive hearing and (Amended June 21, 2010, to take effect Jan. 1, 2011.)
determination of small claims by simplified proce- Actions may be instituted at the option of the
dure designed to allow the public maximum claimant by the procedure herein provided for, or
access to and use of the court in connection with by writ and complaint returnable to the regular
civil docket of the superior court. Actions may also
such claims. Any comments as to the operation
be instituted and papers filed, signed or verified
of the small claims court should be directed to the by electronic means in the manner prescribed in
office of the chief court administrator. Section 4-4.
(b) All proceedings shall be simple and informal. (P.B. 1978-1997, Sec. 549.) (Amended June 21, 2010, to
The services of an attorney at law are permissible take effect Jan. 1, 2011.)
but not obligatory. Notice to the representative for Sec. 24-4. Where Claims Shall Be Filed
a party shall be equivalent to notice to such party. Claims shall be filed in the clerk’s office serving
take effect Jan. 1, 2001.) the small claims area designated by the chief court
administrator where venue exists, as set forth in
Sec. 24-2. Allowable Actions General Statutes §§ 51-345, 51-346 and 51-347,
(Amended June 26, 2000, to take effect Jan. 1, 2001.) except that claims concerning housing matters,
These rules shall apply to actions claiming as defined by General Statutes § 47a-68, which
money damages only, including actions against are filed in a judicial district in which a housing
a nonresident defendant if he or she owns real or session has been established, shall be filed with
personal property in this state and actions against the clerk of the housing session for that judicial
in-state and out-of-state corporations. Actions of district. Claims may be filed electronically pursu-
ant to Section 24-3. The plaintiff shall include in
libel and slander are not permitted under these
the statement of the claim a statement of facts
rules. In no case shall the damages claimed that provides the basis for venue in accordance
exceed the jurisdictional monetary limit fixed by with General Statutes §§ 51-345 (d), 51-345 (g)
statute, including attorney’s fees and other costs and such other statutes as are applicable.
of collection, but exclusive of interest and costs. (P.B. 1978-1997, Sec. 550.) (Amended June 29, 1998, to
(P.B. 1978-1997, Sec. 548.) (Amended June 26, 2000, to take effect Jan. 1, 1999; amended June 21, 2010, to take
take effect Jan. 1, 2001.) effect Jan. 1, 2011.)
280
Sec. 24-5. Venue Sec. 24-9. —Preparation of Writ

The venue for small claims shall be in accord- The small claims writ and notice of suit shall be
ance with the General Statutes. on a form prescribed by the office of the chief
(P.B. 1978-1997, Sec. 551.) court administrator. The plaintiff, or representa-
tive, shall state the nature and amount of the claim
Sec. 24-6. Definition of ‘‘Plaintiff’’ and ‘‘Rep- on the writ in concise, untechnical form and, if the
resentative’’ claim seeks collection of a consumer debt, shall
(Amended June 21, 2010, to take effect Jan. 1, 2011.) state the basis upon which the plaintiff claims that
(a) Except as hereinafter limited, the word ‘‘rep- the statute of limitations has not expired. The writ
resentative’’ as used in this chapter shall mean: is to be signed by either the plaintiff, or representa-
an attorney at law; one of a number of partners; tive, under oath. The oath shall provide that the
one of a number of joint plaintiffs acting for all; an signer has read the claim, and that to the best
officer, manager or local manager of a corpora- of the signer’s knowledge, information and belief
tion; an employee of an unincorporated business there is good ground to support it. If the claim is
which is not a partnership; the commissioner of more than a convenient length for entry on the
writ in full, the plaintiff, or representative, shall
administrative services or his or her authorized
attach additional pages as needed. The plaintiff,
representative while acting in an official capacity;
or representative, shall also state on the writ the
the chief court administrator or his or her author- plaintiff’s and the defendant’s place of residence
ized representative while acting in an official or other address. At the time of filing any writ, the
capacity. The word ‘‘representative’’ shall not plaintiff, or attorney shall verify the defendant’s
mean a consumer collection agency as defined address. Such verification shall include confirma-
in chapter 669 of the General Statutes or an indi- tion by at least one of the following methods made
vidual acting pursuant to a power of attorney. during the six months prior to the filing of the writ:
(b) The word ‘‘plaintiff’’ as used in this chapter (1) municipal record verification (e.g., from a street
shall include ‘‘representative’’ as defined in sub- list or tax records); (2) verification from the depart-
section (a), except where otherwise indicated. ment of motor vehicles; (3) receipt of correspon-
(c) It is prohibited for one who is not an attorney dence from the defendant with that return
at law to receive a fee for the representation of address; (4) other verification, specifically
any party. described by the plaintiff, from the defendant that
(P.B. 1978-1997, Sec. 552.) (Amended June 26, 2000, to the address is current; (5) the mailing by first class
take effect Jan. 1, 2001; amended June 21, 2010, to take mail, at least four weeks prior to the filing of the
effect Jan. 1, 2011.) small claims action, of a letter to the defendant
at such address, which letter has not been
Sec. 24-7. What Constitutes File returned by the United States Postal Service. The
(Amended June 26, 2000, to take effect Jan. 1, 2001.) plaintiff shall state under oath in the writ which
The file shall consist of the small claims writ and method of verification was employed within the
notice of suit, documents relating to the service of last six months, the date of verification, and that
the writ, allowable pleadings and motions, and the method confirmed the accuracy of the address
documents relating to postjudgment proceedings. submitted. No default judgment shall enter in the
All continuances granted pursuant to Section 24- absence of such verification or if it is apparent
15 shall be documented. that the defendant did not reside at the address
(P.B. 1978-1997, Sec. 553.) (Amended June 26, 2000, to at the time of service.
Sec. 24-8. Institution of Small Claims effect Jan. 1, 2011.)
Actions; Beginning of Action Sec. 24-10. —Service of Small Claims Writ
The signature by the plaintiff, or representative, and Notice of Suit
on the small claims writ and notice of suit, and (Amended June 26, 2000, to take effect Jan. 1, 2001.)
the filing of the writ with the clerk, together with (a) The plaintiff, or representative, shall cause
the payment of all required fees, shall be deemed service of the writ and notice of suit separately
the beginning of the action. Any plaintiff or repre- on each defendant by priority mail with delivery
sentative who wishes to obtain a judgment pursu- confirmation, by certified mail with return receipt
ant to the provisions of Section 24-24 shall also requested or with electronic delivery confirmation,
file the affidavits required by that section. by a nationally recognized courier service provid-
(P.B. 1978-1997, Sec. 556.) (Amended June 26, 2000, to ing delivery confirmation, or by a proper officer in
take effect Jan. 1, 2001.) the manner in which a writ of summons is served
281
in a civil action. The plaintiff, or representative, Sec. 24-15. —Scheduling of Hearings; Con-
shall include any information required by the office tinuances
of the chief court administrator. A statement of (a) A hearing shall be scheduled not less than
how service has been made, together with the six and not more than forty-five days after the
delivery confirmation or return receipt or electronic answer date.
delivery confirmation and the original writ and (b) Continuances
notice of suit shall be filed with the clerk. The writ (1) In any case where the plaintiff claims preju-
and notice of suit and the statement of service dice because of an unexpected defense or coun-
shall be returned to the court not later than one terclaim or where either party shows good cause
month after the date of service. therefor, the judicial authority may postpone the
(b) For each defendant which is an out-of-state hearing of any claim upon such terms as the judi-
business entity, the plaintiff shall cause service cial authority may order.
of the writ and notice of suit and answer form to (2) A new hearing shall be scheduled within
be made in accordance with the General Statutes. ninety days of the date set for the hearing which
The officer lawfully empowered to make service was postponed.
shall make return of service to the court. The clerk (3) Requests for continuances shall be made
shall document the return of service. in writing to the clerk and shall state the reasons
(c) Upon receipt of the writ and accompanying therefor. The party requesting the continuance
documents, the clerk shall set an answer date shall first attempt to notify the other party of the
and send notice to all plaintiffs or their representa- request and shall include in the request when
tives of the docket number and answer date. The such notice was given and whether the other party
clerk will send an answer form that includes the agreed to the request. Requests for a continuance
docket number and answer date to each defend- made prior to the scheduled hearing date shall be
ant at the address provided by the plaintiff. decided by the clerk. Requests for a continuance
(P.B. 1978-1997, Sec. 559.) (Amended June 26, 2000, to made on the scheduled date shall be decided by
take effect Jan. 1, 2001; amended June 29, 2007, to take the judicial authority. All requests shall be acted
effect Jan. 1, 2008; amended June 21, 2010, to take effect on as soon as possible. Oral requests for continu-
Jan. 1, 2011; amended June 14, 2013, to take effect Jan. ance shall be permitted by the clerk only in
1, 2014.)
extraordinary circumstances.
Sec. 24-11. —Further Service of Claim (4) The clerk shall notify all parties of the deci-
sion on any request for continuance and of the
[Repealed as of Jan. 1, 2011.] new hearing date.
Sec. 24-12. —Answer Date take effect Jan. 1, 2001.)
The answer date shall not be less than fifteen
nor more than forty-five days after the writ and Sec. 24-16. Answers; Requests for Time to
accompanying documents are filed in the court. Pay
(P.B. 1978-1997, Sec. 562.) (Amended June 21, 2010, to (Amended June 26, 2000, to take effect Jan. 1, 2001.)
take effect Jan. 1, 2011.) (a) A defendant, unless the judicial authority
shall otherwise order, shall be defaulted and judg-
Sec. 24-13. —Alternative Method of Com- ment shall enter in accordance with the provisions
mencing Action of Section 24-24, unless such defendant shall,
[Repealed as of Jan. 1, 2011.] personally or by representative, not later than the
answer date, file an answer or file a motion to
Sec. 24-14. —Notice of Time and Place of transfer pursuant to Section 24-21. The answer
Hearing should state fully and specifically, but in concise
Whenever a hearing is scheduled, the clerk and untechnical form, such parts of the claim as
shall send to each party or representative a notice are contested, and the grounds thereof, provided
of the time and place set for hearing. This shall that an answer of general denial shall be sufficient
include the street address of the court, a tele- for purposes of this section. Each defendant shall
phone number for inquiries, and the room number send a copy of the answer to each plaintiff and
or other information sufficient to describe the shall certify on the answer form that the defendant
place where the hearing will be held. has done so, including the address(es) to which
(P.B. 1978-1997, Sec. 564.) (Amended June 26, 2000, to a copy has been mailed. Upon the filing of an
take effect Jan. 1, 2001; amended June 21, 2010, to take answer, the clerk shall set the matter down for
effect Jan. 1, 2011.) hearing by the judicial authority.
282
(b) A defendant who admits the claim but Sec. 24-20A. —Request for Documents;
desires time in which to pay may state that fact Depositions
in the answer, with reasons to support this A party may request from the opposing party
request, on or before the time set for answering, documents, or copies thereof, that are necessary
and may suggest a method of payment which he or desirable for the full presentation of the case.
or she can afford. The request for a proposed The party requesting such documents, or copies
method of payment shall be considered by the thereof, shall make the request directly to the
judicial authority in determining whether there opposing party or the party’s representative.
shall be a stay of execution to permit deferred When a party refuses to honor such request, the
payment or an order of payment. The judicial requesting party may bring the request to the judi-
authority in its discretion may require that a hear- cial authority’s attention, either orally or in writing,
ing be held concerning such request. for a decision. No deposition shall be taken except
take effect Jan. 1, 2001; amended June 21, 2010, to take by order of the judicial authority.
effect Jan. 1, 2011.) (Adopted June 26, 2000, to take effect Jan. 1, 2001;
Sec. 24-17. —Prohibition of Certain Filings
Sec. 24-21. Transfer to Regular Docket
No filings other than those provided for in this (a) A case duly entered on the small claims
chapter shall be permitted without permission of docket of a small claims area or housing session
the judicial authority. court location shall be transferred to the regular
(P.B. 1978-1997, Sec. 568.) (Amended June 26, 2000, to docket of the superior court or to the regular hous-
take effect Jan. 1, 2001; amended June 21, 2010, to take ing docket, respectively, if the following conditions
effect Jan. 1, 2011.) are met:
(1) The defendant, or the plaintiff if the defend-
Sec. 24-18. —Plaintiff to Inquire as to ant has filed a counterclaim, shall file a motion to
Answer Filed transfer the case to the regular docket. This
[Repealed as of Jan. 1, 2001.] motion must be filed on or before the answer date
with certification of service pursuant to Section
Sec. 24-19. —Claim of Setoff or Coun- 10-12 et seq. If a motion to open claiming lack of
terclaim actual notice is granted, the motion to transfer
The defendant, or representative may claim any with accompanying documents and fees must be
setoff or counterclaim within the jurisdiction of the filed within fifteen days after the notice granting
small claims court. Such written setoff or counter- the motion to open was sent.
claim may be filed at any time on or before the (2) The motion to transfer must be accompanied
answer date or upon the granting of a motion by (A) a counterclaim in an amount greater than
to open. Upon the making of such claim by the the jurisdiction of the small claims court; or (B) an
defendant, the clerk shall give notice to the plaintiff affidavit stating that a good defense exists to the
by first class mail, of the setoff or counterclaim claim and setting forth with specificity the nature
and shall notify the parties of the new answer of the defense, or stating that the case has been
date. The defendant’s claim shall be answered properly claimed for trial by jury.
within the time and in the manner provided by (3) The moving party shall pay all necessary
Section 24-16. The original claim, and the claim of statutory fees at the time the motion to transfer
setoff or counterclaim, shall be deemed one case. is filed, including any jury fees if a claim for trial
by jury is filed.
(b) When a defendant or plaintiff on a counter-
Sec. 24-20. —Amendment of Claim or claim has satisfied one of the conditions of sub-
Answer, Setoff or Counterclaim; Motion to section (a) (2) herein, the motion to transfer to
Dismiss the regular docket shall be granted by the judicial
(Amended June 26, 2000, to take effect Jan. 1, 2001.) authority, without the need for a hearing.
The judicial authority may at any time allow (c) A case which has been properly transferred
any claim or answer, setoff or counterclaim to be shall be transferred to the docket of the judicial
amended. A party may challenge jurisdiction by district which corresponds to the venue of the
way of a motion to dismiss. small claims matter, except that a housing case
(P.B. 1978-1997, Sec. 571.) (Amended June 26, 2000, to properly transferred shall remain in or be trans-
take effect Jan. 1, 2001.) ferred to the housing session and be placed upon
283
the regular housing docket. A case may be consol- sworn to by the plaintiff or representative who is
idated with a case pending in any other clerk’s not the plaintiff’s attorney shall be considered an
office of the superior court. affidavit of debt for purposes of this section only
(P.B. 1978-1997, Sec. 572.) (Amended June 29, 1998, to if it sets forth either the amount due or the principal
take effect Jan. 1, 1999; amended June 26, 2000, to take owed as of the date of the writ and contains an
Jan. 1, 2011.) itemization of interest, attorney’s fees and other
lawful charges. Any plaintiff claiming interest shall
Sec. 24-22. Hearings in Small Claims separately state the interest and shall specify the
Actions; Subpoenas dates from which and to which interest is com-
Subpoenas, if requested, shall be issued by the puted, the rate of interest, the manner in which it
clerk without fee, and may be issued upon the was calculated and the authority upon which the
clerk’s own motion or by order of the judicial claim for interest is based. In those matters involv-
authority. The party requesting the subpoena shall ing the collection of credit card and other debt
pay the fees for service and witness fees. An owed to a financial institution and subject to fed-
application for issuance of subpoena shall not be eral requirements for the charging off of accounts,
required in small claims matters. the federally recognized charge-off balance may
(P.B. 1978-1997, Sec. 574.) (Amended June 26, 2000, to be treated as the ‘‘principal’’ for purposes of this
section and itemization regarding such debt is
Sec. 24-23. —Procedure required only from the date of the charge-off bal-
Witnesses shall be sworn; but the judicial ance. Nothing in this section shall prohibit a mag-
authority shall conduct the hearing in such order istrate from requiring further documentation.
and form and with such methods of proof as it (A) If the instrument on which the contract is
deems best suited to discover the facts and to based is a negotiable instrument or assigned con-
determine the justice of the case in accordance tract, the affidavit shall state that the instrument
with substantive law. or contract is now owned by the plaintiff and a
(P.B. 1978-1997, Sec. 575.) copy of the executed instrument shall be attached
to the affidavit. If the plaintiff is not the original
Sec. 24-24. Judgments in Small Claims; party with whom the instrument or contract was
When Presence of the Plaintiff or Represen- made, the plaintiff shall either (i) attach all bills of
tative is Not Required for Entry of Judgment sale back to the original creditor and swear to its
(a) In any action based on an express or implied purchase of the debt from the last owner in its
promise to pay a definite sum and claiming only affidavit of debt while also referencing the
liquidated damages, which may include interest attached chain of title in the affidavit of debt or (ii)
and reasonable attorney’s fees, if the defendant in the affidavit of debt, recite the names of all prior
has not filed an answer by the answer date and owners of the debt with the date of each prior
the judicial authority has not required that a hear- sale, and also include the most recent bill of sale
ing be held concerning any request by the defend- from the plaintiff’s seller and swear to its purchase
ant for more time to pay, the judicial authority may of the debt from its seller in the affidavit of debt.
render judgment in favor of the plaintiff without If applicable, the allegations shall comply with
requiring the presence of the plaintiff or represen- General Statutes § 52-118.
tative before the court, provided the plaintiff has
(B) The affidavit shall simply state the basis
complied with the provisions of this section and
upon which the plaintiff claims the statute of limita-
Section 24-8. Nothing contained in this section
shall prevent the judicial authority from requiring tions has not expired.
the presence of the plaintiff or representative (C) If the plaintiff has claimed any lawful fees
before the court prior to rendering any such default or charges based on a provision of the contract,
and judgment if it appears to the judicial authority the plaintiff shall attach to the affidavit of debt a
that additional information or evidence is required copy of a portion of the contract containing the
prior to the entry of judgment. terms of the contract providing for such fees or
(b) In order for the judicial authority to render charges and the amount claimed.
any judgment pursuant to this section at the time (D) If a claim for a reasonable fee for an attorney
set for entering a judgment whether by default, at law is made, the plaintiff shall include in the
stipulation or other method, the following affidavits affidavit the reasons for the specific amount
must have been filed by the plaintiff: requested. Any claim for reasonable fees for an
(1) An affidavit of debt signed by the plaintiff or attorney at law must be referred to the judicial
representative who is not the plaintiff’s attorney. authority for approval prior to its inclusion in any
A small claims writ and notice of suit signed and default judgment.
284
(2) A military affidavit as required by Section Sec. 24-28. —Finality of Judgments and
17-21. Decisions
(P.B. 1978-1997, Sec. 577.) (Amended June 26, 2000, to Except as provided in Section 24-31, the judg-
take effect Jan. 1, 2001; amended June 21, 2010, to take ments and decisions rendered in the small claims
session are final and conclusive. (See General
Jan. 1, 2015.)
Statutes § 51-197a.)
(P.B. 1978-1997, Sec. 581.)
Sec. 24-25. —Failure of the Defendant to
Answer Sec. 24-29. —Decision in Small Claims;
If the defendant does not file an answer by the Time Limit
answer date, a notice of default shall be sent to (Amended June 26, 2000, to take effect Jan. 1, 2001.)
all parties or their representatives and if the case (a) A written decision stating the reasons for
does not come within the purview of Section 24- the decision shall be required in matters in which
24, the clerk shall set a date for hearing, and the a contested hearing is held, in which a counter-
judicial authority shall require the presence of the claim is filed or in which a judgment is entered in
plaintiff or representative. Notice of the hearing an amount other than the amount claimed. Noth-
shall be sent to all parties or their representatives. ing in this section precludes the judicial authority
If a defendant files an answer at any time before from filing a written decision in any matter when
such judicial authority deems it appropriate.
a default judgment has been entered, including
(b) Judgments shall be rendered no later than
at the time of a scheduled hearing in damages,
forty-five days from the completion of the proceed-
the default shall be vacated automatically. If the ings unless such time limit is waived in writing by
answer is filed at the time of a hearing in damages, the parties or their representatives. The judgment
the judicial authority shall allow the plaintiff a con- of the judicial authority shall be recorded by the
tinuance if requested by the plaintiff, or represen- clerk and notice of the judgment and written deci-
tative. sion shall be sent by mail or electronic delivery
(P.B. 1978-1997, Sec. 578.) (Amended June 21, 2010, to to each party or representative, if any.
Sec. 24-26. —Failure of a Party to Appear effect Jan. 1, 2011; amended June 20, 2011, to take effect
before the Court when Required Jan. 1, 2012.)
(a) If the plaintiff or representative fails to Sec. 24-30. —Satisfying Judgment
appear before the court on the hearing date, the (a) The judicial authority may order that the
judicial authority may dismiss the claim for want judgment shall be paid to the prevailing party at
of prosecution, render a finding on the merits for a certain date or by specified installments. Unless
the defendant or make such other disposition as otherwise ordered, the issue of execution and
may be proper. other supplementary process shall be stayed dur-
(b) If the defendant fails to appear before the ing compliance with such order. Such stay may
court at any time set for hearing, the judicial be modified and vacated at any time for good
authority may render judgment in favor of the cause. The stay is automatically lifted by a default
plaintiff based on such proofs as it deems neces- in postjudgment court-ordered payments by the
sary to establish the amount due under the claim, judgment debtor.
or make such other disposition as may be proper, (b) When the judgment is satisfied in a small
provided that the plaintiff has appeared at the claims action, the party recovering the judgment
hearing. shall file a written notice thereof within ninety days
(P.B. 1978-1997, Sec. 579.) with the clerk who shall record the judgment as
satisfied, identifying the name of the party and the
Sec. 24-27. —Dismissal for Failure to date. An execution returned fully satisfied shall
Obtain Judgment be deemed a satisfaction of judgment and the
During the months of January and July of each notice required in this section shall not be filed.
year, small claims cases which, within one year The judicial authority may, upon motion, make a
from the date of the institution of the action, have determination that the judgment has been sat-
not gone to judgment may be dismissed upon the isfied.
order of the chief court administrator. take effect Jan. 1, 2001; amended June 25, 2001, to take
(P.B. 1978-1997, Sec. 580.) (Amended June 26, 2000, to effect Jan. 1, 2002; amended June 30, 2003, to take effect
take effect Jan. 1, 2001; amended June 21, 2010, to take Jan. 1, 2004; amended June 21, 2010, to take effect Jan.
effect Jan. 1, 2011.) 1, 2011.)
285
Sec. 24-31. —Opening Judgment; Costs (b) Service of an initial set of interrogatories,
(a) The judicial authority may, upon motion, and on forms prescribed by the office of the chief court
after such notice by mail, or otherwise as it may administrator relevant to obtaining satisfaction of
order, open any judgment rendered under this a small claims money judgment shall be made by
procedure for lack of actual notice to a party, or, sending the interrogatories by certified mail, with
within four months from the date thereof, for any return receipt requested or with electronic delivery
other cause that the judicial authority may deem confirmation, to the person from whom discovery
is sought.
sufficient, and may stay and supersede execution; (P.B. 1978-1997, Sec. 585.) (Amended June 26, 2000, to
except that the judicial authority may, for the rea- take effect Jan. 1, 2001; amended June 24, 2002, to take
sons indicated above, open any judgment ren- effect Jan. 1, 2003; amended June 14, 2013, to take effect
dered by default at any time within four months Jan. 1, 2014.)
succeeding the date upon which an execution was Sec. 24-33. Costs in Small Claims
levied. The judicial authority may also order the The actual legal disbursements of the prevailing
repayment of any sum collected under such judg- party for entry fee, witness’ fees, fees for copies,
ment and may render judgment and issue execu- officers’ fees, and costs for service shall be
tion therefor. Costs in an amount fixed by the allowed as costs, including any statutory costs.
judicial authority and not exceeding $100 may be The recording fee paid for filing a judgment lien
awarded, in the discretion of the judicial authority, shall also be added to the judgment amount. The
for or against either party to a motion to open the costs paid as an application fee for any execution
judgment, and judgment may be rendered and on a money judgment shall be taxed by the clerk
execution may be issued therefor; and any action upon the issuance of an execution. No other costs
by the judicial authority may be conditioned upon shall be allowed either party except by special
the payment of such costs or the performance of order of the judicial authority. The judicial authority
any proper condition. shall have power in its discretion to award costs, in
(b) When a judgment has been rendered after a sum fixed by the judicial authority, not exceeding
a contested hearing on the merits, a motion to $100 (exclusive of such cash disbursements, or
open shall be scheduled for hearing only upon in addition thereto) against any party, whether the
order of the judicial authority. prevailing party or not, who has set up a frivolous
or vexatious claim, defense or counterclaim, or
take effect Jan. 1, 2001; amended June 21, 2010, to take has made an unfair, insufficient or misleading
effect Jan. 1, 2011.) answer, or has negligently failed to be ready for
trial, or has otherwise sought to hamper a party
Sec. 24-32. Execution in Small Claims or the judicial authority in securing a speedy deter-
Actions mination of the claim upon its merits, and it may
(a) Pursuant to the General Statutes, the judg- render judgment and issue execution therefor, or
ment creditor or the representative of the judg- set off such costs against damages or costs, as
ment creditor may file with the court a written justice may require. In no case shall costs exceed
application on forms prescribed by the office of the amount of the judgment.
the chief court administrator for an execution to take effect Jan. 1, 2001; amended June 21, 2010, to take
collect an unsatisfied money judgment. effect Jan. 1, 2011.)
286
SUPERIOR COURT—PROCEDURE IN FAMILY MATTERS Sec. 25-1
SUPERIOR COURT—PROCEDURE IN FAMILY MATTERS

CHAPTER 25
GENERAL PROVISIONS
Sec. Sec.
25-1. Definitions Applicable to Proceedings on Family 25-36. Motion for Decree Finally Dissolving Marriage or
Matters Civil Union after Decree of Legal Separation
25-2. Complaints for Dissolution of Marriage or Civil 25-37. —Notice and Hearing
Union, Legal Separation, or Annulment 25-38. Judgment Files
25-2A. Premarital and Postnuptial Agreements 25-39. Miscellaneous Rules
25-3. Action for Custody of Minor Child 25-40. Habeas Corpus in Family Matters; the Petition
25-4. Action for Visitation of Minor Child 25-41. —Preliminary Consideration
25-5. Automatic Orders upon Service of Complaint or 25-42. —Dismissal
Application 25-43. —The Return
25-5A. Automatic Orders upon Service of Petition for 25-44. —Reply to the Return
Child Support 25-45. —Schedule for Filing Pleadings
25-6. Parties and Appearances 25-46. —Summary Judgment as to Writ of Habeas
25-7. Pleadings in General; Amendments to Complaint Corpus
25-47. —Discovery
or Application
25-48. Dockets, Pretrials and Assignment for Disposition
25-8. —Amendment; New Ground for Dissolution of
25-49. Definitions
Marriage or Civil Union
25-50. Case Management
25-9. —Answer, Cross Complaint, Claims for Relief 25-51. When Motion for Default for Failure to Appear
by Defendant Does Not Apply
25-10. —Answer to Cross Complaint 25-52. Failure to Appear for Scheduled Disposition
25-11. —Order of Pleadings 25-53. Reference of Family Matters
25-12. Motion to Dismiss 25-54. Order of Trial; Argument by Counsel
25-13. —Grounds on Motion to Dismiss 25-55. Medical Evidence
25-14. —Waiver and Subject Matter Jurisdiction 25-56. Production of Documents at Hearing or Trial
25-15. —Further Pleading by Defendant 25-57. Affidavit concerning Children
25-16. Motion to Strike; In General 25-58. Reports of Dissolution of Marriage or Civil Union
25-17. —Date for Hearing and Annulment
25-18. —Reasons 25-59. Closure of Courtroom in Family Matters
25-19. —Memorandum of Law 25-59A. Sealing Files or Limiting Disclosure of Documents
25-20. —When Memorandum of Decision Required in Family Matters
25-21. —Substitute Pleading; Judgment 25-59B. —Documents Containing Personal Identifying
25-22. —Stricken Pleading Part of Another Cause or Information
Defense 25-60. Evaluations, Studies, Family Services Mediation
25-23. Motions, Requests, Orders of Notice, and Short Reports and Family Services Conflict Resolu-
Calendar tion Reports
25-24. Motions 25-60A. Court-Ordered Private Evaluations
25-25. Motion for Exclusive Possession 25-61. Family Division
25-26. Modification of Custody, Alimony or Support 25-62. Appointment of Guardian Ad Litem
25-27. Motion for Contempt 25-62A. Appointment of Attorney for a Minor Child
25-28. Order of Notice 25-63. Right to Counsel in Family Civil Contempt Pro-
25-29. Notice of Orders for Support or Alimony ceedings
25-64. —Waiver
25-30. Statements to Be Filed
25-65. Family Support Magistrates; Procedure
25-31. Discovery and Depositions
[Repealed]
25-32. Mandatory Disclosure and Production 25-66. Appeal from Decision of Family Support Magis-
25-32A. Discovery Noncompliance trate [Repealed]
25-32B. Discovery—Special Master 25-67. Support Enforcement Services [Repealed]
25-33. Judicial Appointment of Expert Witnesses 25-68. Right to Counsel in State Initiated Paternity
25-34. Procedure for Short Calendar Actions
25-35. Disclosure of Conference Recommendation 25-69. Social Services; Additional Duties
Sec. 25-1. Definitions Applicable to Pro- suant to General Statutes § 46b-1, including, but
ceedings on Family Matters not limited to, dissolution of marriage or civil union,
The following shall be ‘‘family matters’’ within legal separation, dissolution of marriage or civil
the scope of these rules: Any actions brought pur- union after legal separation, annulment of mar-
287
Sec. 25-1 SUPERIOR COURT—PROCEDURE IN FAMILY MATTERS
riage or civil union, alimony, support, custody, and to such cases, he or she need not be named in
change of name incident to dissolution of marriage the writ of summons or summoned to appear.
or civil union, habeas corpus and other proceed- (c) The complaint shall also set forth the plain-
ings to determine the custody and visitation of tiff’s demand for relief and the automatic orders
children except those which are properly filed in as required by Section 25-5.
the superior court as juvenile matters, the estab- (P.B. 1978-1997, Sec. 453.) (Amended June 25, 2001, to
lishing of paternity, enforcement of foreign matri- take effect Jan. 1, 2002; amended June 26, 2006, to take
monial or civil union judgments, actions related effect Jan. 1, 2007; amended June 29, 2007, to take effect
Jan. 1, 2008; amended June 30, 2008, to take effect Jan.
to prenuptial or pre-civil union and separation 1, 2009.)
agreements and to matrimonial or civil union
decrees of a foreign jurisdiction, actions brought Sec. 25-2A. Premarital and Postnuptial
pursuant to General Statutes § 46b-15, custody Agreements
proceedings brought under the provisions of the (a) If a party seeks enforcement of a premarital
Uniform Child Custody Jurisdiction and Enforce-
agreement or postnuptial agreement, he or she
ment Act and proceedings for enforcement of sup-
shall specifically demand the enforcement of that
port brought under the provisions of the Uniform
agreement, including its date, within the party’s
Interstate Family Support Act.
(P.B. 1998.) (Amended June 28, 1999, to take effect Jan. claim for relief. The defendant shall file said claim
1, 2000; amended June 26, 2006, to take effect Jan. 1, 2007; for relief within sixty days of the return date unless
amended June 12, 2015, to take effect Jan. 1, 2016.) otherwise permitted by the court.
HISTORY—2016: In 2016, commas were added after (b) If a party seeks to avoid the premarital
‘‘including’’ and ‘‘limited to.’’ Also in 2016, ‘‘and Enforcement’’ agreement or postnuptial agreement claimed by
was added after ‘‘Uniform Child Custody Jurisdiction.’’
COMMENTARY—2016: The Uniform Child Custody Juris-
the other party, he or she shall, within sixty days of
diction Act was replaced by the Uniform Child Custody Juris- the claim seeking enforcement of the agreement,
diction and Enforcement Act. See General Statutes § 46b-115 unless otherwise permitted by the court, file a
et seq. The revision to this section reflects that change. reply specifically demanding avoidance of the
agreement and stating the grounds thereof.
Sec. 25-2. Complaints for Dissolution of (Adopted June 20, 2011, to take effect Aug. 15, 2011.)
Marriage or Civil Union, Legal Separation,
or Annulment Sec. 25-3. Action for Custody of Minor Child
(Amended June 26, 2006, to take effect Jan. 1, 2007.) Every application in an action for custody of a
(a) Every complaint in a dissolution of marriage minor child, other than actions for dissolution of
or civil union, legal separation or annulment action marriage or civil union, legal separation or annul-
shall state the date and place, including the city ment, shall state the name and date of birth of
or town, of the marriage or civil union and the such minor child or children, the names of the
facts necessary to give the court jurisdiction. parents and legal guardian of such minor child or
(b) Every such complaint shall also state children, and the facts necessary to give the court
whether there are minor children issue of the mar- jurisdiction. The application shall comply with Sec-
riage or minor children of the civil union and tion 25-5. Such application shall be commenced
whether there are any other minor children born by an order to show cause. Upon presentation of
to the wife since the date of marriage of the par- the application and an affidavit concerning chil-
ties, or born to a party to the civil union since the dren, the judicial authority shall cause an order
date of the civil union, the name and date of birth to be issued requiring the adverse party or parties
of each, and the name of any individual or agency to appear on a day certain and show cause, if any
presently responsible by virtue of judicial award there be, why the relief requested in the applica-
for the custody or support of any child. These tion should not be granted. The application, order
requirements shall be met whether a child is issue and affidavit shall be served on the adverse party
of the marriage or not, whether a child is born to not less than twelve days before the date of the
a party of the civil union or not, and whether cus- hearing, which shall not be held more than thirty
tody of children is sought in the action or not. In days from the filing of the application.
every case in which the state of Connecticut or (P.B. 1998.) (Amended June 28, 1999, to take effect Jan.
any town thereof is contributing or has contributed 1, 2000; amended June 26, 2000, to take effect Jan. 1, 2001;
to the support or maintenance of a party or child amended June 26, 2006, to take effect Jan. 1, 2007.)
of said party, such fact shall be stated in the com-
plaint and a copy thereof served on the attorney Sec. 25-4. Action for Visitation of Minor
general or town clerk in accordance with the provi- Child
sions of Sections 10-12 through 10-17. Although Every application or verified petition in an action
the attorney general or town clerk shall be a party for visitation of a minor child, other than actions
288
for dissolution of marriage or civil union, legal sep- and to the extent there is a prior, contradictory
aration or annulment, shall state the name and order of a judicial authority.
date of birth of such minor child or children, the (3) If the parents of minor children live apart
names of the parents and legal guardian of such during this proceeding, they shall assist their chil-
minor child or children, and the facts necessary to dren in having contact with both parties, which is
give the court jurisdiction. An application brought consistent with the habits of the family, personally,
under this section shall comply with Section 25- by telephone, and in writing. This provision shall
5. Any application or verified petition brought not apply if and to the extent there is a prior,
under this Section shall be commenced by an contradictory order of a judicial authority.
order to show cause. Upon presentation of the (4) Neither party shall cause the children of the
application or verified petition and an affidavit con- marriage or the civil union to be removed from any
cerning children, the judicial authority shall cause medical, hospital and dental insurance coverage,
an order to be issued requiring the adverse party and each party shall maintain the existing medical,
or parties to appear on a day certain and show hospital and dental insurance coverage in full
cause, if any there be, why the relief requested force and effect.
in the application or verified petition should not (5) The parties shall participate in the parenting
be granted. The application or verified petition, education program within sixty days of the return
order and affidavit shall be served on the adverse day or within sixty days from the filing of the appli-
party not less than twelve days before the date cation.
of the hearing, which shall not be held more than (6) These orders do not change or replace any
thirty days from the filing of the application or existing court orders, including criminal protective
verified petition. and civil restraining orders.
(P.B. 1998.) (Amended June 28, 1999, to take effect Jan. (b) In all cases involving a marriage or civil
union, whether or not there are children:
June 13, 2014, to take effect Jan. 1, 2015.) (1) Neither party shall sell, transfer, exchange,
assign, remove, or in any way dispose of, without
Sec. 25-5. Automatic Orders upon Service the consent of the other party in writing, or an
of Complaint or Application order of a judicial authority, any property, except
(Amended June 28, 1999, to take effect Jan. 1, 2000.) in the usual course of business or for customary
The following automatic orders shall apply to and usual household expenses or for reasonable
both parties, with service of the automatic orders attorney’s fees in connection with this action.
to be made with service of process of a complaint (2) Neither party shall conceal any property.
for dissolution of marriage or civil union, legal sep- (3) Neither party shall encumber (except for the
aration, or annulment, or of an application for cus- filing of a lis pendens) without the consent of the
tody or visitation. An automatic order shall not other party, in writing, or an order of a judicial
apply if there is a prior, contradictory order of a authority, any property except in the usual course
judicial authority. The automatic orders shall be of business or for customary and usual household
effective with regard to the plaintiff or the applicant expenses or for reasonable attorney’s fees in con-
upon the signing of the complaint or the applica- nection with this action.
tion and with regard to the defendant or the (4) Neither party shall cause any asset, or por-
respondent upon service and shall remain in place tion thereof, co-owned or held in joint name, to
during the pendency of the action, unless termi- become held in his or her name solely without the
nated, modified, or amended by further order of consent of the other party, in writing, or an order
a judicial authority upon motion of either of the of the judicial authority.
parties: (5) Neither party shall incur unreasonable debts
(a) In all cases involving a child or children, hereafter, including, but not limited to, further bor-
whether or not the parties are married or in a rowing against any credit line secured by the fam-
civil union: ily residence, further encumbrancing any assets,
(1) Neither party shall permanently remove the or unreasonably using credit cards or cash
minor child or children from the state of Connecti- advances against credit cards.
cut, without written consent of the other or order (6) Neither party shall cause the other party to
of a judicial authority. be removed from any medical, hospital and dental
(2) A party vacating the family residence shall insurance coverage, and each party shall main-
notify the other party or the other party’s attorney, tain the existing medical, hospital and dental
in writing, within forty-eight hours of such move, of insurance coverage in full force and effect.
an address where the relocated party can receive (7) Neither party shall change the beneficiaries
communication. This provision shall not apply if of any existing life insurance policies, and each
289
party shall maintain the existing life insurance, a judicial authority. The automatic orders shall
automobile insurance, homeowners or renters be effective with regard to the petitioner or the
insurance policies in full force and effect. applicant upon the signing of the document initiat-
(8) If the parties are living together on the date ing the action (whether it be complaint, petition or
of service of these orders, neither party may deny application), and with regard to the respondent,
the other party use of the current primary resi- upon service and shall remain in place during
dence of the parties, whether it be owned or rented the pendency of the action, unless terminated,
property, without order of a judicial authority. This modified, or amended by further order of a judicial
provision shall not apply if there is a prior, contra- authority upon motion of either of the parties:
dictory order of a judicial authority. Neither party shall cause the other party or the
(c) In all cases: children who are the subject of the complaint,
(1) The parties shall each complete and application or petition to be removed from any
exchange sworn financial statements substan- medical, hospital and dental insurance coverage,
tially in accordance with a form prescribed by the and each party shall maintain the existing medical,
chief court administrator within thirty days of the hospital and dental insurance coverage in full
return day. The parties may thereafter enter and force and effect.
submit to the court a stipulated interim order allo- (b) The automatic orders of a judicial authority
cating income and expenses, including, if applica- as enumerated in subsection (a) shall be set forth
ble, proposed orders in accordance with the immediately following the party’s requested relief
uniform child support guidelines. in any complaint, petition or application, and shall
(2) The case management date for this case set forth the following language in bold letters: If
is . The parties shall comply with you do not follow or obey these orders, you
Section 25-50 to determine if their actual presence may be punished by contempt of court. If you
at the court is required on that date. object to these orders or would like to have
The automatic orders of a judicial authority as them changed or modified while your case is
enumerated above shall be set forth immediately pending, you have the right to a hearing by a
following the party’s requested relief in any com- judicial authority within a reasonable time. The
plaint for dissolution of marriage or civil union, clerk shall not accept for filing any complaint, peti-
legal separation, or annulment, or in any application or application that does not comply with
tion for custody or visitation, and shall set forth this subsection.
the following language in bold letters:
Failure to obey these orders may be punish- Sec. 25-6. Parties and Appearances
able by contempt of court. If you object to or The provisions of Sections 8-1, 8-2, 9-1, 9-3
seek modification of these orders during the through 9-6, inclusive, 9-18, 9-19, 9-22, 9-24 and
pendency of the action, you have the right to 10-12 through 10-17 of the rules of practice shall
a hearing before a judge within a reasonable apply to family matters as defined in Section 25-1.
time. (P.B. 1998.)
The clerk shall not accept for filing any com-
plaint for dissolution of marriage or civil union, Sec. 25-7. Pleadings in General; Amend-
legal separation, or annulment, or any application ments to Complaint or Application
for custody or visitation, that does not comply with (Amended June 28, 1999, to take effect Jan. 1, 2000.)
this subsection. If Sections 25-2, 25-3 or 25-4 are not complied
(P.B. 1998.) (Amended June 29, 1998, to take effect Jan. with, the judicial authority, whenever its attention
1, 1999; subdivision (a) (1) was amended on an interim basis, is called to the matter, shall order that the com-
pursuant to the provisions of Section 1-9 (c), to take effect
plaint or the application, as the case may be, be
2000; amended August 22, 2001, to take effect Jan. 1, 2002; amended upon such terms and conditions as it
amended June 26, 2006, to take effect Jan. 1, 2007; amended may direct. Where an amendment is filed concern-
June 29, 2007, to take effect Jan. 1, 2008; amended June 20, ing support or maintenance contributed by the
2011, to take effect Jan. 1, 2012.) state of Connecticut, no further action shall be
taken by the judicial authority until such amend-
Sec. 25-5A. Automatic Orders upon Service
ment shall be served upon the attorney general
of Petition for Child Support
and opportunity given him or her to be heard upon
(a) The following automatic orders shall apply the matter. Nothing in this section shall be con-
to both parties, with service of the automatic strued to affect the automatic orders in Section
orders to be made with service of process of a 25-5 above.
petition for child support. An automatic order shall (P.B. 1978-1997, Sec. 454.) (Amended June 28, 1999, to
not apply if there is a prior, contradictory order of take effect Jan. 1, 2000.)
290
Sec. 25-8. —Amendment; New Ground for (2) the defendant’s motion to dismiss the com-
Dissolution of Marriage or Civil Union plaint;
(Amended June 26, 2006, to take effect Jan. 1, 2007.) (3) the defendant’s motion to strike the com-
(a) In any action for a dissolution of marriage or plaint or claims for relief;
civil union an amendment to the complaint which (4) the defendant’s answer, cross complaint
states a ground for dissolution of marriage or civil and claims for relief;
union alleged to have arisen since the commence- (5) the plaintiff’s motion to strike the defendant’s
ment of the action may be filed with permission answer, cross complaint, or claims for relief;
of the judicial authority.
(6) the plaintiff’s answer.
(b) The provisions of Sections 10-59, 10-60 and (P.B. 1998.)
10-61 of the rules of practice shall apply to family
matters as defined in Section 25-1. Sec. 25-12. Motion to Dismiss
take effect Jan. 1, 2007.) (a) Any defendant, wishing to assert grounds
to dismiss the action under Section 25-13 (2), (3),
Sec. 25-9. —Answer, Cross Complaint, (4) or (5) must do so by filing a motion to dismiss
Claims for Relief by Defendant within thirty days of the filing of an appearance.
The defendant in a dissolution of marriage or (b) Any claim based on Section 25-13 (2), (3),
civil union, legal separation, or annulment matter (4) or (5) is waived if not raised by a motion to
may file, in addition to the above mentioned plead- dismiss filed in the sequence provided in Section
ings, one of the following pleadings which shall 25-11, within the time provided in this section.
comply with Sections 10-1, 10-3, 10-5, 10-7, 10- (P.B. 1998.)
8 and 10-12 through 10-17, 10-18 and 10-19
inclusive: Sec. 25-13. —Grounds on Motion to Dismiss
(1) An answer may be filed which denies or (a) The motion to dismiss shall be used to assert
admits the allegations of the complaint, or which (1) lack of jurisdiction over the subject matter, (2)
states that the defendant has insufficient informa- lack of jurisdiction over the person, (3) improper
tion to form a belief and leaves the pleader to his or venue, (4) insufficiency of process and (5) insuffi-
her proof, and which may set forth the defendant’s ciency of service of process. This motion shall
claims for relief. always be filed with a supporting memorandum
(2) An answer and cross complaint may be filed of law and, where appropriate, with supporting
which denies or admits the allegations of the com- affidavits as to facts not apparent on the record.
plaint, or which states that the defendant has
(b) If an adverse party objects to this motion he
insufficient information to form a belief and leaves
the pleader to his or her proof, and which alleges or she shall, at least five days before the motion
the grounds upon which a dissolution, legal sepa- is to be considered on the short calendar, file and
ration or annulment is sought by the defendant serve in accordance with Sections 10-12 through
and specifies therein the claims for relief. 10-17 a memorandum of law and, where appro-
(P.B. 1978-1997, Sec. 456.) (Amended June 28, 1999, to priate, supporting affidavits as to facts not appar-
take effect Jan. 1, 2000; amended June 26, 2006, to take ent on the record.
effect Jan. 1, 2007.) (P.B. 1998.)
Sec. 25-10. —Answer to Cross Complaint Sec. 25-14. —Waiver and Subject Matter
A plaintiff in a dissolution of marriage or civil Jurisdiction
union, legal separation, or annulment matter Any claim of lack of jurisdiction over the subject
seeking to contest the grounds of a cross com- matter cannot be waived; and whenever it is found
plaint shall file an answer admitting or denying after suggestion of the parties or otherwise that
the allegations of such cross complaint or leaving the court lacks jurisdiction of the subject matter,
the pleader to his or her proof. If a decree is the judicial authority shall dismiss the action.
rendered on the cross complaint, the judicial (P.B. 1998.)
authority may award to the plaintiff such relief as
is claimed in the complaint. Sec. 25-15. —Further Pleading by Defend-
(P.B. 1978-1997, Sec. 457.) (Amended June 28, 1999, to ant
effect Jan. 1, 2007.) If any motion to dismiss is denied with respect to
any jurisdictional issue, the defendant may plead
Sec. 25-11. —Order of Pleadings further without waiving his or her right to contest
The order of pleadings shall be: jurisdiction further.
(1) the plaintiff’s complaint; (P.B. 1998.)
291
Sec. 25-16. Motion to Strike; In General the judicial authority, in rendering the decision
(a) Whenever any party wishes to contest (1) thereon, shall specify in writing the grounds upon
the legal sufficiency of the allegations of any com- which that decision is based.
plaint or cross complaint, or of any one or more (P.B. 1998.)
counts thereof, to state a claim upon which relief Sec. 25-21. —Substitute Pleading; Judg-
can be granted, or (2) the legal sufficiency of any ment
claim for relief in any such complaint or cross
complaint, or (3) the legal sufficiency of any such Within fifteen days after the granting of any
complaint or cross complaint, or any count motion to strike, the party whose pleading has
thereof, because of the absence of any necessary been stricken may file a new pleading; provided
party, or (4) the joining of two or more causes of that in those instances where an entire complaint
action which cannot properly be united in one or cross complaint has been stricken, and the
complaint or cross complaint, whether the same party whose pleading has been so stricken fails
be stated in one or more counts, or (5) the legal to file a new pleading within that fifteen-day period,
sufficiency of any answer to any complaint or the judicial authority may upon motion enter judg-
cross complaint, or any part of that answer con- ment against said party on said stricken complaint
tained therein, that party may do so by filing a or cross complaint.
(P.B. 1998.)
motion to strike the contested pleading or part
thereof. Sec. 25-22. —Stricken Pleading Part of
(b) A motion to strike on the ground of the non- Another Cause or Defense
joinder of a necessary party must give the name Whenever the judicial authority grants a motion
and residence of the missing party or such infor- to strike the whole or any portion of any pleading
mation as the moving party has as to his or her or count which purports to state an entire cause
identity and residence and must state his or her of action, and such pleading or portion thereof
interest in the cause of action. states or constitutes a part of another cause of
(P.B. 1998.)
action, the granting of that motion shall remove
Sec. 25-17. —Date for Hearing from the case only the cause of action which was
the subject of the granting of that motion, and it
The motion shall be placed on the short calen-
shall not remove such pleading or count or any
dar to be held not less than fifteen days following
portion thereof so far as the same is applicable
the filing of the motion, unless the judicial authority
to any other cause of action.
otherwise directs. (P.B. 1998.)
(P.B. 1998.)
Sec. 25-23. Motions, Requests, Orders of
Sec. 25-18. —Reasons
Notice, and Short Calendar
Each motion to strike raising any of the claims
The provisions of Sections 11-1, 11-2, 11-4, 11-
of legal insufficiency enumerated in Sections 25-
5, 11-6, 11-8, 11-10, 11-11, 11-12, 11-19, 12-1,
12, 25-13 and 25-16 shall separately set forth
12-2, and 12-3 of the rules of practice shall apply
each such claim of insufficiency and shall dis-
to family matters as defined in Section 25-1.
tinctly specify the reason or reasons for each such (P.B. 1998.) (Amended May 14, 2003, to take effect July
claimed insufficiency. 1, 2003.)
(P.B. 1998.)
Sec. 25-24. Motions
Sec. 25-19. —Memorandum of Law
(a) Any appropriate party may move for ali-
(a) Each motion to strike must be accompanied mony, child support, custody, visitation, appoint-
by an appropriate memorandum of law citing the ment or removal of counsel for the minor child,
legal authorities upon which the motion relies. appointment or removal of a guardian ad litem for
(b) If an adverse party objects to this motion the minor child, counsel fees, or for an order with
such party shall, at least five days before the date respect to the maintenance of the family or for
the motion is to be considered on the short calen- any other equitable relief.
dar, file and serve in accordance with Sections (b) Each such motion shall state clearly, in the
10-12 through 10-17 a memorandum of law. caption of the motion, whether it is a pendent lite
(P.B. 1998.)
or a postjudgment motion.
Sec. 25-20. —When Memorandum of Deci- (P.B. 1998.) (Amended June 12, 2015, to take effect Jan.
sion Required 1, 2016.)
HISTORY—2016: Prior to 2016, subsection (a) read: ‘‘Any
Whenever a motion to strike is filed and more appropriate party may move for alimony, child support, cus-
than one ground of decision is set up therein, tody, visitation, appointment of counsel for the minor child,
292
counsel fees, or for an order with respect to the maintenance (g) Upon or after entry of judgment of a dissolu-
of the family or for any other equitable relief.’’ tion of marriage, dissolution of civil union, legal
COMMENTARY—2016: The revision to this section estab-
lishes by rule the procedure to follow in connection with seek-
separation or annulment, or upon or after entry
ing the removal of counsel for a minor child or a guardian ad of a judgment or final order of custody and/or
litem for the minor child and is consistent with No. 14-3, § 4, visitation for a petition or petitions filed pursuant
of the 2014 Public Acts. to Section 25-3 and/or Section 25-4, the judicial
authority may order that any further motion for
Sec. 25-25. Motion for Exclusive Pos- modification of a final custody or visitation order
session shall be appended with a request for leave to file
Each motion for exclusive possession shall such motion and shall conform to the require-
state the nature of the property, whether it is rental ments of subsection (e) of this section. The spe-
property or owned by the parties or one of them, cific factual and legal basis for the claimed
the length of tenancy or ownership of each party, modification shall be sworn to by the moving party
the current family members residing therein and or other person having personal knowledge of the
the grounds upon which the moving party seeks facts recited therein. If no objection to the request
exclusive possession. has been filed by any party within ten days of the
(P.B. 1998.) date of service of such request on the other party,
the request for leave may be determined by the
Sec. 25-26. Modification of Custody, Ali- judicial authority with or without hearing. If an
mony or Support objection is filed, the request shall be placed on
(a) Upon an application for a modification of an the next short calendar, unless the judicial author-
award of alimony pendente lite, alimony or support ity otherwise directs. At such hearing, the moving
of minor children, filed by a person who is then party must demonstrate probable cause that
in arrears under the terms of such award, the grounds exist for the motion to be granted. If the
judicial authority shall, upon hearing, ascertain judicial authority grants the request for leave, at
whether such arrearage has accrued without suffi- any time during the pendency of such a motion
cient excuse so as to constitute a contempt of to modify, the judicial authority may determine
court, and, in its discretion, may determine whether discovery or a study or evaluation pursu-
whether any modification of current alimony and ant to Section 25-60 shall be permitted.
support shall be ordered prior to the payment, in (P.B. 1978-1997, Sec. 464.) (Amended June 20, 2005, to
whole or in part as the judicial authority may order, take effect Jan. 1, 2006; amended June 29, 2007, to take
of any arrearage found to exist. effect Oct. 1, 2007.)
(b) Either parent or both parents of minor chil- Sec. 25-27. Motion for Contempt
dren may be cited or summoned by any party to
the action to appear and show cause, if any they (a) Each motion for contempt must state (1) the
have, why orders of custody, visitation, support date and specific language of the order of the
or alimony should not be entered or modified. judicial authority on which the motion is based;
(2) the specific acts alleged to constitute the con-
(c) If any applicant is proceeding without the
tempt of that order, including the amount of any
assistance of counsel and citation of any other
arrears claimed due as of the date of the motion
party is necessary, the applicant shall sign the
or a date specifically identified in the motion; (3)
application and present the application, proposed
the movant’s claims for relief for the contempt.
order and summons to the clerk; the clerk shall
(b) Each motion for contempt must state clearly
review the proposed order and summons and,
in the caption of the motion whether it is a pen-
unless it is defective as to form, shall sign the
dente lite or a postjudgment motion, and the sub-
proposed order and summons and shall assign a
ject matter and the type of order alleged to have
date for a hearing on the application.
been violated.
(d) Each motion for modification of custody, visi- (P.B. 1998.) (Amended June 28, 1999, to take effect Jan.
tation, alimony or child support shall state clearly 1, 2000.)
in the caption of the motion whether it is a pen-
dente lite or a postjudgment motion. Sec. 25-28. Order of Notice
(e) Each motion for modification shall state the (a) On a complaint for dissolution of marriage
specific factual and legal basis for the claimed or civil union, legal separation, or annulment, or
modification and shall include the outstanding on an application for custody or visitation, when
order and date thereof to which the motion for the adverse party resides out of or is absent from
modification is addressed. the state or the whereabouts of the adverse party
(f) On motions addressed to financial issues, are unknown to the plaintiff or the applicant, any
the provisions of Section 25-30 shall be followed. judge or clerk of the court may make such order
293
of notice as he or she deems reasonable. If such file sworn statements within thirty days prior to
notice is by publication, it shall not include the the date of the decree. Notwithstanding the above,
automatic orders set forth in Section 25-5, but the court may render pendente lite and permanent
shall instead include a statement that automatic orders, including judgment, in the absence of the
orders have issued in the case pursuant to Section opposing party’s sworn statement.
25-5 and that such orders are set forth in the (b) At least ten days before the scheduled family
complaint or the application on file with the court. special masters session, alternative dispute reso-
Such notice having been given and proved, the lution session, or judicial pretrial, the parties shall
judicial authority may hear the complaint or the serve on each appearing party, but not file with
application if it finds that the adverse party has the court, written proposed orders, and, at least
actually received notice that the complaint or the ten days prior to the date of the final limited con-
application is pending. If actual notice is not tested or contested hearing, the parties shall file
proved, the judicial authority in its discretion may with the court and serve on each appearing party
hear the case or continue it for compliance with written proposed orders.
such further order of notice as it may direct.
(b) With regard to any postjudgment motion for (c) The written proposed orders shall be com-
modification or for contempt or any other motion prehensive and shall set forth the party’s
requiring an order of notice, where the adverse requested relief including, where applicable, the
party resides out of or is absent from the state following:
any judge or clerk of the court may make such (1) a parenting plan;
order of notice as he or she deems reasonable. (2) alimony;
Such notice having been given and proved, the (3) child support;
court may hear the motion if it finds that the (4) property division;
adverse party has actually received notice that (5) counsel fees;
the motion is pending. (6) life insurance;
take effect Jan. 1, 2000; amended June 26, 2006, to take (7) medical insurance; and
effect Jan. 1, 2007.) (8) division of liabilities.
(d) The proposed orders shall be neither factual
Sec. 25-29. Notice of Orders for Support or nor argumentative but shall, instead, only set forth
Alimony
the party’s claims.
In all dissolution of marriage or civil union, legal (e) Where there is a minor child who requires
separation, annulment, custody or visitation support, the parties shall file a completed child
actions, such notice as the judicial authority shall support and arrearage guidelines worksheet at
direct shall be given to nonappearing parties of the time of any court hearing concerning child
any orders for support or alimony. No such order support; or at the time of a final hearing in an
shall be effective until the order of notice shall
action for dissolution of marriage or civil union,
have been complied with or the nonappearing
legal separation, annulment, custody or visitation.
party has actually received notice of such orders.
(P.B. 1978-1997, Sec. 462.) (Amended June 26, 2006, to (f) At the time of any hearing, including pen-
take effect Jan. 1, 2007.) dente lite and postjudgment proceedings, in which
a moving party seeks a determination, modifica-
Sec. 25-30. Statements to Be Filed tion, or enforcement of any alimony or child sup-
(a) At least five days before the hearing date port order, a party shall submit an Advisement of
of a motion or order to show cause concerning Rights Re: Wage Withholding Form (JD-FM-71).
alimony, support, or counsel fees, or at the time (P.B. 1978-1997, Sec. 463.) (Amended June 24, 2002, to
a dissolution of marriage or civil union, legal sepa- take effect Jan. 1, 2003; amended June 26, 2006, to take
ration or annulment action or action for custody effect Jan. 1, 2007.)
or visitation is scheduled for a hearing, each party
shall file, where applicable, a sworn statement Sec. 25-31. Discovery and Depositions
substantially in accordance with a form prescribed Except as otherwise provided in Section 25-
by the chief court administrator, of current income, 33, the provisions of Sections 13-1 through 13-
expenses, assets and liabilities. When the attor- 10 inclusive, 13-13 through 13-16 inclusive, and
ney general has appeared as a party in interest, 13-17 through 13-32 of the rules of practice inclu-
a copy of the sworn statements shall be served sive, shall apply to family matters as defined in
upon him or her in accordance with Sections 10- Section 25-1.
12 through 10-17. Unless otherwise ordered by (P.B. 1998.) (Amended June 20, 2011, to take effect Aug.
the judicial authority, all appearing parties shall 1, 2011; amended June 13, 2014, to take effect Jan. 1, 2015.)
294
Sec. 25-32. Mandatory Disclosure and Pro- or why such party has not complied with the dis-
duction covery order. If the party to whom the discovery
(a) Unless otherwise ordered by the judicial request or order was directed claims that the dis-
authority for good cause shown, upon request by covery has been provided or order has been com-
a party involved in an action for dissolution of plied with, he or she shall detail with specificity
marriage or civil union, legal separation, annul- what discovery was provided and how compliance
ment or support, or a postjudgment motion for with the discovery order was made.
(Adopted June 20, 2011, to take effect Aug. 15, 2011.)
modification of alimony or support, opposing par-
ties shall exchange the following documents Sec. 25-32B. Discovery—Special Master
within thirty days of such request: The judicial authority may appoint a discovery
(1) all federal and state income tax returns filed special master to assist in the resolution of discov-
within the last three years, including personal ery disputes. When such an appointment is made,
returns and returns filed on behalf of any partner- the judicial authority shall specify the duties,
ship or closely-held corporation of which a party authority and compensation of the discovery spe-
is a partner or shareholder; cial master and how that compensation shall be
(2) IRS forms W-2, 1099 and K-1 within the last allocated between the parties.
three years including those for the past year if the (Adopted June 20, 2011, to take effect Aug. 15, 2011.)
income tax returns for that year have not been
prepared; Sec. 25-33. Judicial Appointment of Expert
(3) copies of all pay stubs or other evidence of Witnesses
income for the current year and the last pay stub Whenever the judicial authority deems it neces-
from the past year; sary, it may appoint any expert witnesses of its
(4) statements for all accounts maintained with own selection. The judicial authority shall give
any financial institution, including banks, brokers notice of its intention to appoint such expert, and
and financial managers, for the past 24 months; give the parties an opportunity to be heard con-
(5) the most recent statement showing any cerning such appointment. An expert witness shall
interest in any Keogh, IRA, profit sharing plan, not be appointed by the judicial authority unless
deferred compensation plan, pension plan, or the expert consents to act. An expert witness so
retirement account; appointed shall be informed of his or her duties
by the judicial authority in writing, a copy of which
(6) the most recent statement regarding any
shall be filed with the clerk, or the witness shall
insurance on the life of any party; be informed of his or her duties at a conference
(7) a summary furnished by the employer of the in which the parties shall have an opportunity to
party’s medical insurance policy, coverage, cost participate. Such expert witness shall advise the
of coverage, spousal benefits, and COBRA costs parties of his or her findings, if any, and may
following dissolution; thereafter be called to testify by the judicial author-
(8) any written appraisal concerning any asset ity or by any party and shall be subject to cross-
owned by either party. examination by each party. The judicial authority
(b) Such duty to disclose shall continue during may determine the reasonable compensation for
the pendency of the action should a party appear. such witness and direct payment out of such funds
This section shall not preclude discovery under as may be provided by law or by the parties or
any other provisions of these rules. any of them as the judicial authority may direct.
(P.B. 1998.) (Amended June 29, 1998, to take effect Jan. Nothing in this section shall prohibit the parties
1, 1999; amended June 26, 2006, to take effect Jan. 1, 2007.)
from retaining their own expert witnesses.
(P.B. 1998.) (Amended June 13, 2014, to take effect Jan.
Sec. 25-32A. Discovery Noncompliance
1, 2015.)
If a party fails to comply with a discovery request
or a discovery order in any manner set forth in Sec. 25-34. Procedure for Short Calendar
Section 13-14 (a), the party who requested such (a) With the exception of matters governed by
discovery or in whose favor the discovery order Chapter 13, oral argument on any motion or the
was made may move to compel compliance with presentation of testimony thereon shall be allowed
the request or order. The moving party shall spec- if the appearing parties have followed administra-
ify in a memorandum in support of his or her tive policies for marking the motion ready and for
motion, the discovery sought and the remedy screening with family services. Oral argument and
sought. The party to whom the discovery request the presentation of testimony on motions made
or order was directed shall, in a memorandum, under Chapter 13 are at the discretion of the judi-
specify why the discovery has not been provided cial authority.
295
(b) If the judicial authority has determined that application for an order of notice to the adverse
oral argument or the presentation of testimony is party.
necessary on a motion made under Chapter 13, (P.B. 1978-1997, Sec. 472.) (Amended June 30, 2008, to
the judicial authority shall set the matter for oral take effect Jan. 1, 2009.)
argument or testimony on a short calendar date or Sec. 25-37. —Notice and Hearing
other date as determined by the judicial authority.
(c) If the judicial authority has determined that Upon presentation of such motion to the judicial
oral argument or the presentation of testimony is authority it shall fix a time for hearing the same
necessary on a motion made under Chapter 13 and make an order of notice, by personal service
and has not set it down on a hearing date, the if the adverse party is within the state and that
movant may reclaim the motion within thirty days party’s place of residence is known, otherwise in
of the date the motion appeared on the calendar. such manner as it shall deem reasonable.
(P.B. 1978-1997, Sec. 473.)
(d) If the matter will require more than one hour
of court time, it may be specifically assigned for Sec. 25-38. Judgment Files
a date certain.
(e) Failure to appear and present argument on The provisions of Sections 17-4, 17-9 and 17-
the date set by the judicial authority shall consti- 43 shall apply to family matters as defined in Sec-
tute a waiver of the right to argue unless the judi- tion 25-1. The provisions of Section 3-9 concern-
cial authority orders otherwise. Unless for good ing withdrawal of appearance of an attorney 180
cause shown, no motion may be reclaimed after days after the entry of judgment shall not apply
a period of three months from the date of filing. to family matters actions until the provisions of
This subsection shall not apply to those motions this section concerning the filing of judgment files
where counsel appeared on the date set by the have been satisfied.
(P.B. 1998.)
judicial authority and entered into a scheduling
order for discovery, depositions and a date certain Sec. 25-39. Miscellaneous Rules
for hearing. Except as otherwise provided in Section 25-51,
(P.B. 1998.) (Amended June 20, 2011, to take effect Aug.
15, 2011.) 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
Sec. 25-35. Disclosure of Conference Rec- practice shall apply to family matters as defined
ommendation in Section 25-1.
In the event the parties or their counsel confer (P.B. 1998.) (Amended Dec. 19, 2006, to take effect March
12, 2007.)
with a family relations counselor on finances con-
cerning alimony and child support in connection Sec. 25-40. Habeas Corpus in Family Mat-
with either a pendente lite, postjudgment or disso- ters; the Petition
lution hearing, the recommendations of the family
A petition for a writ of habeas corpus shall be
relations counselor concerning alimony and child
under oath and shall state:
support shall not be reported to the judicial author-
ity by the parties or their counsel or the family (1) the specific facts upon which each claim of
relations counselor unless, before such confer- custody or visitation is based such that the judicial
ence, the parties or their counsel have stipulated authority would immediately order the child or chil-
that the recommendation of the family relations dren to be brought before the court;
counselor may be made known to the judicial (2) any previous petitions for the writ of habeas
authority. corpus, and any existing custody or visitation
(P.B. 1978-1997, Sec. 464A.) orders, involving the same child or children and
the dispositions taken thereon; and
Sec. 25-36. Motion for Decree Finally Dis- (3) the specific facts upon which the court
solving Marriage or Civil Union after Decree has jurisdiction.
of Legal Separation (P.B. 1998.)
Every motion for a decree finally dissolving and Sec. 25-41. —Preliminary Consideration
terminating the marriage or civil union, after a (a) The judicial authority shall promptly review
decree of legal separation, shall state the number any petition for a writ of habeas corpus to deter-
of the case in which the separation was granted, mine whether the writ should issue. The judicial
the date of the decree of legal separation and authority shall issue the writ if it appears that:
whether the parties have resumed relations relat- (1) the court has jurisdiction;
ing to the marriage or civil union since the entry (2) the petition is meritorious; and
of the decree, and it shall be accompanied by an (3) another proceeding is not more appropriate.
296
(b) The judicial authority shall notify the peti- Sec. 25-47. —Discovery
tioner if it declines to issue the writ pursuant to Discovery shall be as in all other family matters.
this section. (P.B. 1998.)
(P.B. 1998.)
Sec. 25-48. Dockets, Pretrials and Assign-
Sec. 25-42. —Dismissal ment for Disposition
The judicial authority may, at any time, upon its The provisions of Sections 14-2, 14-3, 14-23,
own motion or upon motion of the respondent, and 14-25 of the rules of practice shall apply to
dismiss the petition, or any count thereof, if it family matters as defined in Section 25-1.
determines that: (P.B. 1998.)
(1) the court lacks jurisdiction;
Sec. 25-49. Definitions
(2) the petition, or a count thereof, fails to state
a claim upon which habeas corpus relief can be For purposes of these rules the following defini-
granted; tions shall apply:
(3) the petition presents the same ground as a (1) ‘‘Uncontested matter’’ means a case in
prior petition previously denied and fails to state which both parties are appearing and no aspect
new facts or proffer new evidence not reasonably of the matter is in dispute.
available at the time of the prior petition; (2) ‘‘Financial Disputes’’ means a case in which
(4) the claims asserted in the petition are moot monetary awards, real property or personal prop-
or premature; erty are in dispute.
(3) ‘‘Parenting Disputes’’ means a case in which
(5) any other legally sufficient ground for dis-
child custody, visitation rights, also called parent-
missal of the petition exists.
(P.B. 1998.)
ing time or access, paternity or the grounds for
the action are in dispute.
Sec. 25-43. —The Return A case may contain both financial and parent-
The return shall respond to the allegations of ing disputes.
the petition and shall allege any facts in support 1, 2016.)
of any claim of procedural default, abuse of the HISTORY—2016: Prior to 2016, this section read:
writ, or any other claim that the petitioner is not ‘‘For purposes of these rules the following definitions
entitled to relief. shall apply:
(P.B. 1998.) ‘‘(1) ‘Uncontested matter’ means a case in which no aspect
of the matter is in dispute.
Sec. 25-44. —Reply to the Return ‘‘(2) ‘Limited contested matter’ means a case in which the
matters in dispute are limited to monetary awards, real property
(a) If the return alleges any defense or claim or personal property.
that the petitioner is not entitled to relief, and such ‘‘(3) ‘Contested matter’ means a case in which child custody,
allegations are put in dispute by the petition, the visitation rights, paternity or the grounds for the action are in
petitioner shall file a reply. dispute, and matters of monetary awards or the disposition of
(b) The reply shall admit or deny any allegations real or personal property may be in dispute.’’
COMMENTARY—2016: The revisions to the definitions are
that the petitioner is not entitled to relief. consistent with current practice and reflect the substance and
(P.B. 1998.) status of each case. The addition of the last sentence makes
it clear that parties may have a case with more than one type
Sec. 25-45. —Schedule for Filing Pleadings of status.
The return or responsive pleading and any reply
to the return shall be filed as the judicial authority Sec. 25-50. Case Management
may order. (a) The presiding judge or a designee shall
(P.B. 1998.) determine by the case management date which
track each case shall take and assign each case
Sec. 25-46. —Summary Judgment as to Writ for disposition. That date shall be set on a sched-
of Habeas Corpus ule approved by the presiding judge.
At any time after the pleadings are closed, any (b) In all cases, unless the party or parties
party may move for summary judgment, which appear and the case proceeds to judgment under
shall be rendered if the pleadings, affidavits and subsections (c) or (d) on the case management
any other evidence submitted, show that there is date, the party or parties shall file on or before
no genuine issue of material fact between the the case management date:
parties requiring a trial and the moving party is (1) a case management agreement (JD-FM-
entitled to judgment as a matter of law. 163);
(P.B. 1998.) (2) sworn financial affidavits;
297
(3) a proposed parenting plan, if there are HISTORY—2016: In 2016, what are now subsections (b)
minor children. and (c) were added, and what had been subsections (b)
through (e) are now designated (d) through (g), respectively.
If the parties or counsel have not filed these Prior to 2016, what had been subsection (b) (now [d]) read:
documents on or before the case management ‘‘If the matter is uncontested, and a form prescribed by the
date, or in a case with parenting disputes where office of the chief court administrator has been filed, the clerk
counsel or self-represented parties have not come shall assign the matter to a date certain for disposition.’’
to court on the case management date, the case Prior to 2016, what had been subsection (c) (now [e]) read:
may be dismissed or other sanctions may be ‘‘With the approval of the presiding judge, a case management
conference may be conducted by the filing of a stipulated
imposed. scheduling order when only financial issues are outstanding.
(c) If the defendant has not filed an appearance If there is a dispute with respect to financial issues, the matter
by the case management date, the plaintiff may may be directed to any alternative dispute resolution mecha-
appear and proceed to judgment on the case man- nism, private or court-annexed, or thereafter have assigned
agement date without further notice to the defend- a date certain for family special masters and further judicial
pretrial. Thereafter, the matter may be assigned for trial for a
ant, provided the plaintiff has complied with the date certain if not resolved.’’
provisions of Section 25-30. Otherwise, the plain- Prior to 2016, what had been the first sentence of subsection
tiff must file, on or before the case management (d) (now [f]) read: ‘‘In cases where custody or visitation issues
date, the documents listed in subsection (b) and are outstanding, the parties and counsel must appear for a
the clerk shall assign the matter to a date certain case management conference on the case management
for disposition. date.’’ In addition, in the second sentence of that subsection,
‘‘custody or visitation issues’’ was deleted after ‘‘If’’ and was
(d) If the matter is uncontested, the parties may replaced by ‘‘parenting disputes.’’
appear and proceed to judgment on the case man- Also in 2016, in the first sentence of what is now subsection
agement date, provided the plaintiff has complied (g), what had been references to subsections (c) and (d) now
with the provisions of Section 25-30. Otherwise, refer to subsections (e) and (f).
the parties must file, on or before the case man- COMMENTARY—2016: The revisions to this section are
agement date, the documents listed in subsection intended to give direction to the litigants. The revisions also
clarify that the parties may proceed to judgment on the case
(b) and the clerk shall assign the matter to a date management date if the defendant has failed to appear by the
certain for disposition. case management date.
(e) In cases where there are financial disputes,
the parties do not have to come to court on the Sec. 25-51. When Motion for Default for Fail-
case management date, but must file on or before ure to Appear Does Not Apply
the case management date the documents listed (a) If, in any case involving a dissolution of mar-
in subsection (b). Thereafter, the matter may be riage or civil union, legal separation, or annulment,
directed to any alternative dispute resolution the defendant has not filed an appearance by the
mechanism, private or court-annexed, including, case management date, the plaintiff may proceed
but not limited to, family special masters and judi- to judgment on the case management date with-
cial pretrial. If not resolved, the matter will be out further notice to such defendant. Section 17-
assigned a date certain for trial. 20 concerning motions for default shall not apply
(f) In cases where there are parenting disputes, to such cases.
the parties and counsel must appear for a case (b) If the defendant files an appearance by the
management conference on the case manage- case management date, the presiding judge or a
ment date. If parenting disputes require judicial designee shall determine which track the case
intervention, the appointment of counsel or a shall take pursuant to Section 25-50.
guardian ad litem for the minor child, or case study (P.B. 1998.) (Amended June 26, 2006, to take effect Jan.
or evaluation by family services or by a private 1, 2007; amended June 12, 2015, to take effect Jan. 1, 2016.)
provider of services, a target date shall be HISTORY—2016: Prior to 2016, subsection (a) read: ‘‘Any
case claiming a dissolution of marriage or civil union, legal
assigned for completion of such study and the separation, or annulment in which the defendant has failed to
final conjoint thereon and, thereafter, a date cer- file an appearance may be assigned a date certain for disposi-
tain shall be assigned for disposition. tion as an uncontested matter pursuant to Section 25-50. If the
(g) With respect to subsections (e) and (f), if a defendant has not filed an appearance by the date assigned for
trial is required, such order may include a date disposition, the case may proceed to judgment without further
certain for a trial management conference notice to such defendant. Section 17-20 concerning motions
for default shall not apply to such cases.’’
between counsel or self-represented parties for Also in 2016, in subsection (b), ‘‘date assigned for disposi-
the purpose of premarking exhibits and complying tion’’ was deleted after ‘‘appearance by the’’ and was replaced
with other orders of the judicial authority to expe- by ‘‘case management date.’’
dite the trial process. COMMENTARY—2016: The revisions to this section clarify
(P.B. 1998.) (Amended June 28, 1999, to take effect Jan. that a plaintiff may proceed to judgment on the case manage-
1, 2000; amended June 12, 2015, to take effect Jan. 1, 2016.) ment date if the defendant has failed to appear.
298
Sec. 25-52. Failure to Appear for Sched- shall be permitted to introduce into evidence such
uled Disposition copies as that party might have, without having
If a party fails to appear in person or by counsel to authenticate the copies offered.
for a scheduled disposition, the opposing party (c) If a party fails to produce the requested doc-
may introduce evidence and the case may pro- uments and items and the requesting party does
ceed to judgment without further notice to such not have copies to offer into evidence, the judicial
party who failed to appear. authority may impose such sanctions on the non-
(P.B. 1998.) producing party as the judicial authority deems
Sec. 25-53. Reference of Family Matters appropriate pursuant to Section 13-14 and as are
available to the judicial authority for the enforce-
In any family matter the court may, upon its ment of subpoenas.
own motion or upon motion of a party, refer any (P.B. 1998.)
contested, limited contested, or uncontested mat-
ter for hearing and decision to a judge trial referee Sec. 25-57. Affidavit concerning Children
who shall have been a judge of the referring court. Before the judicial authority renders any order in
Such matters shall be deemed to have been
any matter pending before it involving the custody,
referred for all further proceedings and judgment,
including matters pertaining to any appeal there- visitation or support of a minor child or children,
from, except that the referring court may retain an affidavit shall be filed with the judicial authority
jurisdiction to hear and decide any pendente lite averring (1) whether any of the parties is believed
or contempt matters. to be pregnant; (2) the name and date of birth of
(P.B. 1978-1997, Sec. 458.) any minor child born since the date of the filing
of the complaint or the application; (3) information
Sec. 25-54. Order of Trial; Argument by which meets the requirements of the Uniform
Counsel Child Custody Jurisdiction and Enforcement Act,
The provisions of Sections 15-5, 15-6 and 15- General Statutes § 46b-115 et seq.; (4) that there
7, shall apply to family matters as defined in Sec- is no other proceeding in which either party has
tion 25-1. participated as a party, witness, or otherwise, con-
(P.B. 1998.) cerning custody of the child in any state; and (5)
Sec. 25-55. Medical Evidence that no person not a party has physical custody
or claims custody or visitation rights with respect
A party who plans to offer a hospital record in to the child. This section shall not apply to modifi-
evidence shall have the record in the clerk’s office cations of existing support orders or in situations
twenty-four hours prior to trial. The judge shall involving allegations of contempt of support
order that all such records be available for inspec-
orders.
tion in the clerk’s office to any counsel of record (P.B. 1978-1997, Sec. 476.) (Amended June 28, 1999, to
under the supervision of the clerk. Counsel must take effect Jan. 1, 2000; amended August 24, 2001, to take
recognize their responsibility to have medical tes- effect Jan. 1, 2002; amended June 12, 2015, to take effect
timony available when needed and shall, when Jan. 1, 2016.)
necessary, subpoena medical witnesses to that HISTORY—2016: In 2016, ‘‘the wife’’ was deleted after ‘‘(1)
end. Such records shall be submitted in accord- whether’’ and was replaced by ‘‘any of the parties.’’
ance with the provisions of Section 7-18. COMMENTARY—2016: The revision to this section recog-
(P.B. 1998.) (Amended June 28, 1999, to take effect Jan. nizes that the existing terminology is obsolete in some rela-
1, 2000.) tionships.
Sec. 25-56. Production of Documents at Sec. 25-58. Reports of Dissolution of Mar-

Hearing or Trial riage or Civil Union and Annulment
(a) At the trial management conference prior to (Amended June 26, 2006, to take effect Jan. 1, 2007.)
the commencement of an evidentiary hearing or Before a hearing is commenced for a dissolu-
trial, but in no event later than five days before the tion of marriage or civil union or annulment of
scheduled hearing date, either party may serve on marriage or civil union, the parties concerned, or
the other a request for production of documents their attorneys, shall provide, on forms prescribed
and tangible things, in a manner consistent with by the chief court administrator and furnished by
Sections 13-9 through 13-11. Service may be the clerk, such information as is required by the
made in the same manner as a subpoena or con- judges of the superior court.
sistent with Sections 10-12 through 10-14. (P.B. 1978-1997, Sec. 477.) (Amended June 28, 1999, to
(b) If a party fails to produce the requested take effect Jan. 1, 2000; amended June 26, 2006, to take
documents and items, the party filing the request effect Jan. 1, 2007.)
299
Sec. 25-59. Closure of Courtroom in Fam- short calendar, be posted on a bulletin board adja-
ily Matters cent to the clerk’s office and accessible to the
(Amended May 14, 2003, to take effect July 1, 2003.) public.
(a) Except as otherwise provided by law, there (P.B. 1978-1997, Sec. 478.) (Amended May 14, 2003, to
shall be a presumption that courtroom proceed- take effect July 1, 2003; amended June 21, 2004, to take
ings shall be open to the public. Jan. 1, 2012.)
(b) Except as provided in this section and HISTORY—2003: Prior to 2003, when both the title and
except as otherwise provided by law, the judicial text were amended, Section 25-59 read: ‘‘Closed Hearings
authority shall not order that the public be and Records
excluded from any portion of a courtroom pro- ‘‘Subject to the provision of Section 11-20, any family matter
ceeding. may be heard in chambers or in a courtroom from which the
(c) Upon motion of any party, or upon its own public and press have been excluded, and the records and
other papers in any family matter may be ordered by the court
motion, the judicial authority may order that the
to be kept confidential and not to be open to inspection except
public be excluded from any portion of a court- under order of the court or a judge thereof.’’
room proceeding only if the judicial authority con- COMMENTARY—2003: The public and press enjoy a right
cludes that such order is necessary to preserve of access to attend trials in civil as well as criminal cases.
an interest which is determined to override the Press-Enterprise Co. v. Superior Court, 478 U.S. 1, 10, 106
public’s interest in attending such proceeding. The S. Ct. 2735, 92 L. Ed. 2d 1 (1986); Globe Newspaper Co. v.
judicial authority shall first consider reasonable Superior Court, 457 U.S. 596, 606, 102 S. Ct. 2613, 73 L.
alternatives to any such order and any such order Ed. 2d 248 (1982); Westmoreland v. Columbia Broadcasting
System, Inc., 752 F.2d 16, 22 (2d Cir. 1984).
shall be no broader than necessary to protect
For a further discussion of court closure, see the Commen-
such overriding interest. An agreement of the par- tary to Sections 11-20 and 42-49. It is intended that the above
ties to close the courtroom shall not constitute a rule also apply to family support magistrates.
sufficient basis for the issuance of such an order. HISTORY—2005: Prior to 2005, the third sentence of sub-
(d) In connection with any order issued pursuant section (d) read: ‘‘The time, date and scope of any such order
to subsection (c) of this section, the judicial shall be in writing and shall be signed by the judicial authority
authority shall articulate the overriding interest and be entered by the court clerk in the court file.’’
being protected and shall specify its findings COMMENTARY—2005: As used in subsection (a) above,
underlying such order. If any findings would reveal the words ‘‘Except as otherwise provided by law’’ are intended
to exempt from the operation of this rule all established proce-
information entitled to remain confidential, those dures for the closure of courtroom proceedings as required
findings may be set forth in a sealed portion of or permitted by statute; e.g., General Statutes §§ 19a-583 (a)
the record. The time, date and scope of any such (10) (D) (pertaining to court proceedings as to disclosure of
order shall be set forth in a writing signed by the confidential HIV-related information), 36a-21 (b) (pertaining to
judicial authority which upon issuance the court court proceedings at which certain records of the department
clerk shall immediately enter in the court file. The of banking are disclosed), 46b-11 (pertaining to hearings in
family relations matters), 54-86c (b) (pertaining to the disclo-
judicial authority shall order that a transcript of
sure of exculpatory information or material), 54-86f (pertaining
its decision be included in the file or prepare a to the admissibility of evidence of sexual conduct) and 54-86g
memorandum setting forth the reasons for its (pertaining to the testimony of a victim of child abuse); other
order. rules of practice; e.g., Practice Book Section 40-43; and/or
(e) A motion to close a courtroom proceeding controlling state or federal case law.
shall be filed not less than fourteen days before The above amendment to subsection (d) establishes a
the proceeding is scheduled to be heard. Such mechanism by which the public and the press, who are empow-
ered by this rule to object to pending motions to close the
motion shall be placed on the short calendar so
courtroom in family matters, will receive timely notice of the
that notice to the public is given of the time and court’s disposition of such motions.
place of the hearing on the motion and to afford HISTORY—2012: Prior to 2012, the last sentence of sub-
the public an opportunity to be heard on the motion section (e) read: ‘‘A copy of the short calendar page containing
under consideration. The motion itself may be filed the aforesaid section shall, upon issuance of the short calen-
under seal, where appropriate, by leave of the dar, be posted on a bulletin board adjacent to the clerk’s office
judicial authority. When placed on a short calen- and accessible to the public.’’
dar, motions filed under this rule shall be listed in COMMENTARY—2012: The above amendment is
a separate section titled ‘‘Motions to Seal or intended to provide for the electronic filing and processing of
documents and orders, and the maintenance of court records,
Close’’ and shall also be listed with the time, date where the present terminology, filing requirements or pro-
and place of the hearing on the Judicial Branch cesses that are applicable in a paper environment result in
website. A notice of such motion being placed on confusion or redundancy when applied to an electronic envi-
the short calendar shall, upon issuance of the ronment.
300
SUPERIOR COURT—PROCEDURE IN FAMILY MATTERS Sec. 25-59A
Sec. 25-59A. Sealing Files or Limiting Dis- (f) (1) A motion to seal the contents of an entire
closure of Documents in Family Matters court file shall be placed on the short calendar to
(a) Except as otherwise provided by law, there be held not less than fifteen days following the
shall be a presumption that documents filed with filing of the motion, unless the judicial authority
the court shall be available to the public. otherwise directs, so that notice to the public is
(b) Except as provided in this section and given of the time and place of the hearing on the
except as otherwise provided by law, including motion and to afford the public an opportunity to
Section 13-5, the judicial authority shall not order be heard on the motion under consideration. The
that any files, affidavits, documents, or other procedures set forth in Sections 7-4B and 7-4C
materials on file with the court or filed in connec- shall be followed in connection with such motion.
tion with a court proceeding be sealed or their (2) The judicial authority may issue an order
disclosure limited. sealing the contents of an entire court file only
(c) Upon written motion of any party, or upon upon a finding that there is not available a more
its own motion, the judicial authority may order narrowly tailored method of protecting the overrid-
that files, affidavits, documents, or other materials ing interest, such as redaction or sealing a portion
on file or lodged with the court or in connection of the file. The judicial authority shall state in its
with a court proceeding be sealed or their disclo- decision or order each of the more narrowly tai-
sure limited only if the judicial authority concludes lored methods that was considered and the rea-
that such order is necessary to preserve an inter- son each such method was unavailable or
est which is determined to override the public’s inadequate.
interest in viewing such materials. The judicial (g) The provisions of this section shall not apply
authority shall first consider reasonable alterna- to settlement conferences or negotiations or to
tives to any such order and any such order shall documents submitted to the court in connection
be no broader than necessary to protect such with such conferences or negotiations. The provi-
overriding interest. An agreement of the parties sions of this section shall apply to settlement
to seal or limit the disclosure of documents on file agreements which have been filed with the court
with the court or filed in connection with a court or have been incorporated into a judgment of
proceeding shall not constitute a sufficient basis the court.
for the issuance of such an order. (h) Sworn statements of current income,
(d) In connection with any order issued pursuant expenses, assets and liabilities filed with the court
to subsection (c) of this section, the judicial pursuant to Sections 25-30 and 25a-15 shall be
authority shall articulate the overriding interest under seal and be disclosable only to the judicial
being protected and shall specify its findings authority, to court personnel, to the parties to the
underlying such order and the duration of such action and their attorneys, and to any guardians
order. If any findings would reveal information ad litem and attorneys appointed for any minor
entitled to remain confidential, those findings may children involved in the matter, except as other-
be set forth in a sealed portion of the record. The wise ordered by the judicial authority. Any person
time, date, scope and duration of any such order may file a motion to unseal these documents.
shall be set forth in a writing signed by the judicial When such motion is filed, the provisions of para-
authority which upon issuance the court clerk shall graphs (a) through (e) of this section shall apply
immediately enter in the court file. The judicial and the party who filed the documents shall have
authority shall order that a transcript of its decision the burden of proving that they should remain
be included in the file or prepare a memorandum sealed. The judicial authority shall order that the
setting forth the reasons for its order. automatic sealing pursuant to this paragraph shall
(e) Except as otherwise ordered by the judicial terminate with respect to all such sworn state-
authority, a motion to seal or limit the disclosure ments then on file with the court when any hearing
of affidavits, documents, or other materials on file is held at which financial issues are in dispute.
or lodged with the court or filed in connection with This shall not preclude a party from filing a motion
a court proceeding shall be calendared so that to seal or limit disclosure of such sworn state-
notice to the public is given of the time and place ments pursuant to this section.
of the hearing on the motion and to afford the (i) Any Income Withholding for Support form
public an opportunity to be heard on the motion (JD-FM-1) filed with the clerk’s office, after being
under consideration. The procedures set forth in signed by the clerk, shall be returned to the filer
Sections 7-4B and 7-4C shall be followed in con- for service on the payer of income. A copy of the
nection with a motion to file affidavits, documents signed form shall be retained for the court file
or other materials under seal or to limit their dis- and shall be under seal. Any such copy shall be
closure. disclosable only to the judicial authority, to court
301
Sec. 25-59A SUPERIOR COURT—PROCEDURE IN FAMILY MATTERS
personnel, to the parties to the action and their or federal case law; e.g., Matza v. Matza, 226 Conn. 166,
attorneys, and to any individual or entity under 627 A.2d 414 (1993) (establishing a procedure whereby an
attorney seeking to withdraw from a case due to his client’s
cooperative agreement with the Title IV-D agency anticipated perjury at trial may support his motion to withdraw
requesting disclosure of such form in the adminis- by filing a sealed affidavit for the court’s review).
tration of the child support program. Any person The above amendment to subsection (d) establishes a
may file a motion to unseal this document. A copy mechanism by which the public and the press, who are empow-
of the signed form with all social security numbers ered by this rule to object to pending motions to seal files or
and dates of birth redacted by the clerk shall be limit the disclosure of documents in family matters, will receive
timely notice of the court’s disposition of such motions.
retained in the court file and be available for pub- The above change to subsection (h) adds to those catego-
lic inspection. ries of individuals to whom financial affidavits filed with the
(j) When placed on a short calendar, motions court pursuant to Section 25-30 are disclosable the following:
filed under this rule shall be listed in a separate guardians ad litem and attorneys appointed for the minor
section titled "Motions to Seal or Close" and shall children.
also be listed with the time, date and place of the HISTORY—2012: Prior to 2012, the last sentence of sub-
section (i) read: ‘‘A copy of the short calendar page containing
hearing on the Judicial Branch website. A notice the aforesaid section shall, upon issuance of the short calen-
of such motion being placed on the short calendar dar, be posted on a bulletin board adjacent to the clerk’s office
shall, upon issuance of the short calendar, be and accessible to the public.’’
posted on a bulletin board adjacent to the clerk’s COMMENTARY—2012: The above amendment is
office and accessible to the public. intended to provide for the electronic filing and processing of
(Adopted May 14, 2003, to take effect July 1, 2003; documents and orders, and the maintenance of court records,
amended June 21, 2004, to take effect Jan. 1, 2005; amended where the present terminology, filing requirements or pro-
June 20, 2011, to take effect Jan. 1, 2012; amended June 14, cesses that are applicable in a paper environment result in
2013, to take effect Jan. 1, 2014; amended June 12, 2015, confusion or redundancy when applied to an electronic envi-
to take effect Jan. 1, 2016.) ronment.
COMMENTARY—2003: The public and press enjoy a right HISTORY—2014: In 2014, ‘‘and 25a-15’’ was added to
of access to attend trials in civil as well as criminal cases. See the first sentence of subsection (h), following ‘‘25-30,’’ and
Nixon v. Warner Communications, Inc., 435 U.S. 589, 608, ‘‘Section’’ was made plural, before ‘‘25-30 and 25a-15.’’
COMMENTARY—2014: The above change is made to
98 S. Ct. 1306, 55 L. Ed. 2d 570 (1978). The guarantee of
make clear that the provisions of Section 25-59A (h) apply to
open public proceedings in civil trials applies as well to the
sworn statements filed under Section 25a-15 (a).
sealing of court documents. See Publicker Industries, Inc. v.
HISTORY—2016: In 2016, what had been the second and
Cohen, 733 F.2d 1059, 1070–71 (3d Cir. 1984).
third sentences of subsection (h) were deleted. Prior to 2016,
See also the Commentary to Section 42-49A. the second and third sentences of subsection (h) read: ‘‘When
Subsection (h) is intended to minimize the potential for such sworn statements are filed, the clerk shall place them in
abuse that can result when personal financial information is a sealed envelope clearly identified with the words ‘Financial
made available to persons who engage in identity theft or Affidavit.’ All such sworn statements that are filed in a case
other illegal activities. may be placed in the same sealed envelope.’’
It is intended that subsection (h) not apply retroactively to Also in 2016, what is now subsection (i) was added and
sworn statements that have been filed before the effective what had been subsection (i) was designated subsection (j).
date of this rule. COMMENTARY—2016: The language that has been
It is intended that the above rule also apply to family sup- deleted in subsection (h) was applicable to a paper file. There
port magistrates. are, as of December 15, 2014, paperless family files for which
It is intended that the use of pseudonyms in place of the sealing financial affidavits in an envelope is not applicable.
name of a party or parties not be permitted in family cases. A comparable electronic process ‘‘seals’’ those affidavits in
HISTORY—2005: Prior to 2005, the third sentence of sub- accordance with the other provisions of this section.
section (d) read: ‘‘The time, date, scope and duration of any New subsection (i) concerns the Income Withholding for
such order shall forthwith be reduced to writing and be signed Support form (JD-FM-1) which is a federally mandated form.
by the judicial authority and entered by the court clerk in the The social security number and dates of birth are required
court file.’’ In 2005, in the first sentence of subsection (h), a fields, and there is currently no law that protects this informa-
comma was substituted for ‘‘and’’ between ‘‘court personnel’’ tion from disclosure. Family files are now electronic and may
and ‘‘to the parties’’ and the words ‘‘and to any guardians ad be viewed from any courthouse public access computer in the
litem and attorneys appointed for any minor children involved state, allowing for greater access to these documents without
in the matter,’’ were inserted. the need to go to a clerk’s office. Therefore, the most secure
COMMENTARY—2005: As used in subsection (a) above, way of protecting the social security number and other per-
the words ‘‘Except as otherwise provided by law’’ are intended sonal identifying information on this form is to seal the copy
to exempt from the operation of this rule all established proce- of the form that is retained in the court file. A provision has
dures for the sealing or ex parte filing, in camera inspection been included to allow any person to move to unseal the
and/or nondisclosure to the public of documents, records and document. A redacted copy of the signed form will be retained
other materials, as required or permitted by statute; e.g., Gen- in the court file for public inspection.
eral Statutes §§ 12-242vv (pertaining to taxpayer information), Sec. 25-59B. —Documents Containing Per-
52-146c et seq. (pertaining to the disclosure of psychiatric
records) and 54-56g (pertaining to the pretrial alcohol educa-
sonal Identifying Information
tion program); other rules of practice; e.g., Practice Book Sec- (a) The requirements of Section 25-59A shall
tions 7-18, 13-5 (6)–(8) and 40-13 (c); and/or controlling state not apply to ‘‘personal identifying information,’’ as
302
defined in Section 4-7, that may be found in docu- (c) Any report of an evaluation or study pre-
ments filed with the court, with the exception of pared pursuant to Section 25-60A or Section 25-
financial affidavits that are under seal. When a 61 shall be admissible in evidence provided the
financial affidavit is unsealed, this section shall author of the report is available for cross-exami-
apply. If a document containing personal identi- nation.
fying information is filed with the court, a party (P.B. 1978-1997, Sec. 479.) (Amended June 20, 2011, to
or a person identified by the personal identifying take effect Aug. 15, 2011; amended June 13, 2014, to take
information may request that the document con-
taining the personal identifying information be Sec. 25-60A. Court-Ordered Private Evalu-
sealed. In response to such request, or on its own ations
motion, the court shall order that the document be (Amended June 15, 2012, to take effect Jan. 1, 2013).
sealed and that the party who filed the document (a) If the court orders a private evaluation of
submit a redacted copy of the document within any party or any child in a family proceeding where
ten days of such order. custody, visitation or parental access is at issue,
(b) If the party who filed the document fails to a state licensed mental health professional shall
submit a redacted copy of the document within conduct such evaluation.
ten days of the order, the court may enter sanc- (b) Notice of any orders relating to the evalua-
tions, as appropriate, against said party for such tion ordered shall be communicated to the evalua-
failure upon the expiration of the ten day period. tor by the guardian ad litem or, where there is no
Upon the submission of a redacted copy of such guardian ad litem, by court personnel.
document, the original document containing the (c) Until a court-ordered evaluation is filed with
personal identifying information shall be retained the clerk pursuant to Section 25-60 (b), counsel
as a sealed document in the court file, unless for the parties shall not initiate contact with the
otherwise ordered by the court. evaluator, unless otherwise ordered by the judi-
(Adopted June 22, 2009, to take effect Jan. 1, 2010; cial authority.
amended June 21, 2010, to take effect Jan. 1, 2011.) (d) The provisions of subsections (a) and (b) of
Section 25-60 shall apply to completed private
Sec. 25-60. Evaluations, Studies, Family court-ordered evaluations.
Services Mediation Reports and Family Ser- (Adopted June 20, 2011, to take effect Aug. 15, 2011;
vices Conflict Resolution Reports amended June 15, 2012, to take effect Jan. 1, 2013.)
(Amended June 20, 2011, to take effect Aug. 15, 2011;
amended June 13, 2014, to take effect Jan. 1, 2015.) Sec. 25-61. Family Division
(a) Whenever, in any family matter, an evalua- The family services unit shall, at the request
tion or study has been ordered pursuant to Section of the judicial authority, provide assistance with
25-60A or Section 25-61, or the Court Support regard to issues concerning custody, visitation,
Services Division Family Services Unit has been finances, mediation, case management and such
ordered to conduct mediation or to hold a conflict other matters as the judicial authority may direct,
resolution conference pursuant to Section 25-61, including, but not limited to, an evaluation of any
the case shall not be disposed of until the report party or any child in a family proceeding. If an
has been filed as hereinafter provided, and coun- evaluation of a party or child is requested by the
sel and the parties have had a reasonable oppor- judicial authority, counsel for the party or child
tunity to examine it prior to the time the case is shall not initiate contact with the evaluator, unless
to be heard, unless the judicial authority orders otherwise ordered by the judicial authority, until
that the case be heard before the report is filed. the evaluation is filed with the clerk pursuant to
(b) Any report of an evaluation or study pursuant Section 25-60 (b).
to Section 25-60A or Section 25-61, or any media- 1, 2014.)
tion report or conflict resolution conference report
filed by the Family Services Unit as a result of a Sec. 25-62. Appointment of Guardian Ad
referral of the matter to such unit, shall be filed Litem
with the clerk, who will seal such report, and shall The judicial authority may appoint a guardian
be provided by the filer to counsel of record, ad litem for a minor involved in any family matter.
guardians ad litem and self-represented parties Unless the judicial authority orders that another
unless otherwise ordered by the judicial authority. person be appointed guardian ad litem, a family
Any such report shall be available for inspection relations counselor shall be designated as guard-
to counsel of record, guardians ad litem, and the ian ad litem. The guardian ad litem is not required
parties to the action, unless otherwise ordered by to be an attorney. With the exception of family
the judicial authority. relations counselors, no person may be appointed
303
as guardian ad litem until he or she has completed the contempt, and shall not be appointed for any
the comprehensive training program for all family other purpose.
division guardians ad litem sponsored by the judi- (P.B. 1978-1997, Sec. 484A.)
cial branch. The judicial authority may order com-
pensation for services rendered by a court- Sec. 25-64. —Waiver
appointed guardian ad litem. A person shall be permitted to waive his or her
(P.B. 1978-1997, Sec. 484.) (Amended June 20, 2011, to right to counsel and shall be permitted to repre-
take effect Jan. 1, 2012.) sent himself or herself at any stage of the proceed-
Sec. 25-62A. Appointment of Attorney for a ings, either prior to or following the appointment
Minor Child of counsel. A waiver will be accepted only after
the judicial authority makes a thorough inquiry
The judicial authority may appoint an attorney and is satisfied that the person:
for a minor child in any family matter. No person (1) Has been clearly advised of his or her right
shall be appointed as an attorney for a minor child to the assistance of counsel, including his or her
until he or she has completed the comprehensive right to the assignment of counsel when he or she
training program for all family division attorneys
is so entitled;
for minor children sponsored by the judicial
branch. The judicial authority may order compen- (2) Possesses the intelligence and capacity to
sation for services rendered by an attorney for a appreciate the consequences of the decision to
minor child. represent himself or herself;
(Adopted June 20, 2011, to take effect Jan. 1, 2012.) (3) Comprehends the nature of the proceed-
ings, the range of permissible sanctions and any
Sec. 25-63. Right to Counsel in Family Civil additional facts essential to a broad understand-
Contempt Proceedings ing of the case; and
(a) A person who is before the court in a civil (4) Has been made aware of the risks and dis-
contempt proceeding involving the failure to com- advantages of self-representation.
ply with the order of a judicial authority in a family (P.B. 1978-1997, Sec. 484B.)
matter and who faces potential incarceration shall
be advised of his or her right to be represented Sec. 25-65. Family Support Magistrates;
by counsel and his or her right to court appointed Procedure
counsel if he or she is indigent. If the person is [Repealed as of Aug. 1, 2010.]
unable to obtain counsel by reason of his or her
indigency he or she shall have counsel appointed Sec. 25-66. Appeal from Decision of Family
to represent him or her unless: Support Magistrate
(1) He or she waives such appointment pursu- [Repealed as of Aug. 1, 2010.]
ant to Section 25-64; or
(2) At the time of the application for the appoint- Sec. 25-67. Support Enforcement Services
ment of counsel, the judicial authority eliminates [Repealed as of Aug. 1, 2010.]
incarceration as a possible result of the proceed-
ing and makes a statement to that effect on the Sec. 25-68. Right to Counsel in State Initi-
record. ated Paternity Actions
(b) The person shall be further advised that no (a) A putative father named in a state initiated
person shall continue to be detained in a correc- paternity action shall be advised by the judicial
tional facility pursuant to an order of civil contempt authority of his right to be represented by counsel
for longer than thirty days, unless at the expiration and his right to court appointed counsel if indigent.
of such thirty days he or she is presented to the If he is unable to obtain counsel by reason of
judicial authority. On each such presentment, the his indigency he shall have counsel appointed to
contemnor shall be given an opportunity to purge represent him unless he waives such appointment
himself or herself of the contempt by compliance pursuant to Section 25-64.
with the order of the judicial authority. If the con- (b) In cases under this section a copy of the
temnor does not so act, the judicial authority may paternity petition shall be served on the attorney
direct that the contemnor remain in custody under general in accordance with the provisions of Sec-
the terms of the order of the judicial authority then tions 10-12 through 10-17. The attorney general
in effect, or may modify the order if the interests shall be a party to such cases, but he or she
of justice so dictate. need not be named in the petition or summoned
(c) Any attorney appointed to represent the con- to appear.
temnor shall represent such contemnor only on (P.B. 1978-1997, Sec. 484C.)
304
Sec. 25-69. Social Services; Additional (b) Under the supervision and direction of the
Duties judicial authority, the family relations counselor
shall conduct such investigations or mediation
(a) Under the supervision and direction of the conferences in domestic relations matters as may
judicial authority, a family relations counselor be directed by the judicial authority.
shall, where there is a motion for change of cus- (c) Under the supervision and direction of the
tody of a child, or where his or her knowledge of judicial authority, the family relations counselor
the family situation causes him or her to believe may, where necessary, bring an application to the
court for a rule requiring a party to appear before
that the welfare of the child requires a hearing on the court to show cause why such party should
a change of custody, upon direction of the judicial not be held in contempt for failure to comply with
authority, be permitted to investigate the domestic an order of the judicial authority for visitation.
and financial situation of the parties and report (d) Family relations caseworkers, family rela-
his or her findings. The judicial authority may tions counselors and support enforcement officers
thereafter, on its own motion if necessary, hold a shall investigate all criminal matters involving fam-
ily relations cases referred to them by the prose-
hearing thereon after such notice to the parties cuting attorney or by the judicial authority.
as it deems proper. (P.B. 1978-1997, Sec. 481A.)
305
SUPERIOR COURT—PROCEDURE IN FAMILY SUPPORT MAGISTRATE MATTERS
SUPERIOR COURT—PROCEDURE IN FAMILY SUPPORT

MAGISTRATE MATTERS
CHAPTER 25a
FAMILY SUPPORT MAGISTRATE MATTERS
Sec. Sec.
25a-1. Family Support Magistrate Matters; Procedure 25a-17. Motion to Open Judgment of Paternity by
25a-2. Prompt Filing of Appearance Acknowledgment
25a-3. Withdrawal of Appearance; Duration of 25a-18. Modification of Alimony or Support
Appearance 25a-19. Standard Disclosure and Production
25a-4. Telephonic Hearings 25a-20. Medical Evidence
25a-5. Signing of Pleading 25a-21. Experts
25a-6. Contents of Petition 25a-22. Interrogatories; In General
25a-7. Automatic Orders upon Service of Petition 25a-23. Answers to Interrogatories
25a-8. Order of Notice 25a-24. Requests for Production, Inspection
25a-9. Motions and Examination; In General
25a-10. —Motion to Cite in New Parties 25a-25. Order for Compliance; Failure to
25a-11. Answer to Cross Petition Answer or Comply with Order
25a-12. Order of Pleadings 25a-26. Continuing Duty to Disclose
25a-13. Reclaims 25a-27. Depositions; In General
25a-14. —Continuances when Counsel’s Presence or 25a-28. —Place of Deposition
Oral Argument Required 25a-29. Appeal from Decision of Family Support
25a-15. Statements to Be Filed Magistrate
25a-16. Opening Argument 25a-30. Support Enforcement Services
COMMENTARY—August, 2010: This new chapter is intended to clarify what rules of practice are specifically incorporated in
the family support magistrate court rules and what rules are exclusive only to the family support magistrate court. They include
rules that mirror, to the extent possible, the language of the superior court rules but are in an exclusive new section based upon
the sense that they vary sufficiently such that it was more efficacious to provide them as separate rules.
Sec. 25a-1. Family Support Magistrate Mat- (C) Chapter 10, Sections 10-1, 10-3 through
ters; Procedure 10-5, 10-7, 10-10, 10-12 through 10-14, 10-17,
(a) In addition to the specific procedures set 10-26, 10-28, subsections (a) and (c) of Section
out in this chapter, the following provisions shall 10-30, 10-31 through 10-34, subsection (b) of
govern the practice and procedure in all family Section 10-39, 10-40, 10-43 through 10-45 and
support magistrate matters, whether heard by a 10-59 through 10-68;
family support magistrate or any other judicial (D) Chapter 11, Sections 11-1 through 11-8,
authority. The term ‘‘judicial authority’’ and the 11-10 through 11-12 and 11-19;
word ‘‘judge’’ as used in the rules referenced in (E) Chapter 12, in its entirety;
this section shall include family support magis- (F) Chapter 13, Sections 13-1 through 13-3, 13-
trates where applicable, unless specifically other- 5, 13-8, 13-10 except subsection (c), 13-11A, 13-
wise designated. The word ‘‘complaint’’ as used 21 except subdivision (13) of subsection (a), sub-
in the rules referenced in this section shall include sections (a), (e), (f), (g) and (h) of Sections 13-
petitions and applications filed in family support 27, 13-28 and 13-30 through 13-32;
magistrate matters. (G) Chapter 14, Sections 14-1 through 14-3,
(1) General Provisions: 14-9, 14-15, 14-17, 14-18, 14-24 and 14-25;
(A) Chapters 1, 2, 5 and 6, in their entirety; (H) Chapter 15, Sections 15-3, 15-5, 15-7 and
(B) Chapter 3, in its entirety except subsection 15-8;
(b) of Section 3-2 and Section 3-9; (I) Chapter 17, Sections 17-1, 17-4, 17-5, 17-
(C) Chapter 4, in its entirety except subsections 19, 17-21, subsection (a) of Sections 17-33 and
(a) and (b) of Section 4-2; 17-41;
(D) Chapter 7, Section 7-19. (J) Chapter 18, Section 18-19;
(2) Procedures in Civil Matters: (K) Chapter 19, Section 19-19;
(A) Chapter 8, Sections 8-1 and 8-2; (L) Chapter 20, Sections 20-1 and 20-3;
(B) Chapter 9, Sections 9-1 and 9-18 through (M) Chapter 23, Sections 23-20, 23-67 and
9-20; 23-68.
306
SUPERIOR COURT—PROCEDURE IN FAMILY SUPPORT MAGISTRATE MATTERS Sec. 25a-4
(3) Procedure in Family Matters: appearance on Judicial Branch form JD-CL-122.

Chapter 25, Sections 25-1, 25-9, 25-12 through The certificate shall constitute a full withdrawal of
25-22, 25-27, 25-33, 25-48, 25-54, 25-59, 25-59A, a limited appearance. Copies of the certificate
25-61, 25-62 through 25-64 and 25-68. must be served in accordance with Sections 10-
(b) Any pleading or motion filed in a family sup- 12 through 10-17 on the client, and all attorneys
port magistrate matter shall indicate, in the lower and self-represented parties of record.
right hand corner of the first page of the document, (d) All appearances of counsel shall be deemed
that it is a family support magistrate matter. to have been withdrawn 180 days after the entry
(c) Family support magistrate matters shall be of judgment in any action seeking a dissolution
placed on the family support magistrate matters of marriage or civil union, annulment, or legal sep-
list for hearing and determination. aration, provided no appeal shall have been
(d) Family support magistrate list matters shall taken. In the event of an appeal or the filing of a
be assigned automatically by the clerk without the motion to open a judgment within such 180 days,
necessity of a written claim. No such matters shall all appearances of counsel shall be deemed to
be so assigned unless filed at least five days have been withdrawn after final judgment on such
before the opening of court on the day the list is appeal or motion or within 180 days after the entry
to be called. of the original judgment, whichever is later. Noth-
(e) Family support magistrate list matters shall ing herein shall preclude or prevent any attorney
not be continued except by order of a judicial from filing a motion to withdraw with leave of the
authority. court during that period subsequent to the entry of
(Adopted June 21, 2010, to take effect Aug. 1, 2010;
amended June 14, 2013, to take effect Oct. 1, 2013.) judgment. In the absence of a specific withdrawal,
counsel will continue of record for all postjudg-
Sec. 25a-2. Prompt Filing of Appearance ment purposes until 180 days have elapsed from
An appearance in Title IV-D child support mat- the entry of judgment or, in the event an appeal
ters should be filed promptly but may be filed at or a motion to open a judgment is filed within such
any stage of the proceeding. 180 day period, until final judgment on that appeal
(Adopted June 21, 2010, to take effect Aug. 1, 2010.) (Sec. or determination of that motion, whichever is later.
25a-2 was temporarily assigned the number 25a-1A in the (e) Except as provided in subsections (a), (b),
Connecticut Law Journal of July 13, 2010.)
(c), and (d) no attorney shall withdraw his or her
Sec. 25a-3. Withdrawal of Appearance; appearance after it has been entered upon the
Duration of Appearance record of the court without the leave of the court.
(a) An attorney or party whose appearance has (f) All appearances entered on behalf of parties
been filed shall be deemed to have withdrawn for matters involving Title IV-D child support mat-
such appearance upon failure to file a written ters shall be deemed to be for those matters only.
objection within ten days after written notice has (g) All appearances entered on behalf of parties
been given or mailed to such attorney or party in the family division of the superior court shall
that a new appearance has been filed in place not be deemed appearances for any matter involv-
of the appearance of such attorney or party in ing a Title IV-D child support matter unless specifi-
accordance with Section 3-8. cally so designated.
(b) An attorney may withdraw his or her appear- (Adopted June 21, 2010, to take effect Aug. 1, 2010.) (Sec.
ance for a party or parties in any action after the 25a-3 was temporarily assigned the number 25a-2 in the Con-
appearance of other counsel representing the necticut Law Journal of July 13, 2010; amended June 15,
same party or parties has been entered. An appli- 2012, to take effect Jan. 1, 2013; amended June 14, 2013,
to take effect Oct. 1, 2013.)
cation for withdrawal in accordance with this sub-
section shall state that such an appearance has Sec. 25a-4. Telephonic Hearings
been entered and that such party or parties are
being represented by such other counsel at the (a) In any case where mandated by law, the
time of the application. Such an application may judicial authority shall upon written motion or on
be granted by the clerk as of course, if such an its own motion permit an individual to testify by
appearance by other counsel has been entered. telephone or other audio electronic means.
(c) In addition to the grounds set forth in subsec- (b) In any case where permitted by law, the
tions (a), (b), and (d), a lawyer who represents a judicial authority may, upon written motion or on
party or parties on a limited basis in accordance its own motion, permit an individual to testify by
with Section 3-8 (b) and has completed his or her telephone or other audio electronic means.
representation as defined in the limited appear- (c) Upon an order for a telephonic hearing, the
ance, shall file a certificate of completion of limited judicial authority shall set the date, time and place
307
Sec. 25a-4 SUPERIOR COURT—PROCEDURE IN FAMILY SUPPORT MAGISTRATE MATTERS
for such hearing and shall issue an order in con- application or petition to be removed from any
nection therewith. medical, hospital and dental insurance coverage,
(Adopted June 21, 2010, to take effect Aug. 1, 2010.) (Sec. and each party shall maintain the existing medical,
25a-4 was temporarily assigned the number 25a-2A in the hospital and dental insurance coverage in full
force and effect.
Sec. 25a-5. Signing of Pleading (b) The automatic orders of a judicial authority
(a) Every pleading and other paper of a party as enumerated in subsection (a) shall be set forth
represented by an attorney shall be signed by immediately following the party’s requested relief
at least one attorney of record in the attorney’s in any complaint, petition or application, and shall
individual name. A party who is not represented set forth the following language in bold letters: If
by an attorney, and a support enforcement officer you do not follow or obey these orders you
where appropriate, shall sign the pleadings and may be punished by contempt of court. If you
other papers. The name of the attorney, party object to these orders or would like to have
or support enforcement officer who signs such them changed or modified while your case is
document shall be legibly typed or printed beneath pending, you have the right to a hearing by a
the signature. judicial authority within a reasonable time. The
(b) The signing of any pleading, motion, objec- clerk shall not accept for filing any complaint, peti-
tion or request shall constitute a certificate that tion or application that does not comply with
the signer has read such document, that to the this subsection.
(Adopted June 21, 2010, to take effect Aug. 1, 2010.) (Sec.
best of the signer’s knowledge, information and 25a-7 was temporarily assigned the number 25a-4 in the Con-
belief there is good ground to support it, that it is necticut Law Journal of July 13, 2010.)
not interposed for delay, and that the signer has
complied with the requirements of Section 4-7 Sec. 25a-8. Order of Notice
regarding personal identifying information. Each (a) On a petition for support or the establish-
pleading and every other court-filed document ment of paternity when the adverse party resides
shall set forth the signer’s telephone number and out of or is absent from the state or the where-
mailing address. abouts of the adverse party are unknown to the
(Adopted June 21, 2010, to take effect Aug. 1, 2010.) (Sec. plaintiff or the applicant, any judicial authority or
25a-5 was temporarily assigned the number 25a-2B in the clerk of the court may make such order of notice
as he or she deems reasonable. If such notice is
Sec. 25a-6. Contents of Petition by publication, it shall not include the automatic
All petitions shall contain a concise statement orders set forth in Section 25a-7, but shall,
of the facts constituting the cause of action, a instead, include a statement that automatic orders
demand for relief and the basis on which relief have issued in the case pursuant to Section 25a-
is sought. 7 and that such orders are set forth in the applica-
(Adopted June 21, 2010, to take effect Aug. 1, 2010.) (Sec. tion or petition on file with the court. Such notice
25a-6 was temporarily assigned the number 25a-3 in the Con- having been given and proved, the judicial author-
necticut Law Journal of July 13, 2010.) ity may hear the application or petition if it finds
that the adverse party has actually received notice
Sec. 25a-7. Automatic Orders upon Service that the application or petition is pending. If actual
of Petition notice is not proved, the judicial authority in its
(a) The following automatic orders shall apply discretion may hear the case or continue it for
to both parties, with service of the automatic compliance with such further order of notice as it
orders to be made with service of process of a may direct.
petition for child support. An automatic order shall (b) With regard to any motion for modification
not apply if there is a prior, contradictory order of or for contempt or any other motion requiring an
a judicial authority. The automatic orders shall order of notice, where the adverse party resides
be effective with regard to the petitioner or the out of or is absent from the state, any judicial
applicant upon the signing of the document initiat- authority or clerk of the court may make such
ing the action (whether it be complaint, petition or order of notice as he or she deems reasonable.
application), and with regard to the respondent, Such notice having been given and proved, the
upon service and shall remain in place during court may hear the motion if it finds that the
the pendency of the action, unless terminated, adverse party has actually received notice that
modified, or amended by further order of a judicial the motion is pending.
authority upon motion of either of the parties: (Adopted June 21, 2010, to take effect Aug. 1, 2010.) (Sec.
(1) Neither party shall cause the other party or 25a-8 was temporarily assigned the number 25a-4A in the
the children who are the subject of the complaint, Connecticut Law Journal of July 13, 2010.)
308
Sec. 25a-9. Motions objection to a request has gone off the family
(a) Any appropriate party may move for child support magistrate calendar without being adjudi-
support, appointment of counsel or guardian ad cated, the party who filed the request may claim
litem for the minor child, counsel fees, or for an the objection to the request for adjudication. Any
order or enforcement of an order with respect to party may claim for adjudication any motion or
the maintenance of the family or for any other request initiated by support enforcement services
statutorily authorized relief. that has gone off without being adjudicated and
(b) Each such motion shall state clearly, in the a support enforcement officer may claim any
caption of the motion, whether it is a pendente motion or request initiated by support enforce-
lite or a postjudgment motion. ment services that has gone off without being
(Adopted June 21, 2010, to take effect Aug. 1, 2010.) (Sec. adjudicated.
25a-9 was temporarily assigned the number 25a-5 in the Con- (Adopted June 21, 2010, to take effect Aug. 1, 2010.) (Sec.
necticut Law Journal of July 13, 2010.) 25a-13 was temporarily assigned the number 25a-8 in the
Sec. 25a-10. —Motion to Cite in New Parties
Sec. 25a-14. —Continuances when Coun-
Any motion to cite in or to admit new parties
must comply with Section 11-1 and state briefly sel’s Presence or Oral Argument Required
the grounds upon which it is made. In Title IV-D Matters upon the short calendar list requiring
child support matters, a motion to cite in or to oral argument or counsel’s presence shall not be
admit new parties is limited to a parent, legal cus- continued except for good cause shown; and no
todian or guardian. such matter in which adverse parties are inter-
(Adopted June 21, 2010, to take effect Aug. 1, 2010.) (Sec. ested shall be continued unless the parties shall
25a-10 was temporarily assigned the number 25a-5A in the agree thereto before the day of the short calendar
Connecticut Law Journal of July 13, 2010.) session and notify the clerk, who shall make note
Sec. 25a-11. Answer to Cross Petition thereof on the list of the judicial authority; in the
absence of such agreement, unless the judicial
A plaintiff in a family support magistrate matter authority shall otherwise order, any counsel
seeking to contest the grounds of a cross petition appearing may argue the matter and submit it for
may file an answer admitting or denying the alle- decision or request that it be denied.
gations of such cross petition or leaving the (Adopted June 21, 2010, to take effect Aug. 1, 2010.) (Sec.
pleader to his or her proof. If a decree is rendered 25a-14 was temporarily assigned the number 25a-8A in the
on the cross petition, the judicial authority may Connecticut Law Journal of July 13, 2010.)
award to the plaintiff such relief as is claimed in
the petition. Sec. 25a-15. Statements to Be Filed
(Adopted June 21, 2010, to take effect Aug. 1, 2010.) (Sec. (a) At least five days before the hearing date
25a-11 was temporarily assigned the number 25a-6 in the of a motion or order to show cause concerning
Connecticut Law Journal of July 13, 2010.) alimony, support, or counsel fees, or at the time
Sec. 25a-12. Order of Pleadings a dissolution of marriage or civil union, legal sepa-
ration or annulment action or action for custody
The order of pleadings shall be:
or visitation is scheduled for a hearing, each party
(1) the petition for establishment of paternity shall file, where applicable, a sworn statement
and/or a petition for support; substantially in accordance with a form prescribed
(2) the defendant’s motion to dismiss the by the chief court administrator, of current income,
petition; expenses, assets and liabilities. When the attor-
(3) the defendant’s motion to strike the petition ney general has appeared as a party in interest,
or claims for relief; a copy of the sworn statements shall be served
(4) the defendant’s answer, cross petition and upon him or her in accordance with Sections 10-
claims for relief; 12 through 10-14 and 10-17. Unless otherwise
(5) the plaintiff’s motion to strike the defendant’s ordered by the judicial authority, all appearing par-
answer, cross petition, or claims for relief; ties shall file sworn statements within thirty days
(6) the plaintiff’s answer. prior to the date of the decree. Notwithstanding
25a-12 was temporarily assigned the number 25a-7 in the the above, the court may render pendente lite
Connecticut Law Journal of July 13, 2010.) and permanent orders, including judgment, in the
absence of the opposing party’s sworn statement.
Sec. 25a-13. Reclaims The provisions of Section 25-59A (h) shall apply
If a motion has gone off the family support mag- to sworn statements filed under this subsection.
istrate calendar without being adjudicated, any (b) Where there is a minor child who requires
party may claim the motion for adjudication. If an support, the parties shall file a completed child
309
support and arrearage guidelines worksheet at (d) Nothing in this section shall preclude an
the time of any court hearing concerning child individual from filing a special defense of a chal-
support. lenge to a paternity judgment, or a counterclaim
(c) At the time of any hearing, including pen- in response to a petition for support.
dente lite and postjudgment proceedings, in which (Adopted June 21, 2010, to take effect Aug. 1, 2010.) (Sec.
a moving party seeks a determination, modifica- 25a-17 was temporarily assigned the number 25a-11 in the
tion, or enforcement of any alimony or child sup-
port order, a party shall submit an Advisement of Sec. 25a-18. Modification of Alimony or
Rights Re: Income Withholding form (JD-FM-71). Support
(Adopted June 21, 2010, to take effect Aug. 1, 2010;
amended June 14, 2013, to take effect Jan. 1, 2014.) (Sec. (a) Upon an application for a modification of an
25a-15 was temporarily assigned the number 25a-9 in the award of alimony or support of minor children,
Connecticut Law Journal of July 13, 2010.) filed by a person who is then in arrears under the
terms of such award, the judicial authority may,
Sec. 25a-16. Opening Argument upon hearing, ascertain whether such arrearage
Instead of reading the pleadings, any party shall has accrued without sufficient excuse so as to
be permitted to make a brief opening statement constitute a contempt of court and, in its discre-
at the discretion of the judicial authority, to apprise tion, may determine whether any modification of
the trier in general terms as to the nature of the current alimony and support shall be ordered prior
case being presented for trial. The judicial author- to the payment, in whole or in part as the judicial
ity shall have discretion as to the latitude of the authority may order, of any arrearage found to
statements of the parties. exist.
(Adopted June 21, 2010, to take effect Aug. 1, 2010.) (Sec. (b) In Title IV-D matters, upon any motion to
25a-16 was temporarily assigned the number 25a-10 in the modify support for minor children, where the
Connecticut Law Journal of July 13, 2010.) motion seeks to reduce the amount of support,
the judicial authority may, upon hearing, ascertain
Sec. 25a-17. Motion to Open Judgment of
whether such arrearage has accrued without suffi-
Paternity by Acknowledgment
cient excuse so as to constitute a contempt of
(a) Any mother or acknowledged father who court and, in its discretion, may determine whether
wishes to challenge an acknowledgment of pater- any modification of current alimony and support
nity pursuant to General Statutes § 46b-172 (a) shall be ordered prior to the payment, in whole or
(2) shall file a motion to open judgment, which in part as the judicial authority may order, of any
shall state the statutory grounds upon which the arrearage found to exist.
motion is based and shall append a certified copy (c) Either parent or both parents of minor chil-
of the document containing the acknowledgment dren, or any individual receiving Title IV-D ser-
of paternity to such motion. vices from the state of Connecticut may be cited
(b) Upon receipt of such motion to open and or summoned by any party to the action, or in Title
accompanying document, the clerk shall cause IV-D matters by support enforcement services of
the matter to be docketed. the judicial branch, to appear and show cause
(c) Any action to challenge an acknowledgment why orders of support or alimony should not be
of paternity for which there is no other family court entered or modified.
file involving the same parties shall be com- (d) In matters where the parties, or other individ-
menced by an order to show cause accompanied uals pursuant to subsection (b) of this section,
by the motion to open judgment and the document to a child support order are receiving Title IV-D
containing the acknowledgment of paternity services from the state of Connecticut, support
required by subsection (a) of this section. Upon enforcement services of the judicial branch may
presentation of the motion to open and the initiate a motion to modify an existing child support
acknowledgment of paternity, the judicial authority order pursuant to General Statutes § 46b-231 (s)
shall cause an order to be issued requiring the (4) and, in connection with such motion, may issue
adverse party or parties to appear on a day certain an order and summons and assign a date for a
and show cause, if any there be, why the relief hearing on such motion.
requested by the moving party should not be (e) If any applicant, other than support enforce-
granted. The motion to open, acknowledgment of ment services of the judicial branch, is proceeding
paternity and order shall be served on the adverse without the assistance of counsel and citation of
party not less than twelve days before the date any other party is necessary, the applicant shall
of the hearing, which shall not be held more than sign the application and present the application,
thirty days from the filing of the challenge. proposed order and summons to the clerk; the
310
clerk shall review the proposed order and sum- Sec. 25a-20. Medical Evidence
mons and, unless it is defective as to form, shall A party who plans to offer a hospital record in
sign the proposed order and summons and shall evidence shall have the record in the clerk’s office
assign a date for a hearing on the application. twenty-four hours prior to trial. Counsel must rec-
(f) Each motion for modification shall state the ognize their responsibility to have medical testi-
specific factual and statutory basis for the claimed mony available when needed and shall, when
modification and shall include the outstanding necessary, subpoena medical witnesses to that
order and date thereof to which the motion for end.
modification is addressed. (Adopted June 21, 2010, to take effect Aug. 1, 2010.) (Sec.
(g) On motions addressed to financial issues, 25a-20 was temporarily assigned the number 25a-14 in the
the provisions of Section 25-30 (a), (e) and (f) Connecticut Law Journal of July 13, 2010.)
shall be followed. Sec. 25a-21. Experts
25a-18 was temporarily assigned the number 25a-12 in the As soon as is practicable, if a party, including
Connecticut Law Journal of July 13, 2010.) the state of Connecticut, is going to rely on in-
court expert testimony, that party shall provide
Sec. 25a-19. Standard Disclosure and Pro- notice to all opposing parties, but said notice shall
duction not be provided less than fourteen days before the
(a) Upon request by a party or as ordered by the hearing. Discovery, facts unknown, and opinions
judicial authority, opposing parties shall exchange held by experts may be ordered disclosed by the
the following documents within thirty days of such judicial authority on such terms and conditions as
request or such order: the judicial authority deems reasonable.
(1) all federal and state income tax returns filed (Adopted June 21, 2010, to take effect Aug. 1, 2010.) (Sec.
within the last three years, including personal 25a-21 was temporarily assigned the number 25a-15 in the
returns and returns filed on behalf of any partner-
ship or closely held corporation of which a party Sec. 25a-22. Interrogatories; In General
is a partner or shareholder; (a) In any action in the family support magistrate
(2) IRS forms W-2, 1099 and K-1 within the last division to establish, enforce or modify a child
three years including those for the past year if the support order, upon motion of any party and when
income tax returns for that year have not been the judicial authority deems it necessary, any
prepared; party may be required to answer all or part of the
(3) copies of all pay stubs or other evidence of interrogatories set forth in Form 207 of the rules
income for the current year and the last pay stub of practice, which is printed in the Appendix of
from the past year; Forms in this volume.
(4) statements for all accounts maintained with (b) In any paternity action before the family sup-
any financial institution, including banks, brokers port magistrate division, interrogatories may only
and financial managers, for the past twenty-four be served upon a party where the judicial authority
months; deems it necessary.
(5) the most recent statement showing any (c) For good cause shown, in postjudgment
interest in any Keogh, IRA, profit sharing plan, matters, the judicial authority may upon motion
deferred compensation plan, pension plan, or authorize further discovery.
retirement account; (Adopted June 21, 2010, to take effect Aug. 1, 2010.) (Sec.
(6) the most recent statement regarding any 25a-22 was temporarily assigned the number 25a-15A in the
insurance on the life of any party; Connecticut Law Journal of July 13, 2010.)
(7) a summary furnished by the employer of the
Sec. 25a-23. Answers to Interrogatories
party’s medical insurance policy, coverage, cost
of coverage, spousal benefits, and COBRA costs (a) Any such interrogatories shall be answered
following dissolution; under oath by the party to whom directed and
(8) any written appraisal concerning any asset such answers shall not be filed with the court but
owned by either party. shall be served within thirty days after the date of
(b) Such duty to disclose shall continue during certification of service, in accordance with Sec-
the pendency of the action should a party appear. tions 10-12, 10-14 and 10-17, of the interrogato-
This section shall not preclude discovery under ries or, if applicable, the notice of interrogatories
any other provisions of these rules. on the answering party, unless:
(Adopted June 21, 2010, to take effect Aug. 1, 2010.) (Sec. (1) Counsel file with the court a written stipula-
25a-19 was temporarily assigned the number 25a-13 in the tion extending the time within which answers or
Connecticut Law Journal of July 13, 2010.) objections may be served; or
311
(2) The party to whom the interrogatories are (d) A party seeking the production of a written
directed, after service in accordance with Sections authorization in compliance with the Health Insur-
10-12,10-14 and 10-17, files a request for exten- ance Portability and Accountability Act to inspect
sion of time, for not more than thirty days, within and make copies of protected health information,
the initial thirty day period. Such request shall or a written authorization in compliance with the
contain a certification by the requesting party that Public Health Service Act to inspect and make
the case has not been assigned for trial. Such copies of alcohol and drug records that are pro-
request shall be deemed to have been automati- tected by that act, shall file a motion pursuant to
cally granted by the judicial authority on the date Section 13-11A.
of filing, unless within ten days of such filing the (Adopted June 21, 2010, to take effect Aug. 1, 2010.) (Sec.
party who has served the interrogatories or the 25a-24 was temporarily assigned the number 25a-17 in the
notice of interrogatories shall file objection Connecticut Law Journal of July 13, 2010.)
thereto. A party shall be entitled to one such Sec. 25a-25. Order for Compliance; Failure
request for each set of interrogatories directed to to Answer or Comply with Order
that party; or
(3) Upon motion, the judicial authority allows a (a) If any party has failed to answer interrogato-
longer time. ries or to answer them fairly, or has intentionally
(b) The party answering interrogatories shall answered them falsely or in a manner calculated
attach a cover sheet to the answers. The cover to mislead, or has failed to respond to requests
sheet shall comply with Sections 4-1 and 4-2 and for production or has failed to comply with the
shall state that the party has answered all of the provisions of Section 25a-26, or has failed to
interrogatories or shall set forth those interrogato- appear and to testify at a deposition duly noticed
ries to which the party objects and the reasons pursuant to this chapter, or has failed otherwise
for objection. The cover sheet and the answers substantially to comply with any other discovery
shall not be filed with the court unless the order made pursuant to Sections 13-8, 13-10
responding party objects to one or more interroga- except subsection (c), 25a-22, 25a-23 or 25a-24,
tories, in which case only the cover sheet shall the judicial authority may make such order as
be so filed. appropriate.
(c) All answers to interrogatories shall repeat (b) Such orders may include the following:
immediately before each answer the interrogatory (1) The entry of a nonsuit or default against the
being answered. Answers are to be signed by party failing to comply;
the person making them. The party serving the (2) The award to the discovering party of the
interrogatories or the notice of interrogatories may costs of the motion, including a reasonable attor-
move for an order under Section 25a-25 with ney’s fee;
respect to any failure to answer. (3) The entry of an order that the matters
(Adopted June 21, 2010, to take effect Aug. 1, 2010.) (Sec. regarding which the discovery was sought or other
25a-23 was temporarily assigned the number 25a-16 in the designated facts shall be taken to be established
Connecticut Law Journal of July 13, 2010.) for the purposes of the action in accordance with
Sec. 25a-24. Requests for Production, the claim of the party obtaining the order;
Inspection and Examination; In General (4) The entry of an order prohibiting the party
who has failed to comply from introducing desig-
(a) Upon motion and by order of the judicial nated matters in evidence;
authority, requests for production may be served (5) If the party failing to comply is the plaintiff,
upon any party at any time after the return day. the entry of a judgment of dismissal.
(b) If data has been electronically stored, the (Adopted June 21, 2010, to take effect Aug. 1, 2010.) (Sec.
judicial authority may for good cause shown order 25a-25 was temporarily assigned the number 25a-18 in the
disclosure of the data in an alternative format pro- Connecticut Law Journal of July 13, 2010.)
vided the data is otherwise discoverable. When
the judicial authority considers a request for a Sec. 25a-26. Continuing Duty to Disclose
particular format, the judicial authority may con- If, subsequent to compliance with any request
sider the cost of preparing the disclosure in the or order for discovery at any time the matter is
requested format and may enter an order that one before the court, a party discovers additional or
or more parties shall pay the cost of preparing new material or information previously requested
the disclosure. and ordered subject to discovery or inspection or
(c) The party serving such request or notice of discovers that the prior compliance was totally or
requests for production shall not file it with the partially incorrect or, though correct when made,
court. is no longer true and the circumstances are such
312
that a failure to amend the compliance is in sub- attend at the plaintiff’s expense an examination
stance a knowing concealment, that party shall in the county of this state where the action is
promptly notify the other party, or the other party’s commenced or is pending or at any place within
attorney, and file and serve in accordance with thirty miles of the plaintiff’s residence or within the
Sections 10-12, 10-14 and 10-17 a supplemental county of his or her residence or in such other
or corrected compliance. place as is fixed by order of the judicial authority.
(Adopted June 21, 2010, to take effect Aug. 1, 2010.) (Sec. (c) Except as otherwise required by law, a
25a-26 was temporarily assigned the number 25a-19 in the defendant who is not a resident of this state may
be compelled:
Sec. 25a-27. Depositions; In General (1) By subpoena to give a deposition in any
In addition to other provisions for discovery and county in this state in which the defendant is per-
subject to the provisions of Sections 13-2, 13-3 sonally served, or
and 13-5, any party who has appeared in any (2) By notice under Section 13-27 (a) to give a
Title IV-D matter or in any matter under General deposition at any place within thirty miles of the
Statutes §§ 46b-212 through 46b-213w where the defendant’s residence or within the county of his
judicial authority finds it reasonably probable that or her residence or at such other place as is fixed
evidence outside the record will be required, may, by order of the judicial authority.
at any time after the commencement of the action (d) A nonparty deponent may be compelled by
or proceeding, in accordance with the procedures subpoena served within this state to give a deposi-
set forth in this chapter, take the testimony of any tion at a place within the county of his or her
person, including a party, by deposition upon oral residence or within thirty miles of the nonparty
examination. The attendance of witnesses may deponent’s residence, or if a nonresident of this
be compelled by subpoena as provided in Section state within any county in this state in which he
13-28. The attendance of a party deponent or of or she is personally served, or at such other place
an officer, director, or managing agent of a party as is fixed by order of the judicial authority.
may be compelled by notice to the named person (e) In this section, the terms ‘‘plaintiff’’ and
or such person’s attorney in accordance with the ‘‘defendant’’ include officers, directors and man-
requirements of Section 13-27 (a). The deposition aging agents of corporate plaintiffs and corporate
defendants or other persons designated under
of a person confined in prison may be taken only
Section 13-27 (h) as appropriate.
by leave of the judicial authority on such terms
as the judicial authority prescribes. (f) If a deponent is an officer, director or manag-
ing agent of a corporate party, or other person
Leave of the court for such a deposition is
designated under Section 13-27 (h), the place of
required. Motions for the taking of a deposition
examination shall be determined as if the resi-
shall include the proposed notice of the deposition
dence of the deponent were the residence of
and the identification of such documents or other
the party.
tangible evidence as may be sought to be subpoe- (Adopted June 21, 2010, to take effect Aug. 1, 2010.) (Sec.
naed. Only those documents or other tangible evi- 25a-28 was temporarily assigned the number 25a-19B in the
dence approved by the judicial authority shall be Connecticut Law Journal of July 13, 2010.)
permitted to be subpoenaed from the deponent.
(Adopted June 21, 2010, to take effect Aug. 1, 2010.) (Sec. Sec. 25a-29. Appeal from Decision of Family
25a-27 was temporarily assigned the number 25a-19A in the Support Magistrate
Any person who is aggrieved by a final decision
Sec. 25a-28. —Place of Deposition of a family support magistrate may appeal such
decision in accordance with the provisions of Gen-
(a) Any party who is a resident of this state may
eral Statutes § 46b-231. The appeal shall be insti-
be compelled by notice as provided in Section 13-
tuted by the filing of a petition which shall include
27 (a) to give a deposition at any place within the
the reasons for the appeal.
county of such party’s residence, or within thirty (Adopted June 21, 2010, to take effect Aug. 1, 2010.) (Sec.
miles of such residence, or at such other place 25a-29 was temporarily assigned the number 25a-20 in the
as is fixed by order of the judicial authority. A Connecticut Law Journal of July 13, 2010.)
plaintiff who is a resident of this state may also
be compelled by like notice to give a deposition Sec. 25a-30. Support Enforcement Services
at any place within the county where the action In cases where the payment of alimony and/or
is commenced or is pending. support has been ordered, a support enforcement
(b) Except as otherwise required by law, a plain- officer, where provided by statute, shall:
tiff who is not a resident of this state may be (a) Whenever there is a default in any payment
compelled by notice under Section 13-27 (a) to of alimony or support of children under judgments
313
of dissolution of marriage or civil union or separa- pursuant to General Statutes § 46b-215a or

tion, or of support under judgments of support, § 46b-215b. The requesting party shall have the
where necessary, (1) initiate and facilitate, but not right to such review every three years without
advocate on behalf of either party, an application proving a substantial change in circumstances;
to a family support magistrate and issue an order more frequent reviews shall be made only if the
requiring said party to appear before a family sup- requesting party demonstrates a substantial
port magistrate to show cause why such party change in circumstances.
should not be held in contempt, or (2) take such (c) In connection with subsections (a) or (b)
other action as is provided by rule or statute. above, or at any other time upon direction of a
(b) Review child support orders (1) in non-TFA family support magistrate, investigate (1) the
Title IV-D cases at the request of either parent or financial situation of the parties, using all appro-
custodial party subject to a support order, or upon priate information and resources available to the
receipt of information indicating a substantial Title IV-D child support program, including infor-
change in circumstances of any party to the sup- mation obtained through electronic means from
port order, (2) in TFA cases, at the request of state and federal sources in the certified child
the bureau of child support enforcement, (3) as support system, or (2) information about the status
necessary to comply with federal requirements for of participation in programs that increase the par-
the child support enforcement program mandated ty’s ability to fulfill the duty of support, and report
by Title IV-D of the Social Security Act, and initiate his or her findings thereon to a family support
and facilitate, but not advocate on behalf of either magistrate and to the parties and upon direction of
party, an action before a family support magistrate a family support magistrate facilitate agreements
to modify such support order if it is determined between parties.
upon such review that the order substantially devi- 25a-30 was temporarily assigned the number 25a-21 in the
ates from the child support guidelines established Connecticut Law Journal of July 13, 2010.)
314
SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERS Sec. 26-1
SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERS

CHAPTER 26
GENERAL PROVISIONS
Sec. Sec.
26-1. Definitions Applicable to Proceedings on Juvenile 26-2. Persons in Attendance at Hearings
Matters 26-3. Case Initiation; Electronic Filing
Sec. 26-1. Definitions Applicable to Pro- (f) ‘‘Guardian’’ means a person who has a judi-
ceedings on Juvenile Matters cially created relationship with a child or youth,
In these definitions and in the rules of practice which is intended to be permanent and self-sus-
and procedure on juvenile matters, the singular taining, as evidenced by the transfer to the care-
shall include the plural and the plural, the singular taker of the following parental rights with respect
where appropriate. to the child or youth: protection, education, care
(a) The definitions of the terms ‘‘child,’’ ‘‘youth,’’ and control of the person, custody of the person
‘‘abused,’’ ‘‘mentally deficient,’’ ‘‘delinquent,’’ and decision making.
‘‘delinquent act,’’ ‘‘neglected,’’ ‘‘uncared for,’’ (g) ‘‘Hearing’’ means an activity of the court on
‘‘alcohol-dependent child,’’ ‘‘family with service the record in the presence of a judicial authority
needs,’’ ‘‘drug-dependent child,’’ ‘‘serious juvenile and shall include (1) ‘‘Adjudicatory hearing’’: A
offense,’’ ‘‘serious juvenile offender,’’ and ‘‘seri- court hearing to determine the validity of the facts
ous juvenile repeat offender’’ shall be as set forth alleged in a petition or information to establish
in General Statutes § 46b-120. The definition of thereby the judicial authority’s jurisdiction to
decide the matter which is the subject of the peti-
‘‘victim’’ shall be as set forth in General Statutes
tion or information; (2) ‘‘Contested hearing on an
§ 46b-122.
order of temporary custody’’ means a hearing on
(b) ‘‘Commitment’’ means an order of the judi- an ex parte order of temporary custody or an order
cial authority whereby custody and/or guardian- to appear which is held not later than ten days
ship of a child or youth are transferred to the from the day of a preliminary hearing on such
commissioner of the department of children and orders. Contested hearings shall be held on con-
families. secutive days except for compelling circum-
(c) ‘‘Complaint’’ means a written allegation or stances or at the request of the respondent; (3)
statement presented to the judicial authority that ‘‘Dispositive hearing’’: The judicial authority’s
a child’s or youth’s conduct as a delinquent or jurisdiction to adjudicate the matter which is the
situation as a child from a family with service subject of the petition or information having been
needs brings the child or youth within the jurisdic- established, a court hearing in which the judicial
tion of the judicial authority as prescribed by Gen- authority, after considering the social study or pre-
eral Statutes § 46b-121. dispositional study and the total circumstances of
(d) ‘‘Detention’’ means a secure building or staff the child or youth, orders whatever action is in the
secure facility for the temporary care of a child best interests of the child, youth or family and,
who is the subject of a delinquency complaint. where applicable, the community. In the discretion
(e) ‘‘Family support center’’ means a commu- of the judicial authority, evidence concerning adju-
nity-based service center for children and families dication and disposition may be presented in a
involved with a complaint that has been filed with single hearing; (4) ‘‘Preliminary hearing’’ means
the superior court under General Statutes § 46b- a hearing on an ex parte order of temporary cus-
149, that provides multiple services, or access to tody or an order to appear or the first hearing on
such services, for the purpose of preventing such a petition alleging that a child or youth is uncared
children and families from having further involve- for, abused, or neglected. A preliminary hearing
ment with the court as families with service needs. on any ex parte custody order or order to appear
315
Sec. 26-1 SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERS
shall be held not later than ten days from the Permanency plans shall be reviewed by the judi-
issuance of the order; (5) ‘‘Plea hearing’’ is a hear- cial authority as prescribed in General Statutes
ing at which (i) a parent or guardian who is a §§ 17a-110 (b), 17a-111b (c), 46b-129 (k), 46b-
named respondent in a neglect, uncared for or 141, and 46b-149 (j).
dependency petition, upon being advised of his (l) ‘‘Petition’’ means a formal pleading, executed
or her rights, admits, denies, or pleads nolo con- under oath, alleging that the respondent is within
tendere to allegations contained in the petition; or the judicial authority’s jurisdiction to adjudicate
(ii) a child or youth who is a named respondent the matter which is the subject of the petition by
in a delinquency petition or information enters a reason of cited statutory provisions and seeking
plea of not guilty, guilty, or nolo contendere upon a disposition. Except for a petition for erasure of
being advised of the charges against him or her record, such petitions invoke a judicial hearing
contained in the information or petition, or a hear- and shall be filed by any one of the parties author-
ing at which a child or youth who is a named ized to do so by statute.
respondent in a family with service needs petition (m) ‘‘Information’’ means a formal pleading filed
admits or denies the allegations contained in the by a prosecutor alleging that a child or youth in a
petition upon being advised of the allegations. delinquency matter is within the judicial author-
(h) ‘‘Indian child’’ means an unmarried person ity’s jurisdiction.
under age eighteen who is either a member of a (n) ‘‘Probation’’ means a legal status created in
federally recognized Indian tribe or is eligible for delinquency cases following conviction whereby
membership in a federally recognized Indian tribe a respondent child is permitted to remain in the
and is the biological child of a member of a feder- home or in the physical custody of a relative or
ally recognized Indian tribe, and is involved in other fit person subject to supervision by the court
custody proceedings, excluding delinquency pro- through the court’s probation officers and upon
ceedings. such terms as the judicial authority determines,
(i) ‘‘Parent’’ means a biological mother or father subject to the continuing jurisdiction of the judi-
cial authority.
or adoptive mother or father except a biological
or adoptive mother or father whose parental rights (o) ‘‘Respondent’’ means a person who is
alleged to be a delinquent or a child from a family
have been terminated; or the father of any child
with service needs, or a parent or a guardian of
or youth born out of wedlock, provided at the time
a child or youth who is the subject of a petition
of the filing of the petition (1) he has been adjudi- alleging that the child is uncared for, abused,
cated the father of such child or youth by a court neglected, or requesting termination of parental
which possessed the authority to make such adju- rights.
dication, or (2) he has acknowledged in writing to (p) ‘‘Specific steps’’ means those judicially
be the father of such child or youth, or (3) he has determined steps the parent or guardian and the
contributed regularly to the support of such child, commissioner of the department of children and
or (4) his name appears on the birth certificate, families should take in order for the parent or
or (5) he has filed a claim for paternity as provided guardian to retain or regain custody of a child
under General Statutes § 46b-172a, or (6) he has or youth.
been named in the petition as the father of the (q) ‘‘Staff secure facility’’ means a residential
minor child or youth by the mother. facility: (1) that does not include construction fea-
(j) ‘‘Parties’’ includes: (1) The child or youth who tures designed to physically restrict the move-
is the subject of a proceeding and those additional ments and activities of juvenile residents who are
persons as defined herein; (2) ‘‘Legal party’’: Any placed therein, (2) that may establish reasonable
person, including a parent, whose legal relation- rules restricting entrance to and egress from the
ship to the matter pending before the judicial facility, and (3) in which the movements and activi-
authority is of such a nature and kind as to man- ties of individual juvenile residents may, for treat-
date the receipt of proper legal notice as a condi- ment purposes, be restricted or subject to control
tion precedent to the establishment of the judicial through the use of intensive staff supervision.
authority’s jurisdiction to adjudicate the matter (r) ‘‘Supervision’’ includes: (1) ‘‘Nonjudicial
pending before it; and (3) ‘‘Intervening party’’: Any supervision’’: A legal status without the filing of a
person who is permitted to intervene in accord- petition or a court conviction or adjudication but
ance with Section 35a-4. following the child’s admission to a complaint
(k) ‘‘Permanency plan’’ means a plan devel- wherein a probation officer exercises supervision
oped by the commissioner of the department of over the child with the consent of the child and the
children and families for the permanent placement parent; (2) ‘‘Protective supervision’’: A disposition
of a child or youth in the commissioner’s care. following adjudication in neglected, abused or
316
uncared for cases created by an order of the judi- except that in delinquency proceedings, any vic-
cial authority requesting a supervising agency tim shall not be excluded unless, after hearing
other than the court to assume the responsibility from the parties and the victim and for good cause
of furthering the welfare of the family and best shown, which shall be clearly and specifically
interests of the child or youth when the child’s or stated on the record, the judge orders otherwise.
youth’s place of abode remains with the parent (b) Any judge hearing a juvenile matter, in which
or any suitable or worthy person, or when the a child is alleged to be uncared for, neglected or
judicial authority vests custody or guardianship in abused or in which a child is the subject of a
another suitable and worthy person, subject to petition for termination of parental rights, may per-
the continuing jurisdiction of the court; and (3) mit any person whom the court finds has a legiti-
‘‘Judicial supervision’’: A legal status similar to mate interest in the hearing or the work of the
probation for a child adjudicated to be from a fam- court to attend such hearing. Such person may
ily with service needs or subject to supervision include a party, foster parent, relative related to
pursuant to an order of suspended proceedings the child by blood or marriage, service provider
under General Statutes § 46b-133b or § 46b- or any person or representative of any agency,
133e. entity or association, including a representative of
(s) ‘‘Take into Custody Order’’ means an order the news media. The court may, as a condition
by a judicial authority that a child be taken into of participation, for the child’s safety and protec-
custody and immediately turned over to a detention and for good cause shown, prohibit any per-
tion superintendent where probable cause has son or representative of any agency, entity or
been found that the child has committed a delin- association, including a representative of the
quent act, there is no less restrictive alternative news media, who is present in court from further
available, and the child meets the criteria set forth disclosing any information that would identify the
in Section 31a-13. child, the custodian or caretaker of the child or
(P.B. 1978-1997, Sec. 1023.1.) (Amended June 24, 2002, the members of the child’s family involved in
to take effect Jan. 1, 2003; amended June 30, 2008, to take the hearing.
effect Jan. 1, 2009; amended June 21, 2010, to take effect (Adopted June 15, 2012, to take effect Jan. 1, 2013.)
2012; amended June 15, 2012, to take effect Jan. 1, 2013; Sec. 26-3. Case Initiation; Electronic Filing
amended June 13, 2014, to take effect Jan. 1, 2015.) Proceedings in juvenile matters may be initiated
and papers filed, signed or verified by electronic
Sec. 26-2. Persons in Attendance at means in the manner prescribed in Section 4-4.
Hearings (Adopted June 12, 2015, to take effect Jan. 1, 2016.)
(a) Except as provided in subsection (b) of this COMMENTARY—2016: This new rule provides for elec-
section, any judge hearing a juvenile matter, may tronic filing for juvenile matters proceedings and is consistent
with General Statutes § 51-193c and existing Practice Book
during such hearing, exclude from the courtroom rules.
in which such hearing is held any person whose
presence is, in the court’s opinion, not necessary,
317
CHAPTER 27
RECEPTION AND PROCESSING OF DELINQUENCY AND FAMILY WITH
SERVICE NEEDS COMPLAINTS OR PETITIONS
Sec. Sec.
27-1. Complaints; In General [Repealed] 27-5. Initial Interview for Delinquency Nonjudicial Han-
27-1A. Referrals for Nonjudicial Handling of Delinquency dling Eligibility
Complaints 27-6. Denial of Responsibility
27-2. —Insufficient Allegations in Complaints [Repealed] 27-7. —Written Statement of Responsibility
27-3. —Sufficient Allegations in Complaints [Repealed] 27-8. —Scheduling of Judicial Plea/Dispositional Hear-
27-4. Additional Offenses and Misconduct ing [Repealed]
27-4A. Ineligibility for Nonjudicial Handling of Delin- 27-8A. Nonjudicial Supervision—Delinquency
quency Complaint 27-9. Family with Service Needs Referrals
Sec. 27-1. Complaints; In General Sec. 27-2. —Insufficient Allegations in Com-

plaints
Sec. 27-1A. Referrals for Nonjudicial Han-
Sec. 27-3. —Sufficient Allegations in Com-
dling of Delinquency Complaints
plaints
(a) Any police summons accompanied by a
police report alleging an act of delinquency shall Sec. 27-4. Additional Offenses and Mis-
be in writing and signed by the police officer and conduct
filed with the clerk of the superior court for juvenile (Amended June 24, 2002, to take effect Jan. 1, 2003.)
matters. After juvenile identification and docket Any additional police summons, delinquency
numbers are assigned, the summons and report complaint, delinquency petition, or information
shall be referred to the probation department for regarding a child which is received by the court
possible nonjudicial handling. prior to action by the judicial authority on any
(b) If the probation officer determines that a pending request for nonjudicial handling shall be
delinquency complaint is eligible for nonjudicial consolidated with the initial offenses or miscon-
handling, the probation officer may cause a notice duct for purposes of eligibility for nonjudicial
to be mailed to the child and parent or guardian handling.
setting forth with reasonable particularity the con- (P.B. 1978-1997, Sec. 1025.1 (2).) (Amended June 24,
2002, to take effect Jan. 1, 2003; amended June 30, 2008,
tents of the complaint and fixing a time and loca- to take effect Jan. 1, 2009.)
tion of the court and date not less than seven
days, excluding Saturdays, Sundays, and holi- Sec. 27-4A. Ineligibility for Nonjudicial Han-
days, subsequent to mailing. dling of Delinquency Complaint
(c) Delinquency matters eligible for nonjudicial (Amended June 30, 2008, to take effect Jan. 1, 2009.)
handling shall be designated as such on the In the case of a delinquency complaint, a child
docket. If the prosecuting authority objects to the shall not be eligible for nonjudicial handling if one
designation, the judicial authority shall determine or more of the following apply, unless waived by
if such designation is appropriate. The judicial the judicial authority:
authority may refer to the office of juvenile proba- (1) The alleged misconduct:
tion a matter so designated and may, sua sponte, (A) is a serious juvenile offense under General
refer a matter for nonjudicial handling prior to adju- Statutes § 46b-120, or any other felony or viola-
dication. tion of General Statutes § 53a-54d;
(Adopted June 24, 2002, to take effect Jan. 1, 2003; (B) concerns the theft or unlawful use or opera-
amended June 30, 2008, to take effect Jan. 1, 2009.) tion of a motor vehicle; or
318
SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERS Sec. 27-8A
(C) concerns the sale of, or possession of with Sec. 27-7. —Written Statement of Responsi-
intent to sell, any illegal drugs or the use or pos- bility
session of a firearm. (a) Where the child and the parent or guardian
(2) The child was previously convicted delin- affirm that they are ready to go forward with the
quent or adjudged a child from a family with ser- investigation, with or without counsel, and to make
vice needs. a statement concerning the child’s responsibility
(3) The child admitted nonjudicially at least for the alleged misconduct, such affirmation must
twice previously to having been delinquent. be embodied in a written statement of responsibil-
(4) The alleged misconduct was committed by ity executed by both child and parent, or guardian,
a child while on probation or under judicial super- and, in the case of the child, in the presence of
vision. the parent or guardian.
(b) If a child orally acknowledges responsibility
(5) If the nature of the alleged misconduct war-
for the alleged misconduct but refuses to execute
rants judicial intervention. a written statement of responsibility, such an oral
admission shall not be accepted as the equivalent
of an admission, and the case shall be dealt with
Sec. 27-5. Initial Interview for Delinquency in the manner prescribed in Section 27-6. If the
Nonjudicial Handling Eligibility written statement of responsibility is executed, the
probation officer shall proceed with the nonjudicial
(Amended June 24, 2002, to take effect Jan. 1, 2003;
amended June 30, 2008, to take effect Jan. 1, 2009.) handling of the case.
(c) The age, intelligence and maturity of the
(a) At the initial interview to determine eligibility
child and the mutuality of interests between parent
for nonjudicial handling of a delinquency com-
or guardian and child shall be weighed in
plaint, held at the time of arraignment or notice determining their competency to execute such
date, the probation officer shall inquire of the child written statement of responsibility.
and parent or guardian whether they have read (P.B. 1978-1997, Sec. 1025.1 (5), (6).) (Amended June 24,
the court documents and understand the nature 2002, to take effect Jan. 1, 2003; amended June 30, 2008,
of the complaint set forth therein. Any allegations to take effect Jan. 1, 2009.)
of misconduct being considered for nonjudicial Sec. 27-8. —Scheduling of Judicial Plea/
handling, including any additional allegations not Dispositional Hearing
contained in the summons or notice to appear
because they were filed with the court after the [Repealed as of Jan. 1, 2003.]
issuance of that notice shall likewise be explained Sec. 27-8A. Nonjudicial Supervision—Del-
in simple and nontechnical language. inquency
(b) The probation officer shall inform the child (Amended June 30, 2008, to take effect Jan. 1, 2009.)
and parent or guardian of their rights under Sec- (a) If a child has acknowledged responsibility
tion 30a-1. If either the child or the parent or guard- for the alleged misconduct which is not one for
ian state that they wish to be represented by which a judicial hearing is mandated pursuant to
counsel, or if the probation officer determines that Section 27-4A, and the probation officer has then
a judicial hearing is necessary, the interview shall found from investigation of the child’s total circum-
end. Any further interview to consider nonjudicial stances that some form of court accountability
handling shall take place with counsel present less exacting than that arising out of a court
unless waived. appearance appears to be in the child’s best inter-
(P.B. 1978-1997, Sec. 1025.1 (3), (4).) (Amended June 24, ests, the officer may, subject to the conditions
2002, to take effect Jan. 1, 2003; amended June 30, 2008, imposed by subsection (b) hereof, place the child
to take effect Jan. 1, 2009.) on nonjudicial supervision for a term established
by the juvenile probation supervisor for a period
Sec. 27-6. Denial of Responsibility not to exceed 180 days.
(Amended June 24, 2002, to take effect Jan. 1, 2003.) (b) Whenever the probation officer seeks to
Where the child denies responsibility for the effect nonjudicial supervision, the parent and the
alleged misconduct, the interview shall end and child shall have a right to a conference with the
the child and the parent or guardian shall be probation officer’s administrative superior, or a
informed that, if the evidence warrants, the case court hearing. Whenever a parent or child elects
will be set down for a plea hearing. to pursue either or both rights, supervision shall
(P.B. 1978-1997, Sec. 1025.1 (8), (9).) (Amended June 24, be held in abeyance until the outcome thereof.
2002, to take effect Jan. 1, 2003; amended June 30, 2008, (c) Such nonjudicial supervision when com-
to take effect Jan. 1, 2009.) pleted shall constitute a resolution of the case,
319
Sec. 27-8A SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERS
and thereafter a child may not again be presented child’s family to a suitable community-based pro-
for formal court action on the same summons, gram or other service provider or to a family sup-
complaint or petition or the facts therein set forth, port center for voluntary services.
provided however, that a judicial hearing may be (b) If the child and the child’s family are referred
initiated on the original summons, complaint, peti- to a community-based program or other service
tion, or information during said nonjudicial super- provider and the person in charge of such program
or provider determines that the child and the
vision if there has been a failure to comply with child’s family can no longer benefit from its ser-
terms of the supervision and any oral or written vices, such person shall inform the probation offi-
statement of responsibility shall not be used cer, who shall, after an appropriate assessment,
against the child. When the judicial authority refers either refer the child and the child’s family to a
the file for nonjudicial handling, the referral order family support center for additional services or
should provide that upon successful completion determine whether or not to file a petition with the
of any nonjudicial handling, the matter will be dis- court. If the child and the child’s family are referred
missed and erased immediately without the filing to a family support center and the person in charge
of a request, application or petition for erasure, of the family support center determines that the
for all purposes except for subsequent consider- child and the child’s family can no longer benefit
ation for nonjudicial handling under Section 27- from its services, such person shall inform the
probation officer, who may file a petition with
4A. the court.
(Adopted June 24, 2002, to take effect Jan. 1, 2003; (c) When a judicial authority, after a petition has
been filed, refers a child alleged to be from a
Sec. 27-9. Family with Service Needs family with service needs to community-based
services or other services or a family support cen-
Referrals ter pursuant to General Statutes § 46b-149 (g),
(a) Any complaint alleging that a child is from the referral order should provide that upon suc-
a family with service needs shall be referred to a cessful resolution, the matter will be dismissed
probation officer, who shall determine its suffi- and erased without the filing of a request, applica-
ciency as a family with service needs complaint. tion, or petition for erasure for all purposes except
If the probation officer determines the complaint subsequent consideration for nonjudicial handling
of a delinquency complaint under Section 27-4A.
is sufficient, the probation officer shall, after initial (Adopted June 30, 2008, to take effect Jan. 1, 2009.)
assessment promptly refer the child and the
320
CHAPTER 28
DELINQUENCY AND FAMILY WITH SERVICE NEEDS
NONJUDICIAL SUPERVISION
Sec.
28-1. Nonjudicial Supervision [Repealed] (Transferred to
Section 27-8A.)
Sec. 28-1. Nonjudicial Supervision

321
CHAPTER 29
RECEPTION AND PROCESSING OF DELINQUENCY AND CHILD FROM FAMILY WITH SERVICE
NEEDS PETITIONS AND DELINQUENCY INFORMATIONS
Sec. Sec.
29-1. Contents of Delinquency and Family with Service 29-1B. Processing of Family with Service Needs Petitions
Needs Petitions or Delinquency Informations 29-2. Service of Petitions
29-1A. Processing of Delinquency Petitions and Infor-
mations
Sec. 29-1. Contents of Delinquency and signature. The juvenile prosecutor may thereafter
Family with Service Needs Petitions or file an amendment or a substituted information.
Delinquency Informations (Adopted June 24, 2002, to take effect Jan. 1, 2003.)
(Amended June 24, 2002, to take effect Jan. 1, 2003; TECHNICAL CHANGE: In 2016, the reference to subsec-
amended June 13, 2014, to take effect Jan. 1, 2015.) tion (d) of General Statutes § 46b-133 was added.
(a) A delinquency petition or information shall Sec. 29-1B. Processing of Family with Ser-
set forth in plain, concise and definite language vice Needs Petitions
the offense which the petitioner contends the child (Amended June 13, 2014, to take effect Jan. 1, 2015.)
has committed. The petition or information shall The procedures promulgated in General Stat-
further state the citation of any provision of law utes § 46b-149 shall apply. Court process shall
which is the basis of the petition or information, be initiated by a petition filed by a probation officer
together with a statement that the offense and signed and verified by the juvenile prosecutor.
occurred on or about a particular date or period (Adopted June 24, 2002, to take effect Jan. 1, 2003;
of time at a particular location. amended June 13, 2014, to take effect Jan. 1, 2015.)
(b) A family with service needs petition shall set Sec. 29-2. Service of Petitions
forth in plain, concise and definite language the (a) Notice of summons, together with a copy
specific misconduct which the petitioner contends of the verified delinquency or family with service
the child or youth has committed. The petition needs petition, may be made to the child or youth
shall further state the citation of any provision of and parent, guardian or other person having con-
law which is the basis of the petition, together with trol of the child or youth by service in accordance
a statement that the misconduct occurred on or with any one of the methods set out in General
about a particular date or period of time at a partic- Statutes § 46b-128. Any notice sent by first class
ular location. mail shall include a provision informing the party
(P.B. 1978-1997, Sec. 1027.1 (1), (2).) (Amended June 24, that appearance in court as a result of the notice
may subject the appearing party to the jurisdiction
of the court. If the child or youth does not appear
Sec. 29-1A. Processing of Delinquency Peti- on the plea date, service shall be made in accord-
tions and Informations ance with General Statutes § 46b-128 or § 46b-
The procedures promulgated in General Stat- 149 (d), as appropriate.
utes § 46b-128 or § 46b-133 (a), (b), (c) and (d) (b) Petitions alleging delinquency or family with
shall apply. Any police summons and report which service needs misconduct shall be served or deliv-
ered not less than seven days before the date of
requires judicial processing should be returned to
the hearing which shall be held not more than
the clerk for preparation of a formal information
thirty days from the date of filing of the petition.
based on the police summons or report. The infor- (P.B. 1978-1997, Sec. 1027.1 (3), (4).) (Amended June 24,
mation, summons and report shall be submitted 2002, to take effect Jan. 1, 2003; amended June 13, 2014,
to the juvenile prosecutor for review and verified to take effect Jan. 1, 2015.)
322
CHAPTER 30
DETENTION
Sec. Sec.
30-1. Notice and Statement by Person Bringing Child to 30-5. Detention Time Limitations
Detention [Repealed] 30-6. Basis for Detention
30-1A. Admission to Detention 30-7. Place of Detention Hearings
30-8. Initial Order for Detention; Waiver of Hearing
30-2. Release [Repealed] 30-9. Information Allowed at Detention Hearing
30-2A. Family with Service Needs and Detention 30-10. Orders of a Judicial Authority after Initial Deten-
30-3. Advisement of Rights tion Hearing
30-4. Notice to Parents by Detention Personnel 30-11. Detention after Dispositional Hearing
Sec. 30-1. Notice and Statement by Person only with the written consent of the child and the
Bringing Child to Detention child’s attorney.
(P.B. 1978-1997, Sec. 1030.1 (3).) (Amended June 24,
[Repealed as of Jan. 1, 2003.] 2002, to take effect Jan. 1, 2003.)
Sec. 30-1A. Admission to Detention Sec. 30-4. Notice to Parents by Detention
Whenever an officer or other person intends Personnel
to admit a child into detention, the provisions of Upon admission, the detention superintendent
General Statutes § 46b-133 shall apply. or a designated representative shall make efforts
(Adopted June 24, 2002, to take effect Jan. 1, 2003.) to immediately notify the parent or guardian in the
manner calculated most speedily to effect such
Sec. 30-2. Release notice and, upon the parent’s or guardian’s
[Repealed as of Jan. 1, 2003.] appearance at the detention facility, shall advise
the parent or guardian of his or her rights and
Sec. 30-2A. Family with Service Needs and note the child’s rights, including the child’s right
Detention to a detention hearing.
(a) No child who has been adjudicated as a (P.B. 1978-1997, Sec. 1030.1 (4).) (Amended June 24,
child from a family with service needs in accord- to take effect Jan. 1, 2009.)
ance with General Statutes § 46b-149 may be
processed or held in a juvenile detention center Sec. 30-5. Detention Time Limitations
as a delinquent child, or be convicted as a delin- (a) No child shall be held in detention for more
quent, solely for the violation of a valid order which than twenty-four hours, excluding Saturdays,
regulates future conduct of the child that was Sundays, and holidays, unless (1) a delinquency
issued by the court following such an adjudication, petition or information alleging delinquent conduct
and no such child who is charged or found to be has been filed or an affidavit is filed by a police
in violation of any such order may be ordered officer, probation officer or prosecutor setting forth
detained in any juvenile detention center. the facts upon which they believe that a child in
(b) No nondelinquent juvenile runaway from detention is a delinquent or nondelinquent child
another state may be held in a juvenile detention whose return is sought by another jurisdiction in
center in accordance with the provisions of Gen- accordance with the Interstate Compact on Juve-
eral Statutes § 46b-151h. niles, and (2) an order for such continued deten-
(Adopted June 30, 2008, to take effect Jan. 1, 2009; tion has been signed by the judicial authority.
amended June 20, 2011, to take effect Jan. 1, 2012.) (b) A hearing to determine probable cause and
the need for further detention shall be held no later
Sec. 30-3. Advisement of Rights than the next business day following the arrest.
Upon admission to detention, the child shall be However, a judicial finding of probable cause must
advised of the right to remain silent and the right be made within forty-eight hours of arrest, includ-
to counsel and be further advised of the right to ing Saturdays, Sundays and holidays. If there is
a detention hearing in accordance with Sections no such finding of said probable cause within forty-
30-5 through 30-8, which hearing may be waived eight hours of the arrest, the child shall be
323
released from detention subject to an information Sec. 30-8. Initial Order for Detention; Waiver
and subsequent arrest by warrant or take into of Hearing
custody order. (Amended June 24, 2002, to take effect Jan. 1, 2003.)
(c) If a nondelinquent child is being held for Such initial order of detention may be signed
another jurisdiction in accordance with the Inter- without a hearing only if there is a written waiver
state Compact on Juveniles, that child shall be of the detention hearing by the child and the child’s
held not more than ninety days and shall be held attorney and there is a finding by the judicial
in a secure facility, as defined by rules promul- authority that the circumstances outlined in Sec-
gated in accordance with the Compact, other than tion 30-6 pertain to the child in question. An order
a locked, state operated detention facility. of detention entered without a hearing shall autho-
2002, to take effect Jan. 1, 2003; amended June 20, 2011, rize the detention of the child for a period not to
to take effect Jan. 1, 2012.) exceed ten days, including the date of admission,
and may further authorize the detention superin-
Sec. 30-6. Basis for Detention tendent or a designated representative to release
No child shall be held in detention unless it the child to the custody of a parent, guardian or
appears from the available facts that there is prob- some other suitable person, with or without condi-
able cause to believe that the child is responsible tions of release, if detention is no longer neces-
for the acts alleged, that there is no less restrictive sary, except that no child shall be released from
alternative available and that there is (1) a strong detention who is alleged to have committed a seri-
probability that the child will run away prior to ous juvenile offense except by order of a judicial
the court hearing or disposition, or (2) a strong authority of the superior court. Such an ex parte
probability that the child will commit or attempt to order of detention shall not be renewable without
commit other offenses injurious to the child or the a detention hearing before the judicial authority.
community prior to the court disposition, or (3) (P.B. 1978-1997, Sec. 1031.1 (4).) (Amended June 24,
probable cause to believe that the child’s contin- 2002, to take effect Jan. 1, 2003; amended June 30, 2008,
ued residence in the child’s home pending dispo- to take effect Jan. 1, 2009.)
sition poses a risk to the child or the community
because of the serious and dangerous nature of Sec. 30-9. Information Allowed at Deten-
the act or acts the child is alleged to have commit- tion Hearing
ted, (4) a need to hold the child for another jurisdic- At the detention hearing the judicial authority
tion, (5) a need to hold the child to assure the may consider any information which is material
child’s appearance before the court, in view of the and relevant to the issue of detention. Probable
child’s previous failure to respond to the court cause may be proven by sworn affidavit in lieu of
process, or (6) the child has violated one or more testimony. The probation department may ascer-
of the conditions of a suspended detention order. tain such factors as might pertain to any need for
The court in exercising its discretion to detain detention. Any written reports or social records
under General Statutes § 46b-133 (e) may con- made available to the judicial authority shall be
sider a suspended detention order with graduated made available to counsel of record and, in the
sanctions as an alternative to detention in accord- absence of counsel, to the parties unless the judi-
ance with graduated sanctions procedures estab- cial authority finds that the availability of such
lished by the judicial branch. materials would be psychologically destructive to
the relationship between members of the family.
to take effect Jan. 1, 2009; amended June 20, 2011, to take Either through direct access or by quotation or
effect Jan. 1, 2012.) summation by the judicial authority, the parties
TECHNICAL CHANGE: In 2016, what had been a reference should be made aware of such findings in the
to subsection (d) of General Statutes § 46b-133 now refers reports or social records as directly enter into the
to subsection (e) of that section. judicial authority’s decision.
Sec. 30-7. Place of Detention Hearings (P.B. 1978-1997, Sec. 1032.1 (1).) (Amended June 24,
2002, to take effect Jan. 1, 2003.)
The initial detention hearing may be conducted
in the superior court for juvenile matters at the Sec. 30-10. Orders of a Judicial Authority
detention facility where the child is held and, thereafter Initial Detention Hearing
after, detention hearings shall be held at the supe- (Amended June 24, 2002, to take effect Jan. 1, 2003.)
rior court for juvenile matters of appropriate (a) At the conclusion of the initial detention hear-
venue.
(P.B. 1978-1997, Sec. 1031.1 (3).) (Amended June 24, ing, the judicial authority shall issue an order for
2002, to take effect Jan. 1, 2003; amended June 30, 2008, detention on finding probable cause to believe
to take effect Jan. 1, 2009.) that the child has committed a delinquent act and
324
that at least one of the factors outlined in Section violated reasonable conditions imposed on
30-6 applies to the child. release, the judicial authority may impose different
(b) If the child is placed in detention, such order or additional conditions of release or may remand
for detention shall be for a period not to exceed the child to detention.
fifteen days, including the date of admission, or (d) In conjunction with any order of release from
until the dispositional hearing is held, whichever detention the judicial authority may, in accordance
is the shorter period, unless, following a further with General Statutes § 46b-133 (g), order the
detention review hearing, the order is renewed. child to participate in a program of periodic drug
Such detention review hearing may not be waived. testing and treatment as a condition of such
(c) If the child is not placed in detention but release. The results of any such drug test shall
be admissible only for the purposes of enforcing
released on a suspended order of detention on
the conditions of release from detention.
conditions, such suspended order of detention (P.B. 1978-1997, Sec. 1032.1 (2), (3).) (Amended June 24,
shall continue to the dispositional hearing or until 2002, to take effect Jan. 1, 2003; amended June 30, 2008,
further order of the judicial authority. Said sus- to take effect Jan. 1, 2009.)
pended order of detention may be reviewed by TECHNICAL CHANGE: In 2016, in subsection (d), what
had been a reference to subsection (f) of General Statutes
the judicial authority every fifteen days. Upon a § 46b-133 now refers to subsection (g) of that section.
finding of probable cause that the child has vio-
lated any condition, a judicial authority may issue Sec. 30-11. Detention after Dispositional
a take into custody order or order such child to Hearing
appear in court for a hearing on revocation of the While awaiting implementation of the judicial
suspended order of detention. Such an order to authority’s order in a delinquency case, a child
appear shall be served upon the child in accord- may be held in detention subsequent to the dispo-
sitional hearing, provided a hearing to review the
ance with General Statutes § 46b-128 (b), or, if
circumstances and conditions of such detention
the child is represented, by serving the order to order shall be conducted every fifteen days and
appear upon the child’s counsel, who shall notify such hearing may not be waived.
the child of the order and the hearing date. After (P.B. 1978-1997, Sec. 1032.1 (4).) (Amended June 30,
a hearing and upon a finding that the child has 2008, to take effect Jan. 1, 2009.)
325
Sec. 30a-1 SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERS
CHAPTER 30a
DELINQUENCY AND FAMILY WITH SERVICE NEEDS HEARINGS
Sec. Sec.
30a-1. Initial Plea Hearing 30a-6. —Statement on Behalf of Victim
30a-1A. Family with Service Needs Preadjudication Con- 30a-6A. —Persons in Attendance at Hearings [Repealed]
tinuance (Transferred to Section 26-2.)
30a-2. Pretrial Conference 30a-7. Recording of Hearings
30a-3. —Standards of Proof; Burden of Going Forward 30a-8. Records
30a-4. Plea Canvass 30a-9. Appeals in Delinquency and Family with Service
30a-5. Dispositional Hearing Needs Proceedings
Sec. 30a-1. Initial Plea Hearing or denies the allegations of the petition or infor-
(a) The judicial authority shall begin the hearing mation.
by determining whether all necessary parties are (d) If the judicial authority determines that a
present and that the rules governing service or child or youth, or the parent, parents or guardian
notice for nonappearing parties have been com- of a child or youth are unable to afford counsel
plied with, and shall note these facts for the record. for the child or youth, the judicial authority shall,
The judicial authority shall then inform the parties in a delinquency proceeding, appoint the office of
of the substance of the petition or information. the public defender to represent the child or youth,
(b) In age appropriate language, the judicial or in a family with service needs proceeding, notify
authority prior to any plea shall advise the child the chief public defender, who shall assign an
or youth and parent or guardian of the following attorney to represent the child or youth.
rights: (e) If the judicial authority, even in the absence
of a request for appointment of counsel, deter-
(1) That the child or youth is not obligated to
mines that the interests of justice require the provi-
say anything and that anything that is said may
sion of an attorney to represent the child, youth
be used against the child or youth.
or the child’s or youth’s parent or parents, guard-
(2) That the child or youth is entitled to the ian or other person having control of the child or
services of an attorney and that if the child or youth, in any delinquency or family with service
youth and the parent or parents, or guardian are needs proceeding, the judicial authority may
unable to afford an attorney for the child or youth, appoint an attorney to represent any such party
an application for a public defender or an attorney and shall notify the chief public defender who shall
appointed by the chief public defender should be assign an attorney to represent any such party.
completed and filed with the office of the public Where, under the provisions of this section, the
defender or the clerk of the court to request an court so appoints counsel for any such party who
attorney without cost. is found able to pay, in whole or in part, the cost
(3) That the child or youth will not be questioned thereof, the judicial authority shall assess as costs
unless he or she consents, that the child or youth on the appropriate form against such parent or
can consult with an attorney before being ques- parents, guardian or other person having control
tioned and may have an attorney present during of the child or youth, including any agency vested
questioning, and that the child or youth can stop with the legal custody of the child or youth, the
answering questions at any time. expense so incurred and paid by the Public
(4) That the child or youth has the right to a Defender Services Commission in providing such
trial and the rights of confrontation and cross- counsel, to the extent of their financial ability to
examination of witnesses. do so in accordance with the rates established
(c) Notwithstanding any prior statement by the Public Defender Services Commission for
acknowledging responsibility for the acts alleged, compensation of counsel.
the judicial authority shall inquire of the child or (f) If the parent, parents or guardian of the child
youth whether the child or youth presently admits or youth fails to comply with a court order entered
326
SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERS Sec. 30a-5
in the best interests of the child or youth and the judicial authority may accept or reject any
is facing potential imprisonment for contempt of agreement, or may defer the decision on accep-
court, such parent or guardian, if unable to afford tance or rejection of the agreement until it has
counsel, shall be entitled to have counsel provided had an opportunity to review the predisposi-
for such parent or guardian of the child or youth tional study.
in accordance with subsection (e) of this section. (Adopted June 24, 2002, to take effect Jan. 1, 2003;
(g) For purposes of determining eligibility for amended June 13, 2014, to take effect Jan. 1, 2015.)
appointment of counsel, the judicial authority shall Sec. 30a-3. —Standards of Proof; Burden of
cause the parent or guardian of a child or youth Going Forward
to complete a written statement under oath or
affirmation setting forth the child’s or youth’s, or
parent’s, parents’ or guardian’s or other person’s (a) The standard of proof for a delinquency con-
liabilities and assets, income and sources thereof, viction is evidence beyond a reasonable doubt
and such other information as the office of the and for a family with service needs adjudication
public defender or the Public Defender Services is clear and convincing evidence.
Commission shall designate and require on forms (b) The burden of going forward with evidence
adopted by said office of the public defender or shall rest with the juvenile prosecutor.
Public Defender Services Commission. amended June 30, 2003, to take effect Jan. 1, 2004; amended
Sec. 30a-4. Plea Canvass
Sec. 30a-1A. Family with Service Needs Pre- To assure that any plea or admission is volun-
adjudication Continuance tary and knowingly made, the judicial authority
If a family with service needs petition is filed shall address the child or youth in age appropriate
and it appears that the interest of the child or the language to determine that the child or youth sub-
family may be best served, prior to adjudication, stantially understands:
by referral to community-based or other services, (1) The nature of the charges;
the judicial authority may permit the matter to be (2) The factual basis of the charges;
continued for a reasonable period of time not to (3) The possible penalty, including any exten-
exceed six months, which time period may be sions or modifications;
extended by an additional three months for cause. (4) That the plea or admission must be voluntary
If it appears at the conclusion of the continuance and not the result of force, threats, or promises,
that the matter has been satisfactorily resolved, apart from the plea agreement;
the judicial authority may dismiss the petition. (5) That the child or youth has (i) the right to
(Adopted June 22, 2009, to take effect Jan. 1, 2010.) deny responsibility or plead not guilty or to persist
if that denial or plea has already been made, (ii)
Sec. 30a-2. Pretrial Conference the right to be tried by a judicial authority and (iii)
(a) When counsel is requested, or responsibility at trial, the right to the assistance of counsel, the
is denied, the case may be continued for a pretrial right to confront and cross-examine witnesses
conference. At the pretrial, the parties may agree against him or her, and the right not to be com-
that a substitute information will be filed, or that pelled to incriminate himself or herself.
certain charges will be nolled or dismissed. If the (Adopted June 24, 2002, to take effect Jan. 1, 2003;
child or youth and parent or guardian subse- amended June 22, 2009, to take effect Jan. 1, 2010.)
quently execute a written statement of responsibil-
ity at the pretrial conference, or the attorney for Sec. 30a-5. Dispositional Hearing
the child or youth conveys to the prosecutor an (a) The dispositional hearing may follow imme-
agreement on the adjudicatory grounds, a predis- diately upon a conviction or an adjudication.
positional study shall be compiled by the probation (b) The judicial authority may admit into evi-
department and the case shall be assigned for a dence any testimony that is considered relevant
plea and dispositional hearing. to the issue of the disposition, in any form the
(b) If a plea agreement has been reached by judicial authority finds of probative value, but no
the parties which contemplates the entry of an disposition shall be made by the judicial authority
admission in a family with service needs case, or until the predispositional study, unless waived,
a plea of guilty or nolo contendere in a delinquency has been submitted. A written predispositional
case, and the recommendation of a particular dis- study may be waived by the judicial authority for
position, the agreement shall be disclosed in open good cause shown upon the request of the parties,
court at the time the plea is offered. Thereupon provided that the basis for the waiver and the
327
probation officer’s oral summary of any investiga- responsibility, confirmed a plea agreement or
tion are both placed on the record. The predisposi- been convicted as a delinquent.
tional study shall be presented to the judicial (Adopted June 24, 2002, to take effect Jan. 1, 2003;
authority and copies thereof shall be provided to
all counsel in sufficient time for them to prepare Sec. 30a-6A. —Persons in Attendance at
adequately for the dispositional hearing, and, in Hearings
any event, no less than forty-eight hours prior to [Transferred as of Jan. 1, 2013, to Section 26-2.]
the date of the disposition. Sec. 30a-7. Recording of Hearings
(c) The prosecutor and the child or youth and A verbatim stenographic or electronic recording
parent or guardian shall have the right to produce shall be kept of any hearing, the transcript of which
witnesses on behalf of any dispositional plan they shall form part of the record of the case.
may wish to offer. (Adopted June 24, 2002, to take effect Jan. 1, 2003.)
(d) Prior to any disposition, the child or youth Sec. 30a-8. Records
shall be allowed a reasonable opportunity to make (a) Except as otherwise provided by statute, all
a personal statement to the judicial authority in records maintained in juvenile matters brought
mitigation of any disposition. before the judicial authority, either current or
(e) The judicial authority shall determine an closed, including transcripts of hearings, shall be
appropriate disposition upon conviction of a child kept confidential.
as delinquent in accordance with General Stat- (b) Except as otherwise provided by statute, no
utes §§ 46b-140 and 46b-141. material contained in the court records, including
(f) The judicial authority shall determine an the predispositional study, medical or clinical
appropriate disposition upon adjudication of a reports, school reports, police reports, or the
child from a family with service needs in accord- reports of social agencies, may be copied or other-
ance with General Statutes § 46b-149 (h). wise reproduced in written form in whole or in part
(g) The judicial authority shall determine the by the parties without the express consent of the
appropriate disposition upon a finding that a child judicial authority.
(c) Each counsel and self-represented party in
adjudicated as a child from a family with service a delinquency matter shall have access to and be
needs has violated a valid court order. entitled to copies, at his or her expense, of the
entire court record, including transcripts of all pro-
June 22, 2009, to take effect Jan. 1, 2010; amended June 13, ceedings, without express consent of the judi-
2014, to take effect Jan. 1, 2015.) cial authority.
Sec. 30a-6. —Statement on Behalf of Victim June 14, 2013, to take effect Jan. 1, 2014.)
Whenever a victim of a delinquent act, the par- Sec. 30a-9. Appeals in Delinquency and
ent or guardian of such victim or such victim’s Family with Service Needs Proceedings
counsel exercises the right to appear before the The rules governing other appeals shall, so far
judicial authority for the purpose of making a state- as applicable, be the rules for all proceedings in
ment to the judicial authority concerning the dispo- delinquency and family with service needs
sition of the case, no statement shall be received appeals.
unless the delinquent has signed a statement of (Adopted June 15, 2012, to take effect Jan. 1, 2013.)
328
CHAPTER 31
DELINQUENCY AND FAMILY WITH SERVICE NEEDS HEARING
Sec. Sec.
31-1. Adjudicatory Hearing; Actions by Judicial Author- 31-7. —Availability of Predispositional Study to Counsel
ity [Repealed] and Parties [Repealed]
31-2. —Continuance for Pretrial Conference [Repealed] 31-8. —Dispositional Plan Offered by Child or Parent
31-3. —Burden of Going Forward [Repealed] [Repealed]
31-9. —Statement on Behalf of Victim [Repealed]
31-4. —Physical Presence of Child [Repealed]
31-10. Modification of Probation and Supervision
31-5. Dispositional Hearing; Factors to Be Considered by [Repealed]
Judicial Authority [Repealed] 31-11. Take into Custody [Repealed]
31-6. —When Held; Evidence and Predispositional 31-12. Physical and Mental Examinations [Repealed]
Study [Repealed] 31-13. Mentally Ill Children [Repealed]
Sec. 31-1. Adjudicatory Hearing; Actions by Sec. 31-7. —Availability of Predispositional

Judicial Authority Study to Counsel and Parties
[Repealed as of Jan. 1, 2003.] [Repealed as of Jan. 1, 2003.]
Sec. 31-2. —Continuance for Pretrial Con- Sec. 31-8. —Dispositional Plan Offered by
Child or Parent
ference
Sec. 31-9. —Statement on Behalf of Victim
Sec. 31-3. —Burden of Going Forward [Repealed as of Jan. 1, 2003.]
[Repealed as of Jan. 1, 2003.] Sec. 31-10. Modification of Probation and
Sec. 31-4. —Physical Presence of Child Supervision
Sec. 31-11. Take into Custody
Sec. 31-5. Dispositional Hearing; Factors to [Repealed as of Jan. 1, 2003.]
Be Considered by Judicial Authority
Sec. 31-12. Physical and Mental Exami-
[Repealed as of Jan. 1, 2003.] nations
Sec. 31-6. —When Held; Evidence and Pre- [Repealed as of Jan. 1, 2003.]
dispositional Study Sec. 31-13. Mentally Ill Children
329
CHAPTER 31a
DELINQUENCY AND FAMILY WITH SERVICE NEEDS MOTIONS AND APPLICATIONS
Sec. Sec.
31a-1. Motions and Amendments 31a-13A. Temporary Custody Order—Family with Service
31a-1A. Continuances and Advancements Needs Petition
31a-14. Physical and Mental Examinations
31a-2. Motion for Bill of Particulars 31a-15. Mentally Ill Children
31a-3. Motion to Dismiss 31a-16. Discovery
31a-4. Motion to Suppress 31a-17. Disclosure of Defenses in Delinquency Pro-
31a-5. Motion for Judgment of Acquittal ceedings
31a-18. Modification of Probation and Supervision
31a-6. Motion for Transfer of Venue 31a-19. Motion for Extension of Delinquency Commit-
31a-7. Motion in Limine ment; Motion for Review of Permanency Plan
31a-8. Motion for Sequestration 31a-19A. Motion for Extension or Revocation of Family with
31a-9. Severance of Offenses Service Needs Commitment; Motion for Review
31a-10. Trial Together on Petitions or Informations of Permanency Plan
31a-20. Petition for Violation of Family with Service Needs
31a-11. Motion for New Trial
Post-Adjudicatory Orders
31a-12. Motion to Transfer to Adult Criminal Docket 31a-21. Petition for Child from a Family with Service Needs
31a-13. Take into Custody Order at Imminent Risk
Sec. 31a-1. Motions and Amendments prior to any final adjudication. When an amend-
(a) A motion other than one made during a ment has been so ordered, a continuance shall
hearing shall be in writing and have annexed to be granted whenever the judicial authority finds
it a proper order and, where appropriate, shall be that the new allegations in the petition or charges
in the information justify the need for additional
in the form called for by Section 4-1. A motion
time to permit the parties to respond adequately
shall state in paragraphs successively numbered to the additional or changed facts and circum-
the specific grounds upon which it is made. A stances.
copy of the written motion shall be served on the (Adopted June 24, 2002, to take effect Jan. 1, 2003;
opposing party or counsel pursuant to Sections amended June 30, 2008, to take effect Jan. 1, 2009.)
10-12 through 10-17.
Sec. 31a-1A. Continuances and Advance-
(b) Motions shall be filed not later than ten days ments
after the setting of the trial date except with the
(a) Motions for continuances or changes in
permission of the judicial authority. All motions
scheduled court dates must be submitted in writ-
shall be calendared to be heard by the judicial ing in compliance with Section 31a-1 (a) and filed
authority not later than fifteen days after filing pro- no later than seven days prior to the scheduled
vided reasonable notice is given to parties in inter- date. Such motions must state the precise rea-
est, or notices are waived. Any motion filed in a sons for the request, the name of the judicial
case on trial or assigned for trial may be disposed authority scheduled to hear the case, and whether
of by the judicial authority at its discretion or or not all other parties consent to the request. After
ordered to be scheduled for hearing. consulting with the judicial authority, the clerk will
(c) If the moving party determines and reports handle bona fide emergency requests submitted
that all counsel and self-represented parties agree less than seven days prior to scheduled court
to the granting of a motion or the consideration dates.
of a motion without the need for oral argument or (b) Trials that are not completed within the allot-
testimony, or the motion states on its face that ted prescheduled time will be subject to continua-
there is such an agreement, the motion may be tion at the next available court date.
granted without a hearing.
(d) A petition or information may be amended Sec. 31a-2. Motion for Bill of Particulars
at any time by the judicial authority on its own The child or youth may file a motion, or the
motion or in response to the motions of any party judicial authority may order at any time, that the
330
prosecuting authority file a bill of particulars. The Sec. 31a-7. Motion in Limine
judicial authority shall order that a bill of particulars The judicial authority to whom a matter has
disclose information sufficient to enable the child been referred for trial may in its discretion enter-
or youth to prepare the defense, including but not tain a motion in limine made by the child or youth
being limited to reasonable notice of the offense or juvenile prosecutor regarding the admission or
charged and the date, time and place of its com- exclusion of anticipated evidence. Such motion
mission. When any bill of particulars is ordered, an shall be in writing and shall describe the antici-
amended or substitute information, if necessary, pated evidence and the prejudice which may
shall be filed incorporating its provisions. result therefrom. The judicial authority may grant
(Adopted June 24, 2002, to take effect Jan. 1, 2003.) the relief sought in the motion or such other relief
Sec. 31a-3. Motion to Dismiss as it may deem appropriate, may deny the motion
with or without prejudice to its later renewal, or
The child or youth may file a motion to dismiss may reserve decision thereon until a later time in
if the motion is capable of determination without the proceeding.
a trial of the general issue on grounds (1) to (9) of (Adopted June 24, 2002, to take effect Jan. 1, 2003.)
Section 41-8 of the rules of procedure in criminal
matters, subject to the conditions of Section 41- Sec. 31a-8. Motion for Sequestration
10 and 41-11. A child or youth or juvenile prosecutor may file
(Adopted June 24, 2002, to take effect Jan. 1, 2003.) a motion for sequestration. The judicial authority
Sec. 31a-4. Motion to Suppress upon such motion shall cause any witness to be
sequestered during the hearing on any issue or
The child or youth may file a motion to suppress motion or during any part of the trial in which such
potential testimony or other evidence if required witness is not testifying.
under the constitution or laws of the United States (Adopted June 24, 2002, to take effect Jan. 1, 2003.)
or the state of Connecticut in accordance with the
provisions of Sections 41-13 through 41-17 of the Sec. 31a-9. Severance of Offenses
rules of procedure in criminal matters. If it appears that a child or youth is prejudiced
(Adopted June 24, 2002, to take effect Jan. 1, 2003.) by a joinder of offenses, the judicial authority may,
upon its own motion or the motion of the child or
Sec. 31a-5. Motion for Judgment of youth, order separate trials of the counts or pro-
Acquittal vide whatever other relief justice may require.
(a) After the close of the juvenile prosecutor’s (Adopted June 24, 2002, to take effect Jan. 1, 2003.)
case in chief, upon motion of the child or youth
or upon its own motion, the judicial authority shall Sec. 31a-10. Trial Together on Petitions or
order the entry of a judgment of acquittal as to Informations
any principal offense charged and as to any lesser The judicial authority may, upon its own motion
included offense for which the evidence would not or the motion of the child or youth or juvenile
reasonably permit an adjudication or finding of prosecutor, order that two or more petitions or
guilty. Such judgment of acquittal shall not apply informations against the same child or youth be
to any lesser included offense for which the evi- tried together. Petitions or informations against
dence would reasonably permit a finding of guilty. different children or youths may not be tried
(b) The judicial authority shall either grant or together unless all parties agree to waive the con-
deny the motion before calling upon the child or fidentiality rules.
youth to present the respondent’s case in chief. (Adopted June 24, 2002, to take effect Jan. 1, 2003.)
If the motion is not granted, the respondent may Sec. 31a-11. Motion for New Trial
offer evidence without having reserved the right
to do so. (a) Upon motion of the child or youth, the judicial
(Adopted June 24, 2002, to take effect Jan. 1, 2003; authority may grant a new trial if it is required in
amended June 30, 2008, to take effect Jan. 1, 2009.) the interest of justice in accordance with Section
42-53 of the rules of criminal procedure.
Sec. 31a-6. Motion for Transfer of Venue (b) Unless otherwise permitted by the judicial
The child or youth or juvenile prosecutor may authority in the interests of justice, a motion for a
file a motion, or the judicial authority may order new trial shall be made within five days after an
at any time, that a juvenile matter be transferred adjudication or finding of guilty or within any fur-
to a different venue in accordance with Sections ther time the judicial authority allows during the
41-23 and 41-25 of the rules of procedure in crimi- five-day period.
nal matters. (c) A request for a new trial on the ground of
(Adopted June 24, 2002, to take effect Jan. 1, 2003.) newly discovered evidence shall require a petition
331
for a new trial and shall be brought in accordance the child’s temporary custody continue to be
with General Statutes § 52-270. The judicial vested in some suitable person or agency.
authority may grant the petition even though an (Adopted June 30, 2008, to take effect Jan. 1, 2009.)
appeal is pending.
Sec. 31a-14. Physical and Mental Exami-
nations
Sec. 31a-12. Motion to Transfer to Adult (a) No physical and/or mental examination or
Criminal Docket examinations by any physician, psychologist, psy-
The juvenile prosecutor may file a motion to chiatrist or social worker shall be ordered by the
transfer prosecution to the adult criminal docket judicial authority of any child denying delinquent
in accordance with General Statutes § 46b-127. behavior or status as a child or youth from a family
with service needs prior to the adjudication,
except (1) with the agreement of the child’s or
Sec. 31a-13. Take into Custody Order youth’s parent or guardian and attorney, (2) when
the child or youth has executed a written state-
(a) Upon application in a delinquency proceed-
ment of responsibility, (3) when the judicial author-
ing, a take into custody order may be issued by ity finds that there is a question of the child’s or
the judicial authority: youth’s competence to understand the nature of
(1) Upon a finding of probable cause to believe the proceedings or to participate in the defense,
that the child is responsible for: (i) a delinquent or a question of the child or youth having been
act, including violation of court orders of probation mentally capable of unlawful intent at the time of
or the failure of the child charged with a delinquent the commission of the alleged act, or (4) where
act, duly notified, to attend a pretrial, probation or the child or youth has been detained and as an
evaluation appointment, or (ii) for failure to comply incident of detention is administered a physical
with any duly warned condition of a suspended examination to establish the existence of any con-
order of detention. The judicial authority also must tagious or infectious condition.
find at the time it issues a take into custody order (b) Any information concerning a child or youth
that a ground for detention pursuant to Section that is obtained during any mental health screen-
30-6 exists before issuing the order. ing or assessment of such child or youth shall be
(2) For failure to appear in court in response to used solely for planning and treatment purposes
a delinquency petition or summons served in hand and shall otherwise be confidential and retained
or to a direct notice previously provided in court. in the files of the entity performing such screening
(b) Any application for a take into custody order or assessment. Such information may be further
must be supported by a sworn statement alleging disclosed only for the purposes of any court-
facts to substantiate probable cause, and where ordered evaluation or treatment of the child or
applicable, a petition or information charging a youth, or provision of services to the child or youth,
delinquent act. or pursuant to General Statutes §§ 17a-101 to
(c) Any child detained under a take into custody 17a-101e, inclusive, 17b-450, 17b-451 or 51-36a.
order is subject to Sections 30-1A through 30-11. Such information shall not be subject to subpoena
(Adopted June 24, 2002, to take effect Jan. 1, 2003; or other court process for use in any other pro-
amended June 30, 2008, to take effect Jan. 1, 2009.) ceeding or for any other purpose.
(c) Upon a showing that the mental health of a
Sec. 31a-13A. Temporary Custody Order— child or youth is at issue, either prior to adjudica-
Family with Service Needs Petition tion for the reasons set forth in subsection (a)
If it appears from the allegations of a petition or herein or subsequent thereto as a determinate
other sworn affirmation that there is: (1) A strong of disposition, the judicial authority may order a
probability that the child may do something that child’s or youth’s placement for a period not to
is injurious to himself or herself prior to court dis- exceed thirty days in a hospital or other institution
position; (2) a strong probability that the child will empowered by law to treat mentally ill children
run away prior to the hearing; or (3) a need to for study and a report on the child’s or youth’s
hold the child for another jurisdiction, a judicial mental condition.
authority may vest temporary custody of such amended June 30, 2008, to take effect Jan. 1, 2009; amended
child in some suitable person or agency. A hearing June 13, 2014, to take effect Jan. 1, 2015.)
on temporary custody shall be held not later than
ten days after the date on which a judicial authority Sec. 31a-15. Mentally Ill Children
signs an order of temporary custody. Following No child shall be committed by a judicial author-
such hearing, the judicial authority may order that ity as mentally ill pursuant to General Statutes
332
§ 46b-140 until such a study has been made and from the party or person from whom information
a sworn report filed with the judicial authority or is being sought.
in lieu thereof without the sworn certificate of at (d) The provisions of Sections 40-2 through 40-
least two impartial physicians, one of whom shall 6, inclusive, 40-7 (b), 40-8 through 40-16, inclu-
be a physician specializing in psychiatry, selected sive, and 40-26 through 40-58, inclusive, of the
by the judicial authority who have personally rules of procedure in criminal matters shall be
examined the child within ten days of the hearing, applied by the judicial authority in determining
stating that in their opinion the child’s mental con- whether to grant, limit or set conditions on the
dition necessitates placement in a designated requested discovery, issue any protective orders,
hospital for mental illness. If, after such hearing, or order appropriate sanctions for any clear mis-
the judicial authority finds by clear and convincing use of discovery or arbitrary delay or refusal to
evidence that the child suffers from a mental disor- comply with a discovery request.
der, as defined in General Statutes § 17a-75, is amended June 30, 2008, to take effect Jan. 1, 2009; amended
in need of hospitalization for treatment and such June 13, 2014, to take effect Jan. 1, 2015.)
treatment is available as the least restrictive alter-
native, the judicial authority shall make an order Sec. 31a-17. Disclosure of Defenses in
for commitment for a definite period not to exceed Delinquency Proceedings
six months to a designated hospital for mental The child in a delinquency case shall disclose
illness of children. No child or youth shall be com- defenses to the charged offenses in accordance
mitted as mentally deficient pursuant to General with Sections 40-17 through 40-25 of the rules
Statutes § 46b-140 except in accordance with of criminal procedure. Such disclosures shall be
procedures of General Statutes § 17a-274 (b), (g), made not later than ten days after the matter is
scheduled for trial except with the permission of
and (h).
the judicial authority.
Sec. 31a-16. Discovery
(a) The child or youth or the juvenile prosecutor Sec. 31a-18. Modification of Probation and
shall be permitted pretrial discovery in accordance Supervision
with subsections (b), (c) and (d) of this section by At any time during the period of probation,
interrogatory, production, inspection or deposition supervision or suspended commitment, after
of a person in delinquency or family with service hearing and for good cause shown, the judicial
authority may modify or enlarge the conditions,
needs matters if the information or material sought whether originally imposed by the judicial author-
is not otherwise obtainable and upon a finding ity under this section or otherwise. The judicial
that proceedings will not be unduly delayed. authority may extend the period of probation as
(b) Motions or requests for discovery shall be deemed appropriate by the judicial authority. The
filed with the court in accordance with Section judicial authority shall cause a copy of any such
31a-1. The clerk shall calendar any such motion order to be delivered to the child or youth and to
or request for a hearing. Objections to such such child’s or youth’s parent, guardian or other
motions or requests may be filed with the court person having control over such child or youth,
and served in accordance with Sections 10-12 and the child’s or youth’s probation officer.
through 10-17 not later than ten days of the filing (b) The child, attorney, juvenile prosecutor or
of the motion or request unless the judicial author- parent may, in the event of disagreement, in writ-
ity, for good cause shown, allows a later filing. ing request the judicial authority not later than five
Upon its own motion or upon the request or motion days of the receipt thereof for a hearing on the
propriety of the modification. In the absence of any
of a party, the judicial authority may, after a hear- request, the modification of the terms of probation
ing, order discovery. The judicial authority shall fix may be effected by the probation officer with the
the times for filing and for responding to discovery approval of the supervisor and the judicial
motions and requests and, when appropriate, authority.
shall fix the hour, place, manner, terms and condi- (Adopted June 24, 2002, to take effect Jan. 1, 2003;
tions of responses to the motions and requests, amended June 30, 2008, to take effect Jan. 1, 2009.)
provided that the party seeking discovery shall be Sec. 31a-19. Motion for Extension of Delin-
allowed a reasonable opportunity to obtain infor- quency Commitment; Motion for Review of
mation needed for the preparation of the case. Permanency Plan
(c) Motions or requests for discovery should not (a) The commissioner of the department of chil-
be filed unless the moving party has attempted dren and families may file a motion for an exten-
unsuccessfully to obtain an agreement to disclose sion of a delinquency commitment beyond the
333
eighteen month or four year period on the grounds (b) The commissioner of the department of chil-
that such extension is for the best interests of the dren and families may at any time file a motion
child or the community. The clerk shall give notice to revoke a commitment of a child who has been
to the child, the child’s parent or guardian, counsel adjudicated as a child from a family with service
of record for the parent or guardian and child at needs, or the parent or guardian of such child
the time of disposition and, if applicable, the may at any time but not more often than once
guardian ad litem not later than fourteen days every six months file a motion with the judicial
prior to the hearing upon such motion. The judicial authority which committed the child to revoke such
authority may, after hearing and upon finding such commitment. The clerk shall notify the child, the
extension is in the best interests of the child or child’s parent or guardian, all counsel of record
the community, continue the commitment for an
additional period of not more than eighteen at the time of disposition, if applicable, the guard-
months. ian ad litem, and the commissioner of the depart-
(b) Not later than twelve months after a child is ment of children and families of any motion filed
committed as a delinquent to the commissioner to revoke a commitment under this subsection,
of the department of children and families, the and of the time when a hearing on such motion
judicial authority shall hold a permanency hearing. will be held.
Such a hearing will be held every twelve months (c) Not later than twelve months after the com-
thereafter if the child remains committed. Such mitment of a child who has been adjudicated as
hearing may include the submission of a motion a child from a family with service needs to the
to the judicial authority by the commissioner to commissioner of the department of children and
either modify or extend the commitment. families, the judicial authority shall hold a perma-
(c) At least sixty days prior to each permanency nency hearing. Such a hearing will be held every
hearing required under subsection (b) of this sec- twelve months thereafter if the child remains com-
tion, the commissioner of the department of chil- mitted. Such a hearing also may include the sub-
dren and families shall file a permanency plan mission of a motion to the judicial authority by the
with the judicial authority. At each permanency commissioner of the department of children and
hearing, the judicial authority shall review and families, the child’s parent or guardian to either
approve a permanency plan that is in the best
interests of the child and takes into consideration extend or revoke the commitment.
the child’s need for permanency. The judicial (d) At least sixty days prior to each permanency
authority shall also determine whether the com- hearing required under subsection (c) of this sec-
missioner of the department of children and fami- tion, the commissioner of the department of chil-
lies has made reasonable efforts to achieve the dren and families shall file a permanency plan
permanency plan. with the judicial authority. At each permanency
(Adopted June 24, 2002, to take effect, Jan. 1, 2003; hearing, the judicial authority shall review and
amended June 30, 2008, to take effect Jan. 1, 2009; amended approve a permanency plan that is in the best
interests of the child and takes into consideration
Sec. 31a-19A. Motion for Extension or Revo- the child’s need for permanency. That judicial
cation of Family with Service Needs authority shall also determine whether the com-
Commitment; Motion for Review of Perma- missioner of the department of children and fami-
nency Plan lies has made reasonable efforts to achieve the
(a) The commissioner of the department of chil- permanency plan.
dren and families may file a motion for an exten- (Adopted June 30, 2008, to take effect Jan. 1, 2009.)
sion of a commitment of a child who has been Sec. 31a-20. Petition for Violation of Family
adjudicated as a child from a family with service with Service Needs Post-Adjudicatory
needs on the grounds that an extension would be Orders
in the best interests of the child. The clerk shall
give notice to the child, the child’s parent or guard- (a) When a child who has been adjudicated as
ian, all counsel of record at the time of disposition a child from a family with service needs violates
and, if applicable, the guardian ad litem not later any valid order which regulates future conduct of
than fourteen days prior to the hearing upon such the child made by the judicial authority following
motion. The judicial authority may, after hearing such an adjudication, a probation officer, on
and upon finding that such extension is in the best receipt of a complaint setting forth the facts
interests of the child and that there is no suitable alleged to be a violation, or on the probation offi-
less restrictive alternative, continue the commit- cer’s own motion on the basis of his or her knowl-
ment for an additional indefinite period of not more edge of such a violation, may file a petition with
than eighteen months. the court alleging that the child has violated a valid
334
court order and setting forth the facts claimed to made in accordance with subsection (d) of Gen-
constitute such a violation. eral Statutes § 46b-149.
(b) The judicial authority will ensure that the (b) If it appears from the specific allegations of
child is provided an evidentiary hearing on the the petition and other verified affirmations of fact
allegations contained in the petition and that coun- accompanying the petition, or made subsequent
sel is assigned for the child or youth pursuant to thereto, that there is probable cause to believe
Section 30a-1 of these rules or that counsel of that (1) the child is in imminent risk of physical
record is notified of the evidentiary hearing. harm from the child’s surroundings, (2) as a result
(c) Upon a finding by the judicial authority by of such condition, the child’s safety is endangered
clear and convincing evidence that the child has and immediate removal from such surroundings
violated a valid court order, the judicial authority is necessary to ensure the child’s safety, and (3)
may (1) order the child to remain in such child’s there is no less restrictive alternative available, the
home or in the custody of a relative or any other judicial authority shall enter an order that directs or
authorizes a peace officer or other appropriate
suitable person, subject to the supervision of a
person to place the child in a staff-secure facility
probation officer, (2) upon a finding that there is under the auspices of the court support services
no less restrictive alternative appropriate to the division of the judicial branch for a period not to
needs of the child and the community, enter an exceed forty-five days, subject to subsection (e)
order that directs or authorizes a peace officer or of this section, with review by the judicial authority
other appropriate person to place the child in a every fifteen days to consider whether continued
staff-secure facility under the auspices of the court placement is appropriate.
support services division of the judicial branch for (c) The judicial authority will ensure that the
a period not to exceed forty-five days, with review child is provided an evidentiary hearing on the
by the judicial authority every fifteen days to con- allegations contained in the petition and that coun-
sider whether continued placement is appropriate, sel is assigned for the child pursuant to Section
at the end of which period the child shall be 30a-1 of these rules or that counsel of record is
returned to the community and may be subject to notified of the filing of the imminent risk petition.
the supervision of a probation officer, or (3) order (d) Not later than the end of such forty-five day
that the child be committed to the care and cus- period, the child shall either be (1) returned to the
tody of the commissioner of the department of community for appropriate services subject to the
children and families for a period not to exceed supervision of a probation officer or an existing
eighteen months and that the child cooperate in commitment to the commissioner of the depart-
such care and custody. ment of children and families; or (2) committed to
(Adopted June 30, 2008, to take effect Jan. 1, 2009.) the commissioner of the department of children
and families for a period not to exceed eighteen
Sec. 31a-21. Petition for Child from a Family months if a hearing has been held and the judicial
with Service Needs at Imminent Risk authority has found, based on clear and convinc-
(a) When a child who has been adjudicated as ing evidence, that (i) the child is in imminent risk
a child from a family with service needs is under of physical harm from the child’s surroundings,
an order of supervision or an order of commitment (ii) as a result of such condition, the child’s safety
to the commissioner of the department of children is endangered and removal from such surround-
and families and is believed to be in imminent risk ings is necessary to ensure the child’s safety, and
(iii) there is no less restrictive alternative available.
of physical harm from the child’s surroundings
Any such child shall be entitled to the same proce-
or other circumstances, a probation officer, on dural protections as are afforded to a delin-
receipt of a complaint setting forth facts alleging quent child.
such risk, or on the probation officer’s own motion (e) No child shall be held prior to a hearing on
on the basis of his or her knowledge of such risk, a petition under this section for more than twenty-
may file a petition alleging that the child is in immi- four hours, excluding Saturdays, Sundays and
nent risk of physical harm and setting forth facts holidays.
claimed to constitute such risk. Service shall be (Adopted June 22, 2009, to take effect Jan. 1, 2010.)
335
CHAPTER 32
NEGLECTED, UNCARED FOR AND DEPENDENT CHILDREN AND
TERMINATION OF PARENTAL RIGHTS
Sec. Sec.
32-1. Initiation of Judicial Proceeding; Contents of Petitions 32-6. Order of Temporary Custody; Application and Sworn
and Summary of Facts [Repealed] Statement [Repealed]
32-2. —Summons Accompanying Petitions [Repealed] 32-7. —Statement in Temporary Custody Order of Respon-
dent’s Rights and of Subsequent Hearing
32-3. —Venue [Repealed]
[Repealed]
32-4. —Identity or Location of Parent Unknown [Repealed] 32-8. —Authority of Temporary Custodian [Repealed]
32-5. —Address of Person Entitled to Personal Service 32-9. —Emergency, Life-Threatening Medical Situations—
Unknown [Repealed] Procedures [Repealed]
Sec. 32-1. Initiation of Judicial Proceeding; Sec. 32-6. Order of Temporary Custody;
Contents of Petitions and Summary of Facts Application and Sworn Statement
Sec. 32-2. —Summons Accompanying Peti- Sec. 32-7. —Statement in Temporary Cus-
tions
tody Order of Respondent’s Rights and of
[Repealed as of Jan. 1, 2003.] Subsequent Hearing
Sec. 32-3. —Venue [Repealed as of Jan. 1, 2003.]
Sec. 32-8. —Authority of Temporary Cus-
Sec. 32-4. —Identity or Location of Parent todian
Unknown
Sec. 32-5. —Address of Person Entitled to Sec. 32-9. —Emergency, Life-Threatening
Personal Service Unknown Medical Situations—Procedures
336
CHAPTER 32a
RIGHTS OF PARTIES
NEGLECTED, ABUSED AND UNCARED FOR CHILDREN AND
Sec. Sec.
32a-1. Right to Counsel and to Remain Silent 32a-6. Interpreter
32a-2. Hearing Procedure; Subpoenas 32a-7. Records
32a-8. Use of Confidential Alcohol or Drug Abuse Treat-
32a-3. Standards of Proof ment Records as Evidence
32a-4. Child or Youth Witness 32a-9. Competency of Parent
32a-5. Consultation with Child or Youth
Sec. 32a-1. Right to Counsel and to (e) If the judicial authority, even in the absence
Remain Silent of a request for appointment of counsel, deter-
(a) At the first hearing in which the parents or mines that the interests of justice require the provi-
sion of an attorney to represent the child’s or
guardian appear, the judicial authority shall advise
youth’s parent or parents or guardian, or other
and explain to the parents or guardian of a child
party, the judicial authority may appoint an attor-
or youth their right to silence and to counsel. ney to represent any such party and shall notify
(b) The child or youth has the rights of confron- the chief public defender, who shall assign an
tation and cross-examination and shall be repre- attorney to represent any such party. For the pur-
sented by counsel in each and every phase of any poses of determining eligibility for appointment
and all proceedings in child protection matters, of counsel, the judicial authority shall cause the
including appeals. The judicial authority before parents or guardian of a child or youth to complete
whom a juvenile matter is pending shall notify the a written statement under oath or affirmation set-
chief public defender who shall assign an attorney ting forth the parents’ or guardian’s liabilities and
to represent the child or youth. assets, income and sources thereof, and such
(c) The judicial authority on its own motion or other information as the Public Defender Services
upon the motion of any party, may appoint a sepa- Commission shall designate and require on forms
rate guardian ad litem for the child or youth upon adopted by said commission.
a finding that such appointment is necessary to (f) Where under the provisions of this section,
protect the best interest of the child or youth. An the judicial authority so appoints counsel for any
attorney guardian ad litem shall be appointed for such party who is found able to pay, in whole or
a child or youth who is a parent in a termination in part, the cost thereof, the judicial authority shall
of parental rights proceeding or any parent who assess as costs on the appropriate form against
is found to be incompetent by the judicial authority. such parents, guardian or custodian, including
(d) The parents or guardian of the child or youth any agency vested with the legal custody of the
child or youth, the expense so incurred and paid
have the rights of confrontation and cross-exami-
for by the chief public defender in providing such
nation and may be represented by counsel in each counsel, to the extent of their financial ability to
and every phase of any and all proceedings in do so, in accordance with the rates established
child protection matters, including appeals. The by the Public Defender Services Commission for
judicial authority shall determine if the parents compensation of counsel. Reimbursement to the
or guardian of the child or youth are eligible for appointed attorney of unrecovered costs shall be
counsel. Upon a finding that such parents or made to that attorney by the chief public defender
guardian of the child or youth are unable to afford upon the attorney’s certification of his or her unre-
counsel, the judicial authority shall notify the chief covered expenses to the chief public defender.
public defender of such finding, and the chief pub- (g) Notices of initial hearings on petitions shall
lic defender shall assign an attorney to provide contain a statement of the respondent’s right to
representation. counsel and that if the respondent is unable to
337
afford counsel, counsel will be appointed to repre- the Indian Child Welfare Act (ICWA), 25 U.S.C.
sent the respondent, that the respondent has a § 1901 et seq.
right to refuse to make any statement and that (Adopted June 24, 2002, to take effect Jan. 1, 2003;
any statement the respondent makes may be amended June 30, 2008, to take effect Jan. 1, 2009.)
introduced in evidence against him or her. Sec. 32a-4. Child or Youth Witness
(h) Any confession, admission or statement, (Amended June 30, 2008, to take effect Jan. 1, 2009.)
written or oral, made by the parent or parents or
(a) All oral testimony shall be given under oath.
guardian of the child or youth after the filing of a
For child or youth witnesses, the oath may be ‘‘you
petition alleging such child or youth to be
promise that you will tell the truth.’’ The judicial
neglected, abused or uncared for, shall be inad-
authority may, however, admit the testimony of a
missible in any proceeding held upon such petition
child or youth without the imposition of a formal
against the person making such admission or
oath if the judicial authority finds that the oath
statement unless such person shall have been
would be meaningless to the particular child or
advised of the right to retain counsel, and that if
youth, or would otherwise inhibit the child or youth
such person is unable to afford counsel, counsel
from testifying freely and fully.
will be assigned to provide representation, that
(b) Any party who intends to call a child or youth
such person has a right to refuse to make any
as a witness shall first file a motion seeking per-
statement and that any statements such person
mission of the judicial authority.
makes may be introduced in evidence against
(c) In any proceeding when testimony of a child
such person.
or youth is taken, an adult who is known to the
amended June 30, 2008, to take effect Jan. 1, 2009; amended child or youth and with whom the child or youth
June 15, 2012, to take effect Jan. 1, 2013.) feels comfortable shall be permitted to sit in close
proximity to the child or youth during the child’s
Sec. 32a-2. Hearing Procedure; Subpoenas or youth’s testimony without obscuring the child
(a) All hearings are essentially civil proceedings or youth from view and the attorneys shall ask
except where otherwise provided by statute. Tes- questions and pose objections while seated and
timony may be given in narrative form and the in a manner which is not intimidating to the child
proceedings shall at all times be as informal as the or youth. The judicial authority shall minimize any
requirements of due process and fairness permit. distress to a child or youth in court.
(b) Issuance, service, and compliance with sub- (d) The judicial authority with the consent of all
poenas are governed by General Statutes § 52- parties may privately interview the child or youth.
143 et seq. Counsel may submit questions and areas of con-
(c) Any self-represented party may request the cern for examination. The knowledge gained in
clerk of the court to issue subpoenas for persons such a conference shall be shared on the record
with counsel and, if there is no legal representa-
to testify before the judicial authority. Self-repre-
tive, with the parent.
sented parties shall obtain prior approval from
the judicial authority to issue subpoenas and, if (e) When the witness is the child or youth of
indigent, may seek reimbursement for the costs the respondent, the respondent may be excluded
thereof. from the hearing room upon a showing by clear
and convincing evidence that the child or youth
amended June 30, 2008, to take effect Jan. 1, 2009.) witness would be so intimidated or inhibited that
trustworthiness of the child or youth witness is
Sec. 32a-3. Standards of Proof seriously called into question. In such an instance,
(a) The standard of proof applied in a neglect, if the respondent is without counsel, the judicial
uncared for or dependency proceeding is a fair authority shall summarize for the respondent the
preponderance of the evidence. nature of the child’s or youth’s testimony.
(b) The standard of proof applied in a decision amended June 30, 2008, to take effect Jan. 1, 2009.)
to terminate parental rights or a finding that efforts
to reunify a parent with a child or youth are no Sec. 32a-5. Consultation with Child or Youth
longer appropriate, is clear and convincing (Amended June 30, 2008, to take effect Jan. 1, 2009.)
evidence. (a) In any permanency hearing held with
(c) Any Indian child or youth custody proceed- respect to the child or youth, including, but not
ings, except delinquency, involving removal of an limited to, any hearing regarding the transition of
Indian child or youth from a parent or Indian custo- the child or youth from foster care to independent
dian for placement shall, in addition, comply with living, the judicial authority shall assure that there
338
is consultation with the child or youth in an age- (b) A party seeking to introduce substance
appropriate manner regarding the proposed per- abuse treatment records shall submit a motion
manency or transition plan for the child or youth. to the judicial authority requesting permission to
(b) For good cause shown, the child or youth subpoena such records and explaining the need
who is the subject of a hearing may be excluded for them, and shall also file a motion to disclose
from the courtroom. such confidential records and permit testimony
(Adopted June 24, 2002, to take effect Jan. 1, 2003; regarding them. The motion for permission to sub-
amended June 30, 2008, to take effect Jan. 1, 2009.) poena such records may be signed ex parte by
Sec. 32a-6. Interpreter the judicial authority. If the judicial authority
approves the motion, such records may be sub-
The judicial authority shall provide an official
poenaed and submitted to the court under seal,
interpreter to the parties as necessary to ensure
their understanding of, and participation in, the and the judicial authority shall set a date for the
proceedings. parties and service providers to be heard on the
(Adopted June 24, 2002, to take effect Jan. 1, 2003.) motion to disclose confidential alcohol or drug
abuse treatment records.
Sec. 32a-7. Records (Adopted June 24, 2002, to take effect Jan. 1, 2003.)
(a) Except as otherwise provided by statute, all Sec. 32a-9. Competency of Parent
records maintained in juvenile matters brought
(a) In any proceeding for the termination of
before the judicial authority, either current or
parental rights, either upon its own motion or a
closed, including the transcripts of hearings, shall
motion of any party alleging specific factual allega-
be kept confidential.
tions of mental impairment that raise a reasonable
(b) Except as otherwise provided by statute, no
doubt about the parent’s competency, the judicial
material contained in the court record, including
authority shall appoint an evaluator who is an
the social study, medical or clinical reports, school
expert in mental illness to assess such parent’s
reports, police reports and the reports of social
competency; the judicial authority shall thereafter
agencies, may be copied or otherwise reproduced
conduct a competency hearing within ten days of
in written form in whole or in part by the parties
receipt of the evaluator’s report.
without the express consent of the judicial
(b) At a competency hearing held under subsec-
authority.
tion (a), the judicial authority shall determine
(c) Each counsel and self-represented party in
whether the parent is incompetent and if so,
a child protection matter shall have access to and
whether competency may be restored within a
be entitled to copies, at his or her expense, of
reasonable time, considering the age and needs
the entire court record, including transcripts of all
of the child or youth, including the possible
proceedings, without the express consent of the
adverse impact of delay in the proceedings. If
judicial authority.
(Adopted June 24, 2002, to take effect Jan. 1, 2003; competency may be restored within a reasonable
amended June 22, 2009, to take effect Jan. 1, 2010; amended time, the judicial authority shall stay proceedings
June 14, 2013, to take effect Jan. 1, 2014.) and shall issue specific steps the parent shall take
to have competency restored. If competency may
Sec. 32a-8. Use of Confidential Alcohol or not be restored within a reasonable time, the judi-
Drug Abuse Treatment Records as Evidence cial authority may make reasonable accommoda-
(a) Upon a determination by the judicial author- tions to assist the parent and his or her attorney
ity that good cause exists pursuant to federal law in the defense of the case, including the appoint-
and regulations, the judicial authority may admit ment of a guardian ad litem if one has not already
evidence of any party’s alcohol or drug treatment been provided.
by a facility subject to said regulations. (Adopted June 30, 2008, to take effect Jan. 1, 2009.)
339
CHAPTER 33
HEARINGS CONCERNING NEGLECTED, UNCARED FOR AND
DEPENDENT CHILDREN AND TERMINATION OF PARENTAL RIGHTS
Sec. Sec.
33-1. Adjudicatory Hearing; Actions by Judicial Author- 33-7. —Dispositional Plan Offered by Respondents
ity [Repealed] [Repealed]
33-2. —Continuance for Case Status Conference 33-8. Protective Supervision—Conditions and Modifica-
[Repealed] tion [Repealed]
33-3. —Evidence [Repealed] 33-9. Extension Petitions [Repealed]
33-4. —Burden of Proceeding [Repealed] 33-10. Revocation of Commitments [Repealed]
33-5. Dispositional Hearing; Evidence and Social Study 33-11. Modifications [Repealed]
[Repealed] 33-12. Coterminous Petitions [Repealed]
33-6. —Availability of Social Study to Counsel and Par- 33-13. Transfer from Probate Court of Petitions for
ties [Repealed] Removal of Parent as Guardian [Repealed]
Sec. 33-1. Adjudicatory Hearing; Actions by Sec. 33-7. —Dispositional Plan Offered by
Judicial Authority Respondents
Sec. 33-2. —Continuance for Case Status Sec. 33-8. Protective Supervision—Condi-
Conference tions and Modification
Sec. 33-9. Extension Petitions
Sec. 33-3. —Evidence
Sec. 33-10. Revocation of Commitments
Sec. 33-4. —Burden of Proceeding [Repealed as of Jan. 1, 2003.]
Sec. 33-11. Modifications
Sec. 33-5. Dispositional Hearing; Evidence [Repealed as of Jan. 1, 2003.]
and Social Study Sec. 33-12. Coterminous Petitions
Sec. 33-6. —Availability of Social Study to Sec. 33-13. Transfer from Probate Court of
Counsel and Parties Petitions for Removal of Parent as Guardian
340
CHAPTER 33a
PETITIONS FOR NEGLECT, UNCARED FOR,
DEPENDENCY AND TERMINATION OF PARENTAL RIGHTS:
INITIATION OF PROCEEDINGS, ORDERS OF TEMPORARY CUSTODY
AND PRELIMINARY HEARINGS
Sec. Sec.
33a-1. Initiation of Judicial Proceeding; Contents of Peti- 33a-5. Address of Person Entitled to Personal Service
tions and Summary of Facts Unknown
33a-2. Service of Summons, Petitions and Ex Parte Orders 33a-6. Order of Temporary Custody; Ex Parte Orders and
Orders to Appear
33a-3. Venue 33a-7. Preliminary Order of Temporary Custody or First
33a-4. Identity or Location of Respondent Unknown Hearing; Actions by Judicial Authority
33a-8. Emergency, Life-Threatening Medical Situa-
tions—Procedures
Sec. 33a-1. Initiation of Judicial Proceeding; attorney general at least ten days prior to the date
Contents of Petitions and Summary of Facts of the initial plea hearing on the petition, which
(a) The petitioner shall set forth with reasonable shall be held not more than thirty days after the
particularity, including statutory references, the filing of the petitions, except in the case of a peti-
specific conditions which have resulted in the situ- tion for termination of parental rights based on
ation which is the subject of the petition. consent, which shall be held not more than twenty
(b) A summary of the facts substantiating the days after the filing of the petition.
(d) A summons accompanying any petition filed
allegations of the petition shall be attached thereto with an application for order of temporary custody
and shall be incorporated by reference. shall be served by the petitioner on the respon-
dents and provided to the office of the attorney
Sec. 33a-2. Service of Summons, Petitions general as soon as practicable after the issuance
and Ex Parte Orders of any ex parte order or order to appear, along
with such order, any sworn statements supporting
(a) A summons accompanying a petition alleg-
the order, the summary of facts, the specific steps
ing that a child or youth is neglected, abused or provided by the judicial authority, and the notice
uncared for, along with the summary of facts, shall required by Section 33a-6.
be served by the petitioner on the respondents (e) Whenever the commissioner of the depart-
and provided to the office of the attorney general ment of children and families obtains an ex parte
at least fourteen days before the date of the initial order of temporary custody or an order to appear
plea hearing on the petition, which shall be held and show cause from the judicial authority, he or
not more than forty-five days from the date of filing she shall provide the clerk with a sealed envelope
the petition. marked ‘‘Attention: Counsel for Child(ren)’’ con-
(b) A summons accompanying a petition for taining the following information: the name, phone
termination of parental rights, along with the sum- number and e-mail of the investigation social
mary of facts, shall be served by the petitioner on worker; the name, phone number and e-mail of
the respondents and provided to the office of the the treatment supervisor or social worker, if
attorney general at least ten days prior to the date known; and the child(ren)’s placement or home
of the initial plea hearing on the petition, which address and phone number, and name of a place-
shall be held not more than thirty days after the ment contact person. The clerk shall ensure that
filing of the petition, except in the case of a petition counsel assigned to the child is provided with said
for termination of parental rights based on con- envelope at the time his or her appearance is
sent, which shall be held not more than twenty filed. In the event the placement information
days after the filing of the petition. changes prior to the preliminary hearing, the com-
(c) A summons accompanying simultaneously missioner of the department of children and fami-
filed coterminous petitions, along with the sum- lies shall notify counsel for the child immediately.
mary of facts, shall be served by the petitioner on amended June 30, 2008, to take effect Jan. 1, 2009; amended
the respondents and provided to the office of the June 15, 2012, to take effect Jan. 1, 2013.)
341
Sec. 33a-3. Venue at any time subsequent thereto, either (A) issue an
All child protection petitions shall be filed within order to the respondents or other persons having
the juvenile matters district where the child or responsibility for the care of the child or youth to
youth resided at the time of the filing of the petition, appear at such time as the judicial authority may
but any child or youth born in any hospital or designate to determine whether the judicial
institution where the mother is confined at the time authority should vest in some suitable agency or
of birth shall be deemed to have residence in the person the child’s or youth’s temporary care and
district wherein such child’s or youth’s mother was custody pending disposition of the petition, or (B)
living at the time of her admission to such hospital issue an order ex parte vesting in some suitable
or institution. When placement of a child or youth agency or person the child’s or youth’s temporary
has been effected prior to filing of a petition, venue care and custody.
shall be in the district wherein the custodial parent (b) A preliminary hearing on any ex parte cus-
is living at the time of the filing of the petition. tody order or order to appear issued by the judicial
(Adopted June 24, 2002, to take effect Jan. 1, 2003; authority shall be held as soon as practicable but
amended June 30, 2008, to take effect Jan. 1, 2009.) not later than ten days after the issuance of
such order.
Sec. 33a-4. Identity or Location of Respon- (c) If the application is filed subsequent to the
dent Unknown filing of the petition, a motion to amend the petition
(a) If the identity or present location of a respon- or to modify protective supervision shall be filed
dent is unknown when a petition is filed, an affida- no later than the next business date before such
vit shall be attached reciting the efforts to identify preliminary hearing.
and locate that respondent. Notice by publication (d) Upon issuance of an ex parte order or order
to unidentified persons shall be required in any to appear, the judicial authority shall provide to
petition for termination of parental rights. the commissioner of the department of children
(b) Subject to Section 32a-1 of these rules, the and families and the respondents specific steps
judicial authority may notify the chief public necessary for each to take for the respondents to
defender to assign counsel for an unidentified par- retain or regain custody of the child or youth.
ent or an absent parent who has received only (e) An ex parte order or order to appear shall
constructive notice of termination of parental be accompanied by a conspicuous notice to the
rights proceedings, for the limited purposes of respondents written in clear and simple language
conducting a reasonable search for the unidenti- containing at least the following information: (i)
fied or absent parents and reporting to the judicial That the order contains allegations that conditions
authority before any adjudication. in the home have endangered the safety and wel-
fare of the child or youth; (ii) that a hearing will
be held on the date on the form; (iii) that the
Sec. 33a-5. Address of Person Entitled to hearing is the opportunity to present the respon-
Personal Service Unknown dents’ position concerning the alleged facts; (iv)
If the address of any person entitled to personal that the respondent has the right to remain silent;
service is unknown, service may be by publication (v) that an attorney will be appointed for respon-
as ordered by the judicial authority. dents who cannot afford an attorney by the chief
(Adopted June 24, 2002, to take effect Jan. 1, 2003.) public defender; (vi) that such respondents may
apply for state paid representation by going in
Sec. 33a-6. Order of Temporary Custody; Ex person to the court address on the form and are
Parte Orders and Orders to Appear advised to go as soon as possible in order for the
(a) If the judicial authority finds, based upon attorney to prepare for the hearing; (vii) if such
the specific allegations of the petition and other respondents have any questions concerning the
verified affirmations of fact provided by the appli- case or appointment of counsel, any such respon-
cant, that there is reasonable cause to believe dent is advised to go to the court, or contact the
that: (1) the child or youth is suffering from serious clerk’s office, or contact the chief public defender
physical illness or serious physical injury or is in as soon as possible, and (viii) that such parents,
immediate physical danger from his or her sur- or a person having responsibility for the care and
roundings and (2) that as a result of said condi- custody of the child or youth, may request the
tions, the child’s or youth’s safety is endangered commissioner of children and families to investi-
and immediate removal from such surroundings gate placing the child or youth with a person
is necessary to ensure the child’s or youth’s related to the child or youth by blood or marriage
safety, the judicial authority shall, upon proper who might serve as a licensed foster parent or
application at the time of filing of the petition or temporary custodian for such child or youth.
342
(f) Upon application for state paid representa- (6) advise the respondents of the right to a hear-
tion, the judicial authority shall promptly determine ing on the petitions and applications, to be held not
eligibility and, if the respondent is eligible, later than ten days after the date of the preliminary
promptly notify the chief public defender, who hearing if the hearing is pursuant to an ex parte
shall assign an attorney to provide representation. order of temporary custody or an order to appear;
In the absence of such a request prior to the pre- (7) notwithstanding any prior statements
liminary hearing, the chief public defender shall acknowledging responsibility, inquire of the custo-
ensure that standby counsel is available at such dial respondent in neglect, uncared for and
hearing to assist and/or represent the dependency matters, and of all respondents in
respondents. termination matters, whether the allegations of the
(Adopted June 24, 2002, to take effect Jan. 1, 2003; petition are presently admitted or denied;
amended June 30, 2008, to take effect Jan. 1, 2009; amended (8) make any interim orders, including visitation,
June 20, 2011, to take effect Jan. 1, 2012.) that the judicial authority determines are in the
Sec. 33a-7. Preliminary Order of Temporary best interests of the child or youth, and order spe-
Custody or First Hearing; Actions by Judi- cific steps the commissioner and the respondents
cial Authority shall take for the respondents to regain or to retain
custody of the child or youth;
(9) take steps to determine the identity of the
(a) At the preliminary hearing on the order of father of the child or youth, including, if necessary,
temporary custody or order to appear, or at the inquiring of the mother of the child or youth, under
first hearing on a petition for neglect, uncared for, oath, as to the identity and address of any person
dependency, or termination of parental rights, the who might be the father of the child or youth and
judicial authority shall: ordering genetic testing, if necessary and appro-
(1) first determine whether the necessary par- priate, and order service of the amended petition
ties are present and that the rules governing ser- citing in the putative father and notice of the hear-
vice on or notice to nonappearing parties, and ing date, if any, to be made upon him;
notice to grandparents, foster parents, relative (10) if the person named as the putative father
caregivers and pre-adoptive parents, as applica- appears, and admits that he is the biological
ble, have been complied with, and should note father, provide him and the mother with the notices
these facts for the record, and may proceed with which comply with General Statutes § 17b-27 and
respect to the parties who (i) are present and have provide them with the opportunity to sign a pater-
been properly served; (ii) are present and waive nity acknowledgment and affirmation on forms
any defects in service; and (iii) are not present, which comply with General Statutes § 17b-27,
but have been properly served. As to any party which documents shall be executed and filed in
who has not been properly served, the judicial accordance with General Statutes § 46b-172 and
authority may continue the proceedings with a copy delivered to the clerk of the superior court
respect to such party for a reasonable period of for juvenile matters;
time for service to be made and confirmed; (11) in the event that the person named as a
(2) inform the respondents of the allegations putative father appears and denies that he is the
contained in all petitions and applications that are biological father of the child or youth, advise him
the subject of the hearing; that he may have no further standing in any pro-
(3) inform the respondents of their right to ceeding concerning the child or youth, and either
remain silent; order genetic testing to determine paternity or
(4) ensure that an attorney, and where appro- direct him to execute a written denial of paternity
priate, a separate guardian ad litem, has been on a form promulgated by the office of the chief
assigned to represent the child or youth by the court administrator. Upon execution of such a
chief public defender, in accordance with General form by the putative father, the judicial authority
Statutes §§ 46b-129a (2), 46b-136, Public Acts may remove him from the case and afford him no
2011, No. 11-51 and Section 32a-1 of these rules; further standing in the case or in any subsequent
(5) advise the respondents of their right to coun- proceeding regarding the child or youth until such
sel and their right to have counsel assigned if they time as paternity is established by formal acknowl-
are unable to afford representation, determine eli- edgment or adjudication in a court of competent
gibility for state paid representation and notify the jurisdiction; and
chief public defender to assign an attorney to rep- (12) identify any person or persons related to
resent any respondent who is unable to afford the child or youth by blood or marriage residing
representation, as determined by the judicial in this state or out of state who might serve as
authority; licensed foster parents or temporary custodians,
343
and order the commissioner of the department of disposition of the underlying petition immediately
children and families to investigate and determine after such consolidated hearing if the social study
the appropriateness of placement of the child or has been filed and the parties had previously
youth with such relative or relatives pursuant to agreed to sustain the order of temporary custody
General Statutes § 46b-129 (c) and provide a writ- and waived the ten day hearing or the parties
ten report to the court no later than thirty days should reasonably be ready to proceed.
from the date of the preliminary hearing and notify (Adopted June 24, 2002, to take effect Jan. 1, 2003;
all counsel of record or set a reasonable date for amended June 30, 2008, to take effect Jan. 1, 2009; amended
June 21, 2010, to take effect Jan. 1, 2011; amended June 20,
such a report if a relative lives outside the state. 2011, to take effect Jan. 1, 2012; amended June 15, 2012,
(b) At the preliminary hearing on the order of to take effect Jan. 1, 2013.)
temporary custody or order to appear, the judicial
authority may provide parties an opportunity to Sec. 33a-8. Emergency, Life-Threatening
present argument with regard to the sufficiency Medical Situations—Procedures
of the sworn statements. When an emergency medical situation exists
(c) If any respondent fails, after proper service, which requires the immediate assumption of tem-
to appear at the preliminary hearing, the judicial porary custody of a child or youth by the commis-
authority may enter or sustain an order of tempo- sioner of the department of children and families
rary custody. in order to save the child’s or youth’s life, two
(d) Upon request, or upon its own motion, the physicians under oath must attest to the need for
judicial authority shall schedule a hearing on the such medical treatment. Oral permission by the
order for temporary custody or the order to appear judicial authority may be given after receiving
to be held as soon as practicable but not later sworn oral testimony of two physicians that the
than ten days after the date of the preliminary specific surgical or medical intervention is abso-
hearing. Such hearing shall be held on consecu- lutely necessary to preserve the child’s or youth’s
tive days except for compelling circumstances or life. The judicial authority may grant the temporary
at the request of the respondents. custody order ex parte or may schedule an imme-
(e) Subject to the requirements of Section 33a- diate hearing prior to issuing said order. At any
7 (a) (6), upon motion of any party or on its own immediate hearing the two physicians shall be
motion, the judicial authority may consolidate the available for testifying, and the judicial authority
shall appoint counsel for the child or youth and
hearing, on the order of temporary custody or
notify the chief public defender as soon as practi-
order to appear with the adjudicatory phase of the
cable that said counsel has been appointed. If
trial on the underlying petition. At a consolidated the judicial authority grants the temporary custody
order of temporary custody and neglect adjudica- order ex parte by oral permission, based on the
tion hearing, the judicial authority shall determine sworn oral testimony from the physicians, the
the outcome of the order of temporary custody commissioner of the department of children and
based upon whether or not continued removal is families shall file the application for a temporary
necessary to ensure the child’s or youth’s safety, custody order together with a neglect or uncared
irrespective of its findings on whether there is suffi- for petition on the next business day following the
cient evidence to support an adjudication of granting of such order.
neglect or uncared for. Nothing in this subsection (Adopted June 24, 2002, to take effect Jan. 1, 2003;
prohibits the judicial authority from proceeding to amended June 30, 2008, to take effect Jan. 1, 2009.)
344
CHAPTER 34
RIGHTS OF PARTIES
Sec. Sec.
34-1. Right to Counsel and to Remain Silent [Repealed] 34-3. Standards of Proof [Repealed]
34-2. Hearing Procedure; Subpoenas [Repealed] 34-4. Child Witness [Repealed]
Sec. 34-1. Right to Counsel and to Remain Sec. 34-3. Standards of Proof
Silent [Repealed as of Jan. 1, 2003.]
Sec. 34-2. Hearing Procedure; Subpoenas Sec. 34-4. Child Witness
345
CHAPTER 34a
PLEADINGS, MOTIONS AND DISCOVERY
NEGLECTED, ABUSED AND UNCARED FOR CHILDREN
AND TERMINATION OF PARENTAL RIGHTS
Sec. Sec.
34a-1. Motions, Requests and Amendments 34a-12. Waiver and Subject Matter Jurisdiction
34a-2. Short Calendar—Frequency 34a-13. Further Pleading by Respondent or Child
34a-3. Short Calendar—Assignments Automatic 34a-14. Response to Summary of Facts
34a-4. Short Calendar—Continuances When Counsel’s 34a-15. Motion to Strike
Presence or Oral Argument Required 34a-16. Reasons in Motion to Strike
34a-5. Continuances and Advancements 34a-17. Memorandum of Law—Motion and Objection
34a-18. When Memorandum of Decision Required on
34a-6. Pleadings Allowed and Their Order
Motion to Strike
34a-7. Waiving Right to Plead 34a-19. Substitute Pleading; Judgment
34a-8. Time to Plead 34a-20. Discovery
34a-9. Motion to Dismiss 34a-21. Court-Ordered Evaluations
34a-10. Grounds of Motion to Dismiss 34a-22. Motion for Contempt
34a-11. Waiver Based on Certain Grounds 34a-23. Motion for Emergency Relief
Sec. 34a-1. Motions, Requests and All motions or objections to requests shall be given
Amendments an initial hearing by the judicial authority within
(a) Except as otherwise provided, the sections fifteen days after filing provided reasonable notice
in chapters 1 through 7 shall apply to juvenile is given to parties in interest, or notices are
matters in the superior court as defined by Gen- waived; any motion in a case on trial or assigned
eral Statutes § 46b-121. for trial may be disposed of by the judicial authority
(b) The provisions of Sections 8-2, 9-5, 9-22, at its discretion or ordered upon the docket.
10-12 (a) and (c), 10-13, 10-14, 10-17, 10-18, 10- (d) A petition may be amended at any time
29, 10-62, 11-4, 11-5, 11-6, 11-7, 11-8, 11-10, by the judicial authority on its own motion or in
11-11, 11-12, 11-13, 12-1, 12-2, 12-3, 13-1 response to a motion prior to any final adjudica-
through 13-11 inclusive, 13-14, 13-16, 13-21 tion. When an amendment has been so ordered,
through 13-32 inclusive, subject to Section 34a- a continuance shall be granted whenever the judi-
20, 15-3, 15-8, 17-4, and 17-21 of the rules of cial authority finds that the new allegations in the
practice shall apply to juvenile matters in the civil petition justify the need for additional time to per-
session as defined by General Statutes § 46b- mit the parties to respond adequately to the addi-
121. tional or changed facts and circumstances.
(c) A motion or request, other than a motion (e) If the moving party determines and reports
made orally during a hearing, shall be in writing. that all counsel and self-represented parties agree
An objection to a request shall also be in writing. to the granting of a motion or agree that the motion
A motion, request or objection to a request shall may be considered without the need for oral argu-
have annexed to it a proper order and where ment or testimony and the motion states on its
appropriate shall be in the form called for by Sec- face that there is such an agreement, the judicial
tion 4-1. The form and manner of notice shall authority may consider and rule on the motion
adequately inform the interested parties of the without a hearing.
time, place and nature of the hearing. A motion, (Adopted June 24, 2002, to take effect Jan. 1, 2003;
request, or objection to a request whose form is amended June 30, 2008, to take effect Jan. 1, 2009; amended
not therein prescribed shall state in paragraphs June 21, 2010, to take effect Jan. 1, 2011; amended June 20,
successively numbered the specific grounds upon 2011, to take effect Jan. 1, 2012.)
which it is made. A copy of all written motions,
requests, or objections to requests shall be served Sec. 34a-2. Short Calendar—Frequency
on the opposing party or counsel pursuant to Sec- Short calendar sessions shall be held in each
tions 10-12 (a) and (c), 10-13, 10-14 and 10-17. juvenile matters court location at least once every
346
two weeks, the date, hour and place to be fixed by Sec. 34a-7. Waiving Right to Plead
the presiding judge upon due notice to the clerk. In all cases, when the judicial authority does
not otherwise order, the filing of any pleading pro-
Sec. 34a-3. Short Calendar—Assignments vided for by the preceding section will waive the
Automatic right to file any pleading which might have been
Matters to be placed on the short calendar shall filed in due order and which precedes it in the
be assigned automatically by the clerk. No such order of pleading provided in that section.
matters shall be so assigned unless filed at least
five days before the opening of court on the short Sec. 34a-8. Time to Plead
calendar day, unless for good cause shown. Commencing on the plea date stated on the
petition, pleadings shall first advance within fifteen
Sec. 34a-4. Short Calendar—Continuances days from the plea date stated on the petition, and
When Counsel’s Presence or Oral Argu- any subsequent pleadings, motions and requests
ment Required shall advance at least one step within each suc-
Matters on the short calendar docket requiring cessive period of fifteen days from the preceding
oral argument or counsel’s presence shall not be pleading or the filing of the decision of the judicial
continued except for good cause shown; and no authority thereon if one is required.
such matter in which adverse parties are inter- If the respondent enters a pro forma denial
ested shall be continued unless the parties shall before the plea date stated on the petition, the
agree thereto before the day of the short calendar respondent is not precluded from filing any plead-
session and notify the clerk, subject to the ings within the time frame specified.
approval of the judicial authority. In the absence
of such an agreement, unless the judicial authority Sec. 34a-9. Motion to Dismiss
shall otherwise order, any counsel appearing may
argue the matter and submit it for decision, or Any respondent or child, wishing to contest the
request that it be denied. court’s jurisdiction, may do so even after having
(Adopted June 24, 2002, to take effect Jan. 1, 2003.) entered a general appearance, but must do so by
filing a motion to dismiss within fifteen days of the
plea date stated on the petition.
Sec. 34a-5. Continuances and Advance- (Adopted June 24, 2002, to take effect Jan. 1, 2003.)
ments
Sec. 34a-10. Grounds of Motion to Dismiss
(a) Motions for continuances or changes in
scheduled court dates must be submitted in writ- (a) The motion to dismiss shall be used to
ing in compliance with Section 34a-1 (c) and filed assert: (1) lack of jurisdiction over the subject mat-
no later than seven days prior to the scheduled ter; (2) lack of jurisdiction over the person; (3)
date. Such motions must state the precise reason improper venue; (4) insufficiency of process; and
for the request, the name of the judge scheduled (5) insufficiency of service of process. A motion
to hear the case, and whether or not all other to dismiss shall always be filed with a supporting
parties consent to the request. After consulting memorandum of law, and where appropriate, with
with the presiding judge, a court services officer supporting affidavits as to facts not apparent on
or clerk will handle bona fide emergency requests the record.
submitted less than seven days prior to scheduled (b) Any adverse party who objects to a motion
court dates. to dismiss shall, at least five days before the
(b) Trials that are not completed within the allot- motion is to be considered on the short calendar,
ted prescheduled time will be subject to continua- file and serve in accordance with Sections 10-12
tion at the next available court date. (a) and (c), 10-13, 10-14 and 10-17 a memoran-
(Adopted June 24, 2002, to take effect Jan. 1, 2003.) dum of law and, where appropriate, supporting
affidavits as to facts not apparent on the record.
Sec. 34a-6. Pleadings Allowed and Their (Adopted June 24, 2002, to take effect Jan. 1, 2003.)
Order
The order of pleadings shall be as follows: Sec. 34a-11. Waiver Based on Certain
(1) The petition. Grounds
(2) The respondent’s or child’s motion to Any claim of lack of jurisdiction over the person,
dismiss. improper venue, insufficiency of process, or insuf-
(3) The respondent’s or child’s motion to strike. ficiency of service of process is waived if not
(Adopted June 24, 2002, to take effect Jan. 1, 2003.) raised by a motion to dismiss filed in the sequence
347
provided in Sections 34a-6 and 34a-7 and within of insufficiency and shall distinctly specify the rea-
the time provided by Section 34a-9. son or reasons for each such claimed insuffi-
(Adopted June 24, 2002, to take effect Jan. 1, 2003.) ciency.
Sec. 34a-12. Waiver and Subject Matter
Jurisdiction Sec. 34a-17. Memorandum of Law—Motion
Any claim of lack of jurisdiction over the subject and Objection
matter cannot be waived; and whenever it is found (a) Each motion to strike must be accompanied
after suggestion of the parties or otherwise that by an appropriate memorandum of law citing the
the judicial authority lacks jurisdiction of the sub- legal authorities upon which the motion relies.
ject matter, the judicial authority shall dismiss (b) Any adverse party who objects to this motion
the action. shall, at least five days before the date the motion
(Adopted June 24, 2002, to take effect Jan. 1, 2003.) is to be considered on the short calendar, file and
serve in accordance with Sections 10-12 (a) and
Sec. 34a-13. Further Pleading by Respon- (c), 10-13, 10-14 and 10-17 a memorandum of
dent or Child law.
If a motion to dismiss is denied with respect to (Adopted June 24, 2002, to take effect Jan. 1, 2003.)
any jurisdictional issue, the respondent or child
may plead further without waiving the right to con- Sec. 34a-18. When Memorandum of Deci-
test jurisdiction further. sion Required on Motion to Strike
(Adopted June 24, 2002, to take effect Jan. 1, 2003.) Whenever a motion to strike is filed and more
than one ground of decision is set forth therein,
Sec. 34a-14. Response to Summary of Facts the judicial authority, in rendering the decision
In addition to the entry of a pro forma plea of thereon, shall specify in writing the grounds upon
denial, a parent, legal guardian or child may, which that decision is based.
within thirty days of the plea date, file a written (Adopted June 24, 2002, to take effect Jan. 1, 2003.)
response to the summary of facts attached to the
petition specifying that certain allegations in said Sec. 34a-19. Substitute Pleading; Judgment
summary of facts are irrelevant, immaterial, false Within fifteen days after the granting of any
or otherwise improper. motion to strike, the petitioner may file a new peti-
(Adopted June 24, 2002, to take effect Jan. 1, 2003.) tion; provided that in those instances where an
entire petition has been stricken, and the peti-
Sec. 34a-15. Motion to Strike tioner fails to file a new petition within that fifteen-
(a) Whenever any party wishes to contest: (1) day period, the judicial authority may, upon
the legal sufficiency of the allegations of any peti- motion, enter judgment against said party on said
tion, or of any one or more counts thereof, to state stricken petition.
a claim upon which relief can be granted; or (2) (Adopted June 24, 2002, to take effect Jan. 1, 2003.)
the legal sufficiency of any prayer for relief in any
Sec. 34a-20. Discovery
such petition; or (3) the legal sufficiency of any
such petition, or any count thereof, because of (a) Access to the records of the department of
the absence of any necessary party; or (4) the children and families shall be permitted in accord-
joining of two or more causes of action which ance with General Statutes § 17a-28 and other
cannot properly be united in one petition whether applicable provisions of the law.
the same be stated in one or more counts, that (b) Pretrial discovery by interrogatory, produc-
party may do so by filing a motion to strike the tion, inspection or deposition of a person may be
contested petition or part thereof. allowed with the permission of the judicial author-
(b) A motion to strike on the ground of the non- ity only if the information or material sought is
joinder of a necessary party must give the name not otherwise obtainable and upon a finding that
and residence of the missing party or such infor- proceedings will not be unduly delayed.
mation as the moving party has as to the identity (c) Upon its own motion or upon the request of
and residence of the missing party and must state a party, the judicial authority may limit discovery
the missing party’s interest in the cause of action methods, and specify overall timing and
(Adopted June 24, 2002, to take effect Jan. 1, 2003.) sequence, provided that the parties shall be
allowed a reasonable opportunity to obtain infor-
Sec. 34a-16. Reasons in Motion to Strike mation needed for the preparation of their case.
Each motion to strike raising any of the claims The judicial authority may grant the requested
of legal insufficiency enumerated in the preceding discovery, order reciprocal discovery, order
sections shall separately set forth each such claim appropriate sanctions permitted under Section
348
13-14 for any clear misuse of discovery or arbi- agree, the judicial authority shall decide the issue
trary delay or refusal to comply with a discovery of appropriate questions to be addressed and
request, and deny, limit, or set conditions on the materials to be reviewed by the evaluator. A repre-
requested discovery, including any protective sentative of the court shall contact the evaluator
orders under Section 13-5. and arrange for scheduling and for delivery of the
(d) If the judicial authority permits discovery, referral package.
the provisions of Sections 13-1 through 13-11 (d) Any party who wishes to alter, to update, to
inclusive, 13-14, 13-16, 13-21 through 13-32 amend or to modify the initial terms of referral
inclusive may be incorporated in the discovery shall seek prior permission of the judicial authority.
order in the discretion of the judicial authority. There shall be no ex parte communication with
Motions for discovery or disclosure of confidential the evaluator by counsel prior to completion of
records should not be filed unless the moving the evaluation.
party has attempted unsuccessfully to obtain an (e) After the evaluation has been completed
appropriate release or agreement to disclose from and filed with the court, counsel may communi-
the party or person whose records are being cate with the evaluator subject to the following
sought. terms and conditions:
(e) If, subsequent to compliance with any filed (1) Counsel shall identify themselves as an
request or order for discovery and prior to or dur- attorney and the party she or he represents;
ing trial, a party discovers additional or new mate- (2) Counsel shall advise the evaluator that with
rial or information previously requested and respect to any substantive inquiry into the evalua-
ordered subject to discovery or inspection, or dis- tion or opinions contained therein, the evaluator
covers that the prior compliance was totally or has the right to have the interview take place in
partially incorrect or, though correct when made, the presence of counsel of his/her choice, or in
is no longer true and the circumstances are such the presence of all counsel of record;
that a failure to amend the compliance is in sub- (3) Counsel shall have a duty to disclose to
stance a knowing concealment, that party shall other counsel the nature of any ex parte communi-
promptly notify the other party, or the other party’s cation with the evaluator and whether it was sub-
attorney and file and serve in accordance with stantive or procedural. The disclosure shall occur
Sections 10-12 through 10-17 a supplemental or within a reasonable time after the communication
corrected compliance. and prior to the time of the evaluator’s testimony;
(Adopted June 24, 2002, to take effect Jan. 1, 2003.) (4) All counsel shall have the right to contact
Sec. 34a-21. Court-Ordered Evaluations the evaluator and discuss procedural matters
relating to the time and place of court hearings or
(a) The judicial authority, after hearing on a evaluation sessions, the evaluator’s willingness to
motion for a court-ordered evaluation or after an voluntarily attend without subpoena, what records
agreement has been reached to conduct such are requested, and the parameters of the pro-
an evaluation, may order a mental or physical posed examination of the evaluator as a witness.
examination of a child or youth. The judicial (f) Counsel for children, youths, parents or
authority after hearing or after an agreement has guardians may move the judicial authority for per-
been reached may also order a thorough physical mission to disclose court records for an indepen-
or mental examination of a parent or guardian dent evaluation of their own client. Such
whose competency or ability to care for a child or evaluations shall be paid for by the moving party
youth is at issue. and shall not be required to be disclosed to the
(b) The judicial authority shall select and judicial authority or other parties, unless the
appoint an evaluator qualified to conduct such requesting party, upon receipt of the evaluation
assessments, with the input of the parties. All report, declares an intention to introduce the eval-
expenses related to the court-ordered evaluations uation report or call the evaluator as a witness
shall be the responsibility of the petitioner; how- at trial.
ever the party calling the evaluator to testify will (Adopted June 24, 2002, to take effect Jan. 1, 2003;
bear the expenses of the evaluator related to tes- amended June 21, 2010, to take effect Jan. 1, 2011.)
tifying.
(c) At the time of appointment of any court Sec. 34a-22. Motion for Contempt
appointed evaluator, counsel and the court ser- All motions for contempt must state: (1) the date
vices officer shall complete the evaluation form and specific language of the order of the judicial
and agree upon appropriate questions to be authority on which the motion is based; (2) the
addressed by the evaluator and materials to be specific acts alleged to constitute the contempt of
reviewed by the evaluator. If the parties cannot that order, including the amount of any arrears
349
claimed due as of the date of the motion or a removal of the child from the state or the home.
date specifically identified in the motion; (3) the Such motions may be heard at the next short
movant’s claims for relief for the contempt. calendar; however, if the exigencies of the situa-
(Adopted June 24, 2002, to take effect Jan. 1, 2003.) tion demand, the judicial authority may order
immediate ex parte relief, pending an expedi-
Sec. 34a-23. Motion for Emergency Relief
tious hearing.
(a) Notwithstanding the above provisions, any (b) No motion for emergency relief shall be
party may file a motion for emergency relief, seek- granted without notice to each party unless the
ing an order directed to the parents, including applicant certifies one of the following to the court
any person who acknowledged before a judicial in writing:
authority paternity of a child born out of wedlock, (1) facts showing that within a reasonable time
guardians, custodians or other adult persons prior to presenting the motion the moving party
owing some legal duty to the child, as deemed gave notice to all other parties of the time when
necessary or appropriate to secure the welfare, and the place where the motion would be pre-
protection, proper care and suitable support of a sented and provided a copy of the motion; or
child or youth before this court for the protection (2) the moving party in good faith attempted but
of the child. Such orders include, but are not lim- was unable to give notice to the other parties,
ited to, an order for access to the family home, specifying the efforts made to contact such par-
an order seeking medical exam or mental health ties; or
exam or treatment of the child, an order to remedy (3) facts establishing good cause why the mov-
a dangerous condition in the family or foster home, ing party should not be required to give notice to
an order to provide or to accept and cooperate other parties.
with certain services, or an order prohibiting the (Adopted June 24, 2002, to take effect Jan. 1, 2003.)
350
CHAPTER 35
GENERAL PROVISIONS
Sec. Sec.
35-1. Petitions, Motions and Amendments [Repealed] 35-4. Appeal [Repealed]
35-2. Continuances and Advancements [Repealed] 35-5. Recording of Testimony; Records [Repealed]
35-3. Discovery [Repealed]
Sec. 35-1. Petitions, Motions and Amend- Sec. 35-3. Discovery

ments [Repealed as of Jan. 1, 2003.]
[Repealed as of Jan. 1, 2003.] Sec. 35-4. Appeal
Sec. 35-2. Continuances and Advance- [Repealed as of Jan. 1, 2003.]
ments Sec. 35-5. Recording of Testimony; Records
351
CHAPTER 35a
HEARINGS CONCERNING NEGLECTED, ABUSED AND UNCARED FOR CHILDREN AND
Sec. Sec.
35a-1. Adjudication upon Acceptance of Admission or 35a-12A. Motions for Transfer of Guardianship
Written Plea of Nolo Contendere 35a-13. Findings as to Continuation in the Home, Efforts
35a-1A. Record of the Case to Prevent Removal
35a-1B. Exclusion of Unnecessary Persons from 35a-14. Motions for Review of Permanency Plan
Courtroom 35a-14A. Revocation of Commitment
35a-2. Case Status Conference or Judicial Pretrial 35a-15. Reunification Efforts—Aggravating Factors
35a-3. Coterminous Petitions 35a-16. Modifications
35a-4. Motions to Intervene 35a-17. Motions to Review Plan for Child Whose Parents’
35a-5. Notice and Right to Be Heard Rights Have Been Terminated [Repealed]
35a-6. Post-Disposition Role of Former Guardian 35a-18. Opening Default
35a-19. Transfer from Probate Court of Petitions for
35a-6A. Consolidation
Removal of Parent as Guardian or Termination
35a-7. Evidence
of Parental Rights
35a-7A. Adverse Inference 35a-20. Motions for Reinstatement of Parent or Former
35a-8. Burden of Proceeding Legal Guardian as Guardian or Modification of
35a-9. Dispositional Hearing; Evidence and Social Study Guardianship Post-Disposition
35a-10. Availability of Social Study to Counsel and Parties 35a-21. Appeals in Child Protection Matters
35a-11. Dispositional Plan Offered by Respondents 35a-22. Where Presence of Person May Be by Means of
35a-12. Protective Supervision—Conditions and Modifi- an Interactive Audiovisual Device
cation 35a-23. Child’s Hearsay Statement; Residual Exception
Sec. 35a-1. Adjudication upon Acceptance silent as to the entry of an adjudication. The judi-
of Admission or Written Plea of Nolo Con- cial authority shall determine whether a noncusto-
tendere dial parent or guardian standing silent
understands the consequences of standing silent.
(a) Notwithstanding any prior statements amended June 30, 2008, to take effect Jan. 1, 2009; amended
acknowledging responsibility, the judicial author- June 20, 2011, to take effect Jan. 1, 2012; amended June 15,
ity shall inquire whether the allegations of the peti- 2012, to take effect Jan. 1, 2013; amended June 13, 2014,
tion are presently admitted or denied. This inquiry
shall be made of the parent(s) or guardian in Sec. 35a-1A. Record of the Case
neglect, abuse or uncared for matters, and of the A verbatim stenographic or electronic recording
parents in termination matters. of all hearings shall be kept, any transcript of
(b) An admission to allegations or a written plea which shall be part of the record of the case.
of nolo contendere signed by the respondent may
be accepted by the judicial authority. Before Sec. 35a-1B. Exclusion of Unnecessary Per-
accepting an admission or plea of nolo conten- sons from Courtroom
dere, the judicial authority shall determine Any judicial authority hearing a child protection
whether the right to trial has been waived, and matter may, during such hearing, exclude from
that the parties understand the content and con- the room in which such hearing is held any person
sequences of their admission or plea. If the allega- whose presence is, in the opinion of the judicial
tions are admitted or the plea accepted, the authority, not necessary.
judicial authority shall make its adjudicatory find-
ing as to the validity of the facts alleged in the Sec. 35a-2. Case Status Conference or Judi-
petition and may proceed to a dispositional hear- cial Pretrial
ing. Where appropriate, the judicial authority may (a) When the allegations of the petition are
permit a noncustodial parent or guardian to stand denied, necessitating testimony in support of the
352
petitioner’s allegations, the case shall be contin- Sec. 35a-4. Motions to Intervene
ued for a case status conference and/or a judicial (Amended June 20, 2011, to take effect Jan. 1, 2012.)
pretrial. The case status conference or judicial (a) Interventions by any person related to the
pretrial may be waived by the judicial authority child or youth by blood or marriage for temporary
upon request of all the parties. custody or guardianship shall be governed by
(b) Parties with decision-making authority to General Statutes § 46b-129 (c) or (d). All motions
settle must be present or immediately accessible for intervention shall state with specificity the mov-
during a case status conference or judicial pretrial. ant’s interest and relief requested.
Continuances will be granted only in accordance (b) Upon motion of any sibling of any child com-
with Section 34a-5. mitted to the commissioner of the department of
(c) At the case status conference and/or judicial children and families pursuant to General Statutes
pretrial, all attorneys and self-represented parties § 46b-129, such sibling shall have the right to be
will be prepared to discuss the following matters: heard concerning visitation with, and placement
(1) Settlement; of, any such child. In awarding any visitation or
(2) Simplification and narrowing of the issues; modifying any placement, the judicial authority
(3) Amendments to the pleadings; shall be guided by the best interests of all siblings
(4) The setting of firm trial dates; affected by such determination.
(5) Preliminary witness lists; (c) Other persons unrelated to the child or youth
(6) Identification of necessary arrangements for by blood or marriage, or persons related to the
trial including, but not limited to, application for a child or youth by blood or marriage who are not
writ of habeas corpus for incarcerated parties, seeking to serve as a placement, temporary cus-
transportation, interpreters, and special todian or guardian of the child may move to inter-
equipment; vene in the dispositional phase of the case, and
(7) Such other actions as may aid in the disposi- the judicial authority may grant said motion if it
tion of the case. determines that such intervention is in the best
(d) When necessary, the judicial authority may interest of the child or youth or in the interests
issue a trial management order including, but not of justice.
limited to, an order fixing a date prior to trial by (d) In making a determination upon a motion to
which all parties are to exchange proposed wit- intervene, the judicial authority may consider: the
ness and exhibit lists and copies of proposed timeliness of the motion as judged by the circum-
exhibits not previously exchanged. Failure to com- stances of the case; whether the movant has a
ply with this order may result in the imposition of direct and immediate interest in the case; whether
sanctions as the ends of justice may require. the movant’s interest is not adequately repre-
(Adopted June 24, 2002, to take effect Jan. 1, 2003; sented by existing parties; whether the interven-
tion may cause delay in the proceedings or other
Sec. 35a-3. Coterminous Petitions prejudice to the existing parties; the necessity for
When coterminous petitions are filed, the judi- or value of the intervention in terms of resolving
cial authority first determines by a fair preponder- the controversy before the judicial authority; and
ance of the evidence whether the child or youth the best interests of the child.
is neglected, abused or uncared for; if so, then (e) Any intervenor shall appear in person, with
the judicial authority determines whether statutory or without counsel, and shall not be entitled to
grounds exist to terminate parental rights by clear court-appointed counsel or the assignment of
and convincing evidence; if so, then the judicial counsel by the chief public defender except as
authority determines whether termination of provided in General Statutes § 46b-136.
parental rights is in the best interests of the child (f) The judicial authority, may, on motion of any
or youth by clear and convincing evidence. If the party or on its own motion, after notice and a
judicial authority determines that termination hearing, terminate any person’s intervenor status
grounds do not exist or termination of parental if such person’s participation in the case is no
rights is not in the best interests of the child or longer warranted or necessary. The judicial
youth, then the judicial authority may consider by authority may determine if good cause exists to
a fair preponderance of the evidence any of the permit the intervenor to continue to participate in
dispositional alternatives available under the future proceedings as a party and what, if any
neglect, abuse or uncared for petition. further actions, the intervenor is required to take.
(Adopted June 24, 2002, to take effect Jan. 1, 2003; (Adopted June 24, 2002, to take effect Jan. 1, 2003;
amended June 30, 2008, to take effect Jan. 1, 2009; amended amended June 30, 2008, to take effect Jan. 1, 2009; amended
June 15, 2012, to take effect Jan. 1, 2013.) June 20, 2011, to take effect Jan. 1, 2012.)
353
Sec. 35a-5. Notice and Right to Be Heard consider subsequent events as part of its determi-
(Amended June 30, 2008, to take effect Jan. 1, 2009.) nation as to the existence of a ground for termina-
(a) Any foster parent, prospective adoptive par- tion of parental rights.
ent or relative caregiver shall be notified of and (b) In the discretion of the judicial authority,
have a right to be heard in any proceeding held evidence on adjudication and disposition may be
concerning a child or youth living with such foster heard in a nonbifurcated hearing, provided dispo-
parent, prospective adoptive parent or relative sition may not be considered until the adjudicatory
caregiver. The commissioner of the department phase has concluded.
of children and families shall provide written notice
of all court proceedings concerning any child or Sec. 35a-7A. Adverse Inference
youth to any such foster parent, prospective adop- If a party requests that the judicial authority
tive parent or relative caregiver of such child or draw an adverse inference from a parent’s or
youth. Records of such notice shall be kept by guardian’s failure to testify or the judicial authority
the commissioner of the department of children intends to draw an adverse inference, either at the
and families and information about notice given start of any trial or after the close of the petitioner’s
in each case provided to the court. case-in-chief, the judicial authority shall notify the
(b) Upon motion of any sibling of any child or parents or guardian that an adverse inference
youth committed to the commissioner of the may be drawn from their failure to testify.
department of children and families pursuant to (Adopted June 30, 2008, to take effect Jan. 1, 2009.)
General Statutes § 46b-129, the sibling shall have
the right to be heard concerning visitation with Sec. 35a-8. Burden of Proceeding
and placement of any such child or youth. (a) The petitioner shall be prepared to substan-
(Adopted June 24, 2002, to take effect Jan. 1, 2003; tiate the allegations of the petition. All parties
amended June 30, 2008, to take effect Jan. 1, 2009.) except the child or youth shall be present at trial
unless excused for good cause shown. Failure of
Sec. 35a-6. Post-Disposition Role of For- any party to appear in person or by their statutorily
mer Guardian permitted designee may result in a default or non-
When a court of competent jurisdiction has suit for failure to appear for trial, as the case may
ordered legal guardianship of a child or youth to be, and evidence may be introduced and judg-
a person other than the biological parents of the ment rendered.
child or youth prior to the juvenile court proceed- (b) If a parent fails to appear at the initial hearing
ing, the juvenile court shall determine at the time and no military affidavit has been filed, the judicial
of the commitment of the child or youth to the authority shall continue the proceedings prior to
commissioner of the department of children and entering a default for failure to appear until such
families whether good cause exists to allow said time as the military affidavit is filed, provided if the
legal guardian to participate in future proceedings identity of the parent, after reasonable search,
as a party and what, if any further actions the cannot be determined, then default may enter and
commissioner of the department of children and no military affidavit is required.
families and the guardian are required to take. (c) The clerk shall give notice by mail to the
(Adopted June 24, 2002, to take effect Jan. 1, 2003; defaulted party and the party’s attorney of the
amended June 30, 2008, to take effect Jan. 1, 2009.) default and of any action taken by the judicial
authority. The clerk shall note the date that such
Sec. 35a-6A. Consolidation notice is given or mailed.
Upon motion of any party or on its own motion, (Adopted June 24, 2002, to take effect Jan. 1, 2003;
the judicial authority may consolidate separate June 21, 2010, to take effect Jan. 1, 2011.)
petitions for trial. In determining whether to con-
solidate, the judicial authority shall consider Sec. 35a-9. Dispositional Hearing; Evidence
whether consolidation will expedite the business and Social Study
of the court without causing delay or injustice. The judicial authority may admit into evidence
(Adopted June 30, 2008, to take effect Jan. 1, 2009.) any testimony relevant and material to the issue
of the disposition, including events occurring
Sec. 35a-7. Evidence through the close of the evidentiary hearing, but
(a) In the adjudicatory phase, the judicial no disposition may be made by the judicial author-
authority is limited to evidence of events preced- ity until any mandated social study has been sub-
ing the filing of the petition or the latest amend- mitted to the judicial authority. Said study shall be
ment, except where the judicial authority must marked as an exhibit subject to the right of any
354
SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERS Sec. 35a-12A
party to be heard on a motion in limine requesting orders such extension of protective supervision,
redactions and to require that the author, if avail- the extension order shall be reviewed by the judi-
able, appear for cross-examination. cial authority at least thirty days prior to its expi-
(Adopted June 24, 2002, to take effect Jan. 1, 2003; ration.
(d) Parental or guardian noncompliance with
Sec. 35a-10. Availability of Social Study to the order of protective supervision shall be a
Counsel and Parties ground for a motion to modify the disposition.
The mandated social study, addendums Upon finding that the best interests of the child
thereto, case status reports or other written so warrant, the judicial authority, on its own motion
reports made available to the judicial authority or acting on a motion of any party and after notice
shall be reproduced and provided to all counsel is given and hearing has been held, may modify
of record and any self-represented party by the a previously entered disposition of protective
commissioner of the department of children and supervision in accordance with the applicable
families before any scheduled case status confer- General Statutes.
ence, pretrial or hearing date. All persons who (Adopted June 24, 2002, to take effect Jan. 1, 2003;
have access to such materials shall be responsi-
ble for preserving the confidentiality thereof in Sec. 35a-12A. Motions for Transfer of
accordance with Section 32a-7. Guardianship
amended June 14, 2013, to take effect Jan. 1, 2014.) (a) Motions to transfer guardianship are disposi-
tional in nature, based on the prior adjudication.
Sec. 35a-11. Dispositional Plan Offered by (b) In cases in which a motion for transfer of
Respondents guardianship seeks to vest guardianship of a child
The respondents shall have the right to produce or youth in any relative who is the licensed foster
witnesses on behalf of any dispositional plan they parent for such child or youth, or who is, pursuant
may wish to offer. to an order of the court, the temporary custodian
(Adopted June 24, 2002, to take effect Jan. 1, 2003.) of the child or youth at the time of the motion, the
Sec. 35a-12. Protective Supervision—Con- moving party has the burden of proof that the
ditions and Modification proposed guardian is suitable and worthy and that
transfer of guardianship is in the best interests of
(a) When protective supervision is ordered, the
judicial authority will set forth any conditions of the child. In such cases, there shall be a rebuttable
said supervision including duration, specific steps presumption that the award of legal guardianship
and review dates. to that relative shall be in the best interests of the
(b) A protective supervision order shall be child or youth and that such relative is a suitable
scheduled for an in court review and reviewed by and worthy person to assume legal guardianship.
the judicial authority at least thirty days prior to The presumption may be rebutted by a prepon-
its expiration. At said review, an updated social derance of the evidence that an award of legal
study shall be provided to the judicial authority. guardianship to such relative would not be in the
(c) If an extension of protective supervision is child’s or youth’s best interests and such relative
being sought by the commissioner of the depart- is not a suitable and worthy person.
ment of children and families or any other party (c) In cases in which a motion for transfer of
in interest, including counsel for the minor child guardianship, if granted, would require the
or youth, then a written motion for the same shall removal of a child or youth from any relative who
be filed not less than thirty days prior to such is the licensed foster parent for such child or youth,
expiration. Such motion shall be heard either at or who is, pursuant to an order of the court, the
the in court review of protective supervision if it temporary custodian of the child or youth at the
is held within thirty days of such expiration or at time of the motion, the moving party has the initial
a hearing to be held within ten days after the filing burden of proof that an award of legal guardian-
of such motion. For good cause shown and under ship to, or an adoption by, such relative would not
extenuating circumstances, such written motion be in the child’s or youth’s best interest and that
may be filed in a period of less than thirty days such relative is not a suitable and worthy person.
prior to the expiration of the protective supervision If this burden is met, the moving party then has
and the same shall be docketed accordingly. The the burden of proof that the movant’s proposed
motion shall set forth the reason(s) for the exten- guardian is suitable and worthy and that transfer
sion of the protective supervision and the period of of guardianship to that proposed guardian is in
the extension being sought. If the judicial authority the best interests of the child.
355
Sec. 35a-12A SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERS
(d) In all other cases, the moving party has (c) Once a motion for review of the permanency
the burden of proof that the proposed guardian is plan and requested findings regarding efforts to
suitable and worthy and that transfer of guardian- achieve the goal of the existing plan have been
ship is in the best interests of the child. filed, the clerk of the court shall set a hearing
(Adopted June 20, 2011, to take effect Jan. 1, 2012.) not later than ninety days thereafter. The judicial
authority shall provide notice to the child or youth,
Sec. 35a-13. Findings as to Continuation in and the parent or guardian of such child or youth
the Home, Efforts to Prevent Removal and any other party found entitled to such notice
Whenever the judicial authority orders a child of the time and place of the court hearing on any
or youth to be removed from the home, the judicial such motion not less than fourteen days prior to
authority shall make written findings: (1) at the such hearing. Any party who is in opposition to
time of the order that continuation in the home is any such motion shall file a written objection and
contrary to the welfare of the child or youth; and state with specificity the reasons therefor within
(2) at the time of the order or within sixty days thirty days after the filing of the commissioner of
after the child or youth has been removed from the department of children and families’ motion
the home, whether the commissioner of the for review of permanency plan and the objection
department of children and families has made rea- shall be considered at the hearing. The judicial
sonable efforts to prevent removal or whether authority shall hold an evidentiary hearing in con-
such efforts were not possible. nection with any contested motion for review of
(Adopted June 24, 2002, to take effect Jan. 1, 2003; the permanency plan. If there is no objection or
amended June 30, 2008, to take effect Jan. 1, 2009.) motion for revocation filed, then the motion may
be granted by the judicial authority at the date of
Sec. 35a-14. Motions for Review of Perma-
said hearing.
nency Plan
(d) Whether to approve the permanency plan
(Amended June 30, 2008, to take effect Jan. 1, 2009.) and to find that reasonable efforts to achieve the
(a) Motions for review of the permanency plan goal of the existing plan have been made are
shall be filed nine months after the placement of dispositional questions, based on the prior adjudi-
the child or youth in the custody of the commis- cation, and the judicial authority shall determine
sioner of the department of children and families whether it is in the best interests of the child or
pursuant to a voluntary placement agreement, or youth to approve the permanency plan and to find
removal of a child or youth pursuant to General that reasonable efforts to achieve the goal of the
Statutes § 17a-101g or an order of a court of com- existing plan have been made upon a fair prepon-
petent jurisdiction, whichever is earlier. At the date derance of the evidence. The commissioner of
custody is vested by order of a court of competent the department of children and families shall have
jurisdiction, or if no order of temporary custody is the burden of proving that the proposed perma-
issued, at the date when commitment is ordered, nency plan is in the best interests of the child or
the judicial authority shall set a date by which the youth and that it has made reasonable efforts to
subsequent motion for review of the permanency achieve the goal of the existing plan.
plan shall be filed. The commissioner of the (e) At each hearing on a motion for review of
department of children and families shall propose permanency plan, the judicial authority shall
a permanency plan that conforms to the statutory review the status of the child, the progress being
requirements and shall provide a social study to made to implement the permanency plan, deter-
support said plan. Nothing in this section shall mine a timetable for attaining the permanency
preclude any party from filing a motion for revoca- plan, determine the services to be provided to the
tion of commitment separate from a motion for parent if the court approves a permanency plan
review of permanency plan pursuant to General of reunification and the timetable for such ser-
Statutes § 46b-129 (m) and subject to Section vices, and determine whether the commissioner
35a-14A. of the department of children and families has
(b) At the time of the filing of a motion for review made reasonable efforts to achieve the goal of the
of permanency plan pursuant to subsection (a), existing permanency plan. The judicial authority
the commissioner of the department of children shall also determine whether the proposed goal
and families shall also request a finding that it has of the permanency plan as set forth in General
made reasonable efforts to achieve the goal of Statutes § 46b-129 (k) (2) is in the best interests
the existing plan. The social study filed pursuant to of the child or youth by a fair preponderance of
subsection (a) shall include information indicating the evidence, taking into consideration the child’s
what efforts the commissioner has taken to or youth’s need for permanency. The child’s or
achieve the goal of the existing plan. youth’s health and safety shall be of paramount
356
concern in formulating such plan. If a permanency or the child’s attorney may file a motion seeking
plan is not approved by the judicial authority, it revocation of commitment. The judicial authority
shall order the filing of a revised plan and set a may revoke commitment if a cause for commit-
hearing to review said revised plan within sixty ment no longer exists and it is in the best interests
days. of the child or youth. Whether to revoke the com-
(f) As long as a child or youth remains in the mitment is a dispositional question, based on the
custody of the commissioner of the department prior adjudication, and the judicial authority shall
of children and families, the commissioner shall determine whether to revoke the commitment
file a motion for review of permanency plan and upon a fair preponderance of the evidence. The
for a finding regarding reasonable efforts to party seeking revocation of commitment has the
achieve the goal of the existing plan nine months burden of proof that no cause for commitment
after the prior permanency plan hearing. No later exists. If the burden is met, the party opposing the
than twelve months after the prior permanency revocation has the burden of proof that revocation
plan hearing, the judicial authority shall hold a would not be in the best interests of the child. If
subsequent permanency review hearing in a motion for revocation is denied, a new motion
accordance with this section. shall not be filed by the movant until at least six
(g) Whenever an approved permanency plan months have elapsed from the date of the filing
needs revision, the commissioner of the depart- of the prior motion unless waived by the judicial
ment of children and families shall file a motion authority.
for review of the revised permanency plan. The (Adopted June 30, 2008, to take effect Jan. 1, 2009;
commissioner shall not be precluded from initiat- amended June 20, 2011, to take effect Jan. 1, 2012.)
ing a proceeding in the best interests of the child Sec. 35a-15. Reunification Efforts—Aggra-
or youth considering the needs for safety and per- vating Factors
manency.
(h) Where a petition for termination of parental Whenever any party seeks a finding of the exis-
rights is granted, the guardian or statutory parent tence of an aggravating factor negating the
of the child or youth shall report to the judicial requirement that reasonable efforts be made to
authority not later than thirty days after the date reunify a child or youth with a parent, the movant
the judgment is entered on a permanency plan shall, file a motion requesting such finding and
and on the status of the child or youth. At least the judicial authority shall proceed in accordance
every three months thereafter, such guardian or with General Statutes § 17a-111b (b).
statutory parent shall make a report to the judicial (Adopted June 24, 2002, to take effect Jan. 1, 2003;
authority on the implementation of the plan, or
earlier if the plan changes before the elapse of Sec. 35a-16. Modifications
three months. The judicial authority may convene
Motions to modify dispositions are dispositional
a hearing upon the filing of a report and shall
in nature based on the prior adjudication, and
convene and conduct a permanency hearing for
the judicial authority shall determine whether a
the purpose of reviewing the permanency plan for
modification is in the best interests of the child or
the child no more than twelve months from the
youth upon a fair preponderance of the evidence.
date judgment is entered or from the date of the
last permanency hearing held in accordance with Unless filed by the commissioner of the depart-
General Statutes § 46b-129 (k), whichever is ear- ment of children and families, any modification
lier, and at least once a year thereafter while the motion to return a child or youth to the custody
child or youth remains in the custody of the com- of the parent without protective supervision shall
missioner of the department of children and fami- be treated as a motion for revocation of com-
lies. At each court hearing, the judicial authority mitment.
shall make factual findings whether or not reason- amended June 30, 2008, to take effect Jan. 1, 2009.)
able efforts to achieve the permanency plan or
promote adoption have been made. Sec. 35a-17. Motions to Review Plan for
(Adopted June 24, 2002, to take effect Jan. 1, 2003; Child Whose Parents’ Rights Have Been Ter-
amended June 30, 2008, to take effect Jan. 1, 2009; amended minated
Sec. 35a-14A. Revocation of Commitment
(Amended June 20, 2011, to take effect Jan. 1, 2012.) Sec. 35a-18. Opening Default
Where a child or youth is committed to the cus- Any order or decree entered through a default
tody of the commissioner of the department of may be set aside within four months succeeding
children and families, the commissioner, a parent the date of such entry of the order or decree upon
357
the written motion of any party or person preju- rendered, including orders regarding reinstate-
diced thereby, showing reasonable cause, or that ment pursuant to General Statutes § 45a-611 and
a defense in whole or in part existed at the time visitation pursuant to General Statutes § 45a-612,
of the rendition of such order or of such decree, and a copy of any appeal of a superior court deci-
and that the party so defaulted was prevented by sion in the matter.
mistake, accident or other reasonable cause from (b) The date of receipt by the superior court of
prosecuting or appearing to make the same, a transferred petition shall be the filing date for
except that no such order or decree shall be set determining initial hearing dates in the superior
aside if a final decree of adoption regarding the court. The date of receipt by the superior court
child has been issued prior to the filing of any of any court of probate issued ex parte order of
such motion. Such written motion shall be verified temporary custody not heard by that court shall
by the oath of the complainant and shall state in be the issuance date in the superior court.
general terms the nature of the claim or defense (c) Any appearance filed for any party in the
and shall particularly set forth the reason why the court of probate shall continue in the superior
party failed to appear. The judicial authority shall court until a motion to withdraw is filed by counsel
order reasonable notice of the pendency of such and granted by the court of probate or the superior
motion to be given to all parties to the action and court or another counsel files an ‘‘in lieu of’’
also, in the case of a motion to set aside a judg- appearance on behalf of the party. Counsel pre-
ment terminating parental rights, to any person viously appointed by the court of probate for indi-
who has legal custody of the child or who has gent parties or for the minor child(ren) and paid
physical custody of the child pursuant to an by probate court administration who remain on
agreement, including an agreement with the the case in superior court shall be paid by the
department of children and families or a licensed Public Defender Services Commission at the rate
child-placing agency. The judicial authority may of pay established by the commission. If a motion
enjoin enforcement of such order or decree until to withdraw is filed and granted and the party
the decision upon such written motion, unless said represented is indigent or is the child subject to
action shall prejudice or place the child’s or the proceedings, new counsel shall be assigned
youth’s health, safety or welfare in jeopardy. The and paid by the Public Defender Services Com-
initial hearing on said motion shall be held as a mission.
priority matter but no later than fifteen days after (d) (1) The superior court clerk shall notify
the same has been filed with the clerk, unless appearing parties in applications for removal of
otherwise agreed to by the parties and sanctioned guardian by mail of the date of the initial hearing
by the judicial authority. All hearings on motions which shall be held not more than thirty days from
to set aside a judgment terminating parental rights the date of receipt of the transferred application.
shall be conducted in accordance with the provi- Not less than ten days before the initial hearing,
sions of General Statutes § 45a-719. In the event the superior court clerk shall cause a copy of the
that any motion is granted, the matter shall be transfer order and probate petition for removal of
scheduled for an immediate pretrial or case status guardian and an advisement of rights notice to be
conference within fourteen days thereof, and fail- served on any nonappearing party or any party
ing a resolution at that time, then the matter shall not served within the last twelve months with an
be scheduled for a trial as expeditiously as accompanying order of notice and summons to
possible. appear at an initial hearing.
(Adopted June 24, 2002, to take effect Jan. 1, 2003; (2) Not less than ten days before the date of
amended June 30, 2008, to take effect Jan. 1, 2009; amended the initial hearing, the superior court clerk shall
June 14, 2013, to take effect Jan. 1, 2014.) cause a copy of the transfer order and probate
petition for termination of parental rights and an
Sec. 35a-19. Transfer from Probate Court of advisement of rights notice to be served on all
Petitions for Removal of Parent as Guardian parties, regardless of prior service, with an accom-
or Termination of Parental Rights panying order of notice and summons to appear
(a) When a contested application for removal at an initial hearing which shall be held not more
of parent as guardian or petition for termination than thirty days from the date of receipt of the
of parental rights or application to commit a child petition except in the case of a petition for termina-
or youth to a hospital for the mentally ill has been tion of parental rights based on consent which
transferred from the court of probate to the supe- shall be held not more than twenty days after the
rior court, the superior court clerk shall transmit filing of the petition.
to the probate court from which the transfer was (3) The superior court clerk shall mail notice of
made a copy of any orders or decrees thereafter the initial hearing date for all transferred petitions
358
to all counsel of record and to the commissioner (e) The hearing on a motion for post-disposi-
of the department of children and families or to tional modification of a guardianship order is dis-
any other agency which has been ordered by the positional in nature. The party seeking to modify
probate court to conduct an investigation pursuant the existing guardianship order has the burden
to General Statutes § 45a-619. The commissioner of proof to establish that the movant’s proposed
of the department of children and families or any guardian is suitable and worthy. The judicial
other investigating agency will be notified of the authority shall then determine if transfer of guard-
need to have a representative present at the ini- ianship to that proposed guardian is in the child’s
tial hearing. or youth’s best interest.
Sec. 35a-20. Motions for Reinstatement of
Parent or Former Legal Guardian as Guard- Sec. 35a-21. Appeals in Child Protection
ian or Modification of Guardianship Post- Matters
Disposition (Amended June 15, 2012, to take effect Jan. 1, 2013.)
(Amended June 30, 2008, to take effect Jan. 1, 2009; (a) Unless a different period is provided by stat-
amended June 20, 2011, to take effect Jan. 1, 2012.) ute, appeals from final judgments or decisions of
(a) Whenever a parent or former legal guardian the superior court in child protection matters shall
whose guardianship rights to a child or youth were be taken within twenty days from the issuance of
removed and transferred to another person or an notice of the rendition of the judgment or decision
agency other than the department of children and from which the appeal is taken or within twenty
families by the superior court for juvenile matters days from the granting of any extension to appeal
seeks reinstatement as that child’s or youth’s pursuant to Section 79a-2.
guardian, the parent or former legal guardian may (b) If an indigent party, child or youth wishes to
file a motion for reinstatement of guardianship appeal a final decision, the trial attorney shall file
with the court that ordered the transfer of guard-
an appeal or seek review by an appellate review
ianship. In other post-dispositional cases con-
attorney in accordance with the rules for appeals
cerning a child or youth whose legal guardianship
was transferred to a person other than a parent in child protection matters in Chapter 79a. The
or former legal guardian, or to an agency other reviewing attorney determining whether there is
than the department of children and families, any a nonfrivolous ground for appeal shall file a limited
person permitted to intervene may move the court ‘‘in addition to’’ appearance with the trial court for
to modify the award of guardianship. purposes of reviewing the merits of an appeal. If
(b) The clerk shall assign such motion a hearing the reviewing attorney determines there is merit
date and issue a summons to the current guardian to an appeal, such attorney shall file a limited ‘‘in
and the nonmoving parent or parents. The moving addition to’’ appearance for the appeal with the
party shall cause a copy of such motion and sum- appellate court. The trial attorney shall remain in
mons to be served on the child’s or youth’s current the underlying juvenile matters case in order to
legal guardian(s) and the nonmoving parent or handle ongoing procedures before the local or
parents. regional juvenile court. Any attorney who files an
(c) Before acting on such motion, the judicial appeal or files an appearance in the appellate
authority shall determine if the court still has cus- court after an appeal has been filed shall be
tody jurisdiction and shall request, if necessary, deemed to have appeared in the trial court for
that the commissioner of the department of chil- the limited purpose of prosecuting or defending
dren and families conduct an investigation and the appeal.
submit a home study that sets forth written find- (c) Unless a new appeal period is created pur-
ings and recommendations before rendering a suant to Section 79a-2 (a), the time to take an
decision. appeal shall not be extended past forty days, (the
(d) The hearing on a motion for reinstatement of original twenty days plus one twenty day exten-
guardianship is dispositional in nature. The party sion for appellate review), from the date of the
seeking reinstatement of guardianship has the issuance of notice of the rendition of the judgment
burden of proof to establish that cause for transfer or decision.
of guardianship to another person or agency no (Adopted June 24, 2002, to take effect Jan. 1, 2003;
longer exists. The judicial authority shall then amended June 30, 2008, to take effect Jan. 1, 2009; amended
determine if reinstatement of guardianship is in June 21, 2010, to take effect Jan. 1, 2011; amended June 15,
the child’s or youth’s best interest. 2012, to take effect Jan. 1, 2013.)
359
Sec. 35a-22. Where Presence of Person May (4) A foster parent, prospective adoptive parent
Be by Means of an Interactive Audiovisual or relative caregiver may appear and be heard on
Device the best interests of the child or youth pursuant
(a) The appearance of a person for any pro- to General Statutes § 46b-129 (o);
(5) A sibling of any child committed to the
ceeding set forth in subsection (b) of this section department of children and families, upon motion,
may, in the discretion of the judicial authority on may appear and be heard concerning visitation
motion of a party or on its own motion, be made with, and placement of, any such child pursuant
by means of an interactive audiovisual device. to General Statutes § 46b-129 (p);
Such audiovisual device must operate so that (6) A witness may testify in any proceeding in
such person and his or her attorney, if any, and the discretion of the judicial authority.
the judicial authority if the proceeding is in court, (c) Unless otherwise required by law or unless
can see and communicate with each other simul- otherwise ordered by the judicial authority, prior
taneously. In addition, a procedure by which such to any proceeding in which a person appears by
person and his or her attorney can confer in pri- means of an interactive audiovisual device, copies
vate must be provided. Nothing contained in this of all documents which may be offered at the
section shall be construed to establish a right for proceeding shall be provided to all counsel and
any person to be heard or to appear by means self-represented parties in advance of the pro-
of an interactive audiovisual device or to require ceeding.
the judicial branch to pay for such person’s
appearance by means of an interactive audiovi- Sec. 35a-23. Child’s Hearsay Statement;
sual device. Residual Exception
(b) A person may appear by means of an inter- (a) A party who seeks the admission of a hear-
active audiovisual device in juvenile matters in say statement of a child pursuant to the residual
the civil session, as defined by General Statutes exception to the hearsay rule, based upon psy-
§ 46b-121 (a), in the following proceedings or chological unavailability, shall provide a written
under the following circumstances: notice within a reasonable time before the trial.
(1) A party or a party’s representative in case (b) A notice pursuant to subsection (a) shall be
filed with the court and shall be served on all
status and case management conferences; counsel of record and self-represented parties
(2) If a parent or guardian is incarcerated in this when appropriate, in accordance with Section 10-
state, he or she may participate in plea hearings, 13. The notice shall identify the proffered state-
judicial pretrials, order of temporary custody and ment, the basis for the psychological unavailability
termination of parental rights (TPR) case manage- claim and shall be filed within a reasonable time
ment conferences, reviews of protective supervi- before the trial.
sion, permanency plan hearings, case status (c) A party who objects to the introduction of
conferences, preliminary order of temporary cus- the child’s hearsay statement and challenges the
tody hearings, neglect plea and disposition by representations contained in the notice filed pur-
agreement, neglect trials, TPR plea hearings, suant to subsection (b) of this section, shall file a
canvass of consents to TPR, contested transfer written objection with the court within a reasonable
of guardianship hearings, motions to revoke com- time before the trial, stating the reasons therefor.
mitment, emancipation petitions, and motions to (d) The judicial authority shall hold an eviden-
reinstate guardian; tiary hearing to determine the admissibility of the
(3) If a parent or guardian is incarcerated in child’s hearsay statement in a manner that does
not unduly delay resolution of the proceedings.
a federal correctional facility or another state’s The party seeking to introduce the statement shall
correctional facility, he or she may participate in have the burden of proving the child’s psychologi-
all matters set forth in subdivision (2) above and cal unavailability; specifically, that the child will
in contested hearings including, but not limited to, suffer serious emotional or mental harm if required
temporary custody hearings, neglect or uncared to testify.
for proceedings or TPR trials; (Adopted June 14, 2013, to take effect Jan. 1, 2014.)
360
SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERS Sec. 36-3
SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERS

CHAPTER 36
PROCEDURE PRIOR TO APPEARANCE
Sec. Sec.
36-1. Arrest by Warrant; Issuance 36-11. Information and Complaint; Use
36-2. —Affidavit in Support of Application, Filing, Dis- 36-12. —Issuance of Information
closure 36-13. —Form of Information
36-3. —Contents of Warrant 36-14. —Former Conviction in Information
36-4. —Direction by Judicial Authority for Use of 36-15. —Filing and Availability of Information
Summons 36-16. Amendments; Minor Defects
36-5. —Execution and Return of Warrant 36-17. —Substantive Amendment before Trial
36-6. —Cancellation of Warrant 36-18. —Substantive Amendment after Commencement
36-7. Summons; Form of Summons and Complaint of Trial
36-8. —Issuance of Summons by Prosecuting Authority 36-19. —Request by Defendant for Essential Facts
in Lieu of Arrest Warrant 36-20. —Continuance Necessitated by Amendment
36-9. —Service of Summons 36-21. Joinder of Offenses in Information
36-10. —Failure to Respond to Summons 36-22. Joinder of Defendants
Sec. 36-1. Arrest by Warrant; Issuance (c) Any order sealing such affidavits from public
Upon the submission of an application for an inspection or limiting their disclosure shall be for
arrest warrant by a prosecuting authority, a judicial a specific period of time, not to exceed two weeks
authority may issue a warrant for the arrest of an from the date of arrest, and within that time period
accused person if the judicial authority determines the prosecuting authority may by written motion
that the affidavit accompanying the application seek an extension of the period. The original order
shows that there is probable cause to believe that of the court sealing the affidavit or limiting its dis-
an offense has been committed and that the closure shall remain in effect until the court issues
accused committed it. an order on the motion. The motion to extend the
(P.B. 1978-1997, Sec. 593.) period and the court’s order thereon shall be made
in accordance with the provisions of Section 42-
Sec. 36-2. —Affidavit in Support of Applica-
49A. Affidavits which are the subject of such an
tion, Filing, Disclosure
order shall remain in the custody of the clerk’s
(a) All affidavits submitted to the judicial author- office but shall be kept in a secure location apart
ity in support of the application for an arrest war- from the remainder of the court file as long as the
rant and from which a determination of probable order is in effect.
cause for the issuance of an arrest warrant has (d) Unless the judicial authority issuing an arrest
been made shall be filed with the clerk of the warrant has, upon written request of the prosecut-
court together with the return of the arrest warrant ing authority, entered an order limiting disclosure
pursuant to Section 44-11 and thereafter remain of the supporting affidavits, all affidavits filed pur-
a part of the court file. suant to this section shall be open to public
(b) At the time the arrest warrant is issued, upon inspection and copying and the clerk shall provide
written request of the prosecuting authority and copies to any person upon receipt of any applica-
for good cause shown, the judicial authority may ble fee.
order that the supporting affidavits be sealed from (P.B. 1978-1997, Sec. 593A.) (Amended May 14, 2003, to
public inspection or that disclosure be limited take effect July 1, 2003; amended June 21, 2004, to take
under such terms and conditions as it finds rea- effect Jan. 1, 2005; amended June 22, 2009, to take effect
sonable, subject to the further order of any judicial Jan. 1, 2010.)
authority thereafter having jurisdiction of the mat-
ter. No such order shall limit their disclosure to the Sec. 36-3. —Contents of Warrant
attorney for the accused, but the judicial authority The warrant shall be signed by the judicial
may place reasonable restrictions on the attor- authority and shall contain the name of the
ney’s further disclosure of the contents of the affi- accused person, or if such name is unknown, any
davits. name or description by which the accused can
361
Sec. 36-3 SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERS
be identified with reasonable certainty, and the judicial authority for cancellation. A judicial author-
conditions of release fixed, if any. It shall state ity also may direct that any unserved arrest war-
the offense charged and direct any officer author- rant be returned for cancellation.
ized to execute it to arrest the accused person (P.B. 1978-1997, Sec. 597.)
and to bring him or her before a judicial authority Sec. 36-7. Summons; Form of Summons
without undue delay. and Complaint
(P.B. 1978-1997, Sec. 594.)
A summons and complaint issued by a prose-
Sec. 36-4. —Direction by Judicial Authority cuting authority or law enforcement officer shall:
for Use of Summons (1) Be in writing;
(2) Be signed by the person issuing it with the
(a) Instead of issuing an arrest warrant, even title of such person’s office;
where probable cause has been found, the judicial (3) State the date of issuance and the munici-
authority may direct that a summons and com- pality where issued;
plaint be issued to an accused person pursuant (4) Specify the name of the accused person;
to Sections 36-7 through 36-10, unless the judicial (5) Designate a time for appearance not more
authority determines that it is necessary to take than fourteen days after issuance;
the accused into custody for any of the follow- (6) State the offense charged against the
ing reasons: accused person;
(1) The criminal offense involved is a felony; (7) State that if the accused does not appear
(2) There are facts indicating a substantial likeli- at a specified time and place, an application may
hood that such person will not appear in court at be made for the issuance of a warrant for arrest;
the specified time and place unless taken into (8) Inform the accused that he or she is entitled
custody; to be represented by an attorney;
(3) Such person is likely to cause injury to him- (9) Inform any accused charged with an offense
self or herself or to others, or is likely to cause punishable by incarceration who is unable to
serious damage to property; afford an attorney that he or she may be entitled
(4) The offense is likely to continue if such per- to the services of a public defender.
(P.B. 1978-1997, Sec. 599.)
son is not taken into custody;
(5) Custody is necessary for the protection of Sec. 36-8. —Issuance of Summons by Pros-
such person or to provide that person with needed ecuting Authority in Lieu of Arrest Warrant
medical or other aid; When a prosecuting authority receives a com-
(6) The person fails satisfactorily to identify him- plaint that a misdemeanor has been committed,
self or herself; or in lieu of applying for an arrest warrant, the prose-
(7) The person has previously failed to appear cuting authority may summon the person or per-
in court when required to do so. sons against whom the complaint is made to
appear before the court at the date and time speci-
(b) The failure to comply with this section shall
fied in the summons. The prosecuting authority
not be a ground for dismissal of an information,
also may issue a summons when directed to do
but shall entitle the accused to be released upon so by the judicial authority pursuant to Section
a written promise to appear where none of the 36-4.
foregoing reasons shall be found to exist. (P.B. 1978-1997, Sec. 601.)
(P.B. 1978-1997, Sec. 595.)
Sec. 36-9. —Service of Summons
Sec. 36-5. —Execution and Return of The summons and complaint shall be served
Warrant upon the accused by any law enforcement officer
The officer executing an arrest warrant may do by delivering a copy to the accused personally,
so anywhere within the state upon apprehension or by leaving it at the accused’s usual place of
of the accused. The officer shall take the accused abode with a person of suitable age and discretion
into custody, serve a copy of the warrant upon then residing therein, or by mailing it by registered
him or her and follow the procedure specified in or certified mail to the last known address of
Sections 38-1 or 38-2, whichever is applicable. the accused.
(P.B. 1978-1997, Sec. 602.)
(P.B. 1978-1997, Sec. 596.)
Sec. 36-10. —Failure to Respond to Sum-
Sec. 36-6. —Cancellation of Warrant mons
At the request of the prosecuting authority, any Upon the failure of the officer to make due return
unserved arrest warrant shall be returned to a of a summons within two weeks of its issuance,
362
or upon the failure of the accused to respond to the (3) The name of the defendant;
summons, the prosecuting authority may apply for (4) A statement that such crime was committed
the arrest of the accused. in a particular judicial district or geographical area,
(P.B. 1978-1997, Sec. 603.) or at a particular place within such judicial district
or geographical area; and
Sec. 36-11. Information and Complaint; Use
(5) A statement that such crime was committed
All felonies shall be prosecuted by information. on, or on or about, a particular date or period
All misdemeanors, violations, and infractions shall of time.
be prosecuted by information or complaint. In all (P.B. 1978-1997, Sec. 618.)
jury cases, and in all other cases on written
request of the defendant, the prosecuting author- Sec. 36-14. —Former Conviction in Infor-
ity as of course shall issue an information in place mation
of the uniform summons and complaint. Where the information alleges, in addition to
(P.B. 1978-1997, Sec. 616.) the principal offense charged, a former conviction
or convictions, such information shall be in two
Sec. 36-12. —Issuance of Information
separate parts, each signed by the prosecuting
An information shall be signed by the prosecut- authority. In the first part, the particular offense
ing authority. When any person is arrested without with which the accused is charged shall be set
a warrant or is issued a summons, the prosecuting out, and in the other part the former conviction or
authority shall, without unnecessary delay, review convictions shall be alleged. In alleging the former
the acts complained of and determine whether it conviction, it is sufficient that the information
appears that there is reasonable cause to believe allege the date when, the town or city where, and
that an offense has been committed within the the court wherein such conviction was obtained
jurisdiction of the court and that the person and the crime of which the defendant was con-
arrested or the person to whom the summons was victed, all of which may be stated in accordance
issued committed the offense. If the prosecuting with the provisions of Section 36-13.
authority determines that reasonable cause (P.B. 1978-1997, Sec. 619.)
exists, it shall, in cases where an information is
required, present an information to the court, pur- Sec. 36-15. —Filing and Availability of Infor-
suant to Section 36-11. If the prosecuting authority mation
determines that reasonable cause does not exist, The information or complaint shall be filed with
it shall not present the matter to the court, but an the clerk and be available for inspection by the
entry shall be made on the case papers indicating defendant or counsel for the defendant. Upon writ-
that prosecution was declined upon authority of ten request, a copy thereof shall be furnished with-
this section, and a brief statement shall be made out charge to the defendant or counsel for the
in open court. For purposes of erasure pursuant defendant.
to the General Statutes, that action shall be (P.B. 1978-1997, Sec. 620.)
deemed a dismissal.
(P.B. 1978-1997, Sec. 617.) Sec. 36-16. Amendments; Minor Defects
The judicial authority may order at any time
Sec. 36-13. —Form of Information such relief as is required to remedy any defect,
The information shall be a plain, concise and imperfection or omission in the information or
definite written statement of the offense charged. complaint, including the following:
The information need not contain a formal com- (1) Any matter of form;
mencement, a formal conclusion or any other mat- (2) Any miswriting, misspelling, or improper
ter not necessary to such statement. Allegations English;
made in one count may be incorporated by refer- (3) Any misuse of a sign, symbol, figure, or
ence in another count. It may be alleged in a single abbreviation; or
count that the means by which the defendant com- (4) Any omission of the true name or any mis-
mitted the offense are unknown or that the defend- spelling of the name of the defendant.
ant committed the offense by one or more (P.B. 1978-1997, Sec. 622.)
specified means. The information shall state for
each count the official or customary citation of the Sec. 36-17. —Substantive Amendment before
statute, rule, regulation, or other provision of law Trial
which the defendant is alleged to have violated. If the trial has not commenced, the prosecuting
The information shall also contain: authority may amend the information, or add addi-
(1) The name of the court in which it is filed; tional counts, or file a substitute information. Upon
(2) The title of the action; motion of the defendant, the judicial authority, in
363
its discretion, may strike the amendment or added annexing thereto a statement of the essential facts
counts or substitute information, if the trial or the claimed to constitute the offense charged. Such
cause would be unduly delayed or the substantive request shall be made not later than ten days
rights of the defendant would be prejudiced. after the first pretrial conference unless otherwise
(P.B. 1978-1997, Sec. 623.) directed by the judicial authority for good cause
shown.
Sec. 36-18. —Substantive Amendment after (P.B. 1978-1997, Sec. 625.)
Commencement of Trial
Sec. 36-20. —Continuance Necessitated by
After commencement of the trial for good cause Amendment
shown, the judicial authority may permit the prose- Within the judicial authority’s discretion, an
cuting authority to amend the information at any extension of time, an adjournment, or a continu-
time before a verdict or finding if no additional or ance reasonably necessitated by an amendment
different offense is charged and no substantive may be granted.
rights of the defendant would be prejudiced. An (P.B. 1978-1997, Sec. 626.)
amendment may charge an additional or different
offense with the express consent of the defendant. Sec. 36-21. Joinder of Offenses in Infor-
(P.B. 1978-1997, Sec. 624.) mation
Two or more offenses may be charged in the
Sec. 36-19. —Request by Defendant for same information in a separate count for each
Essential Facts offense for any defendant.
Whenever the information charges the offense (P.B. 1978-1997, Sec. 627.)
only by referring to the statute which is alleged Sec. 36-22. Joinder of Defendants
to have been violated, the prosecuting authority, Each defendant shall be charged in a sepa-
upon written request of the defendant, shall as rate information.
of course amend the information by adding or (P.B. 1978-1997, Sec. 628.)
364
CHAPTER 37
ARRAIGNMENT
Sec. Sec.
37-1. Arraignment; Timing 37-6. —Appointment of Public Defender
37-2. —Information and Materials to Be Provided to the 37-7. Pleas; In General
Defendant Prior to Arraignment 37-8. —Plea of Guilty or Nolo Contendere
37-9. —Plea of Not Guilty
37-3. —Advisement of Constitutional Rights 37-10. —Taking of Plea when Information in Two Parts
37-4. —Collective Statement Advising of Constitutional 37-11. —Notice to Defendant when Information in Two
Rights Parts
37-5. —Reference to Public Defender; Investigation of 37-12. Defendant in Custody; Determination of Probable
Indigency Cause
Sec. 37-1. Arraignment; Timing Statutes § 54-64b or by a judicial authority pursu-

A defendant who is not released from custody ant to General Statutes § 54-1b, either individually
sooner shall be brought before a judicial authority or collectively of the following:
no later than the first court day following arrest. (1) That the defendant is not obligated to say
Any defendant who is hospitalized, has escaped, anything and that anything the defendant says
or is otherwise incapacitated shall be presented may be used against him or her;
no later than the next court day following such (2) That the defendant is entitled to the services
defendant’s medical discharge or return to police of an attorney;
custody. A defendant not in custody shall appear (3) If the defendant is unable to pay for one,
for arraignment in person at the time and place what the procedures are through which the ser-
specified in the summons or the terms of release, vices of an attorney will be provided for him or
or at such other date or place fixed by the judi- her; and
cial authority. (4) That the defendant will not be questioned
(P.B. 1978-1997, Sec. 635.) unless he or she consents, that the defendant
may consult with an attorney before being ques-
Sec. 37-2. —Information and Materials to Be tioned and that the defendant may have an attor-
Provided to the Defendant Prior to Ar- ney present during any questioning.
raignment (P.B. 1978-1997, Sec. 637.)
Prior to the arraignment of the defendant before Sec. 37-4. —Collective Statement Advising
the judicial authority to determine the existence of of Constitutional Rights
probable cause to believe such person committed If the judicial authority shall have collectively
the offense charged or to determine the conditions informed all defendants of their rights at the open-
of such person’s release pursuant to Section 38- ing of court, it shall preface the individual arraign-
4, the prosecuting authority shall provide the ment of each by asking whether he or she heard
defendant or counsel with a copy of any affidavit and understood the collective statement.
or report submitted to the court for the purpose (P.B. 1978-1997, Sec. 638.)
of making such determination; except that the judi-
cial authority may, upon motion of the prosecuting Sec. 37-5. —Reference to Public Defender;
authority and for good cause shown, limit the dis- Investigation of Indigency
closure of any such affidavit or report, or por- The judicial authority shall refer the defendant
tion thereof. to the public defender for an investigation of indi-
(P.B. 1978-1997, Sec. 635A.) gency unless the judicial authority:
(1) Accepts the defendant’s waiver of counsel
Sec. 37-3. —Advisement of Constitutional in accordance with Section 44-3;
Rights (2) Is informed by the defendant, and con-
The judicial authority shall personally, at the cludes, that the defendant has retained or will
opening of the court session, in open court, advise retain private counsel within a reasonable time;
the defendant, or the defendants, unless pre- (3) Decides to dispose of the case in accord-
viously so advised by a clerk pursuant to General ance with Section 44-1 (2); or
365
(4) Learns that the public defender has already the judicial authority shall set a date for the sen-
conferred with the defendant at some time follow- tencing hearing and, if necessary, order a presen-
ing arrest and that the investigation of indigency tence investigation.
has been made. (P.B. 1978-1997, Sec. 644.)
(P.B. 1978-1997, Sec. 640.)
Sec. 37-9. —Plea of Not Guilty
Sec. 37-6. —Appointment of Public De- Any defendant who pleads not guilty shall be
fender asked whether he or she desires a trial either by
(a) If the judicial authority determines after the court or by a jury. Pursuant to these rules,
investigation by the public defender that the including Sections 44-11 through 44-17, the case
defendant is indigent, the judicial authority may shall be placed on the trial list and, where possible
designate the public defender or a special public or necessary, assigned dates for a disposition
defender to represent the defendant unless, in a conference, a probable cause hearing, and/or a
misdemeanor case, at the time of the application trial.
for appointment of counsel, the judicial authority (P.B. 1978-1997, Sec. 645.)
decides or believes that disposition of the pending
case will not result in a sentence involving incar- Sec. 37-10. —Taking of Plea when Informa-
ceration or a suspended sentence of incarceration tion in Two Parts
with a period of probation or conditional discharge, Where the information is in two parts pursuant
and makes a statement to that effect on the to Section 36-14 and alleges, in addition to the
record. If the public defender or his or her office principal offense charged, a former conviction or
determines that a defendant is not eligible to convictions, the plea and the election of a method
receive the services of a public defender, the of trial shall first be taken only on the first part of
defendant may appeal the public defender’s deci- the information.
sion to the judicial authority in accordance with (P.B. 1978-1997, Sec. 647.)
General Statutes § 51-297 (g). The judicial author-
ity may not appoint the public defender unless Sec. 37-11. —Notice to Defendant when
the judicial authority finds the defendant indigent Information in Two Parts
following such appeal. If a conflict of interest or (Amended June 15, 2012, to take effect Jan. 1, 2013.)
other circumstance exists which prevents the pub- Prior to the time the defendant enters a guilty
lic defender from representing the defendant, the plea, or, if the defendant pleads not guilty, prior
judicial authority, upon recommendation of the to the commencement of trial, the court shall notify
public defender or upon its own motion, may the defendant of the contents of the second part
appoint a special public defender to represent of the information. The clerk shall enter on the
the defendant. docket the time and place of the giving of such
(b) The fact that the judicial authority, in a mis- notification and, where necessary, shall include
demeanor case, decides or believes that disposi- entry thereof in the judgment file.
tion of the pending case will not result in a (P.B. 1978-1997, Sec. 648.) (Amended June 15, 2012, to
sentence involving incarceration or a suspended
sentence of incarceration with a period of proba- Sec. 37-12. Defendant in Custody; Determi-
tion or conditional discharge, shall not preclude nation of Probable Cause
the judicial authority from appointing, in its discre-
(a) If a defendant has been arrested without a
tion, a public defender or a special public defender
warrant and has not been released from custody
to represent an indigent defendant.
(P.B. 1978-1997, Sec. 641.)
by the time of the arraignment or is not released
at the arraignment pursuant to Section 38-4, the
Sec. 37-7. Pleas; In General judicial authority shall, unless waived by the
Upon being read the charges against him or defendant, make an independent determination
her contained in the information or complaint, the as to whether there is probable cause for believing
defendant shall enter a plea of not guilty, guilty, that the offense charged has been committed by
or nolo contendere. the defendant. Unless such a defendant is
(P.B. 1978-1997, Sec. 643.) released sooner, such probable cause determina-
tion shall be made no later than forty-eight hours
Sec. 37-8. —Plea of Guilty or Nolo Con- following the defendant’s arrest. Such determina-
tendere tion shall be made in a nonadversary proceeding,
A plea of guilty or nolo contendere shall be which may be ex parte based on affidavits. If no
entered in accordance with Sections 39-1 and 39- such probable cause is found, the judicial author-
18. If the case is to be continued for sentencing, ity shall release the defendant from custody.
366
(b) At the time the judicial authority makes its a specific period of time, not to exceed two weeks
probable cause determination pursuant to sub- from the date of the court’s probable cause deter-
section (a), the judicial authority may, on its own mination, and within that time period the party who
motion or upon written request of any party and obtained the order may, by written motion, seek
for good cause shown, order that any affidavits an extension of the period. The original order of
submitted in support of a finding of probable the court sealing such affidavits or limiting their
cause, including any police reports, be sealed disclosure shall remain in effect until the court
from public inspection or that disclosure be limited issues an order on the motion. Affidavits which
under such terms and conditions as it finds rea- are the subject of such an order shall remain in
sonable, subject to the further order of any judicial the custody of the clerk’s office but shall be kept
authority thereafter having jurisdiction of the mat- in a secure location apart from the remainder of
ter. If such a request has been granted, the mov- the file as long as the order is in effect.
ing party may have up to seven days to make a (d) Unless the judicial authority entered an order
recommendation as to the details of the sealing limiting disclosure of the affidavits submitted to the
order. If no such recommendation is made within judicial authority in support of a finding of probable
that time period, the supporting affidavits shall cause, whether or not probable cause has been
be made public. No such order shall limit their found, all such affidavits, including any police
disclosure to the attorney for the accused, but the reports, shall be made part of the court file and
judicial authority may place reasonable restric- be open to public inspection and copying, and
tions on the further disclosure of the contents of the clerk shall provide copies to any person upon
the affidavits by the attorney for the accused and receipt of any applicable fee.
the prosecuting authority. (P.B. 1978-1997, Sec. 650.) (Amended June 29, 2007, to
(c) Any order sealing such affidavits from public take effect Jan. 1, 2008; amended June 22, 2009, to take
inspection or limiting their disclosure shall be for effect Jan. 1, 2010.)
367
CHAPTER 38
PRETRIAL RELEASE
Sec. Sec.
38-1. Release from Custody; Superior Court Arrest War- 38-12. Attorneys Not Allowed to Give Bonds
rant where Appearance before Clerk Required 38-13. Bail Modification; In General
38-2. Release Following Any Other Arrest; Release by 38-14. —Motion of Parties for Bail Modification
Law Enforcement Officers 38-15. —Application of Bail Commissioner
38-3. —Release by Bail Commissioner 38-16. —Application of Surety
38-4. —Release by Judicial Authority 38-17. —Hearing on Motion or Application for Modification
38-5. —Release by Correctional Officials of Bail
38-6. Appearance after Release 38-18. —Review of Detention Prior to Arraignment, Trial
38-7. Cash Bail or Sentencing
38-8. Ten Percent Cash Bail 38-19. Violation of Conditions of Bail; Order to Appear
38-9. Real Estate Bond 38-20. —Sanctions for Violation of Conditions of Release
38-10. Factors to Be Considered by the Judicial Authority 38-21. —Forfeiture of Bail and Rearrest Warrant
in Release Decision [Repealed] 38-22. Rebate of Forfeited Bonds
38-11. Request for Judicial Determination of Release 38-23. Discharge of Surety’s Obligation
Sec. 38-1. Release from Custody; Superior arrested for an offense which is not bailable, the
Court Arrest Warrant where Appearance defendant shall be presented before a judicial
before Clerk Required authority pursuant to Section 37-1.
(P.B. 1978-1997, Sec. 654.)
When any person is arrested on a warrant pur-
suant to General Statutes § 54-2a in which the Sec. 38-2. Release Following Any Other
judicial authority issuing such warrant has indi- Arrest; Release by Law Enforcement
cated that bail should be denied, or has ordered Officers
that the arrested person be brought before a clerk Except in cases of arrest pursuant to a warrant
or assistant clerk of the superior court, the in which the judicial authority has indicated that
arresting officer shall, without undue delay, bring bail should be denied or has ordered that the
such person before the clerk or assistant clerk of arrested person be brought before a clerk or assis-
the superior court for the geographical area where tant clerk of the superior court, when any person
such offense is alleged to have been committed, is taken into custody for a bailable offense that
during the office hours of such clerk, and if such person shall be brought promptly to a police sta-
clerk’s office is not open, the arresting officer shall, tion or other lawful place of detention, where, as
without undue delay, bring such person to a hold- quickly as possible under the circumstances, he
ing facility within the geographical area where or she shall be informed or warned in writing of
such offense is alleged to have been committed his or her rights under Section 37-3 and of his or
or, if there is no such facility available within such her right to be interviewed concerning the terms
geographical area, to the nearest available facility. and conditions of release. Unless the defendant
Such clerk or assistant clerk or such person desig- waives or refuses such interview, a law enforce-
nated by the commissioner of correction shall ment officer shall promptly interview that person
advise the defendant of the warnings contained to obtain information relevant to the terms and
in Section 37-3 and shall release the defendant conditions of his or her release from custody and
upon his or her meeting the conditions of release shall seek independent verification of such infor-
fixed in the warrant. If the defendant was brought mation where necessary. At the request of the
to such a facility he or she shall be given the defendant, his or her counsel may be present
opportunity to contact private counsel or the public during such interview. After such a waiver, refusal
defender. If the defendant is not released because or interview, the law enforcement officer shall
of his or her failure to enter into the conditions of promptly order release of the defendant upon his
release fixed by the judicial authority the defend- or her execution of a written promise to appear
ant shall be presented before a judicial authority or his or her posting of a bond with or without
pursuant to Sections 37-1 and 37-4. If the defend- surety in such amount as may be set by such
ant is not released because he or she has been officer, except that no condition of release set by
368
the court or a judge thereof may be modified by obtained during the interview and verification pro-
such officer. If the defendant has not posted bail, cess, the defendant’s prior criminal record, if pos-
the officer shall immediately notify a bail commis- sible, the determination or recommendation of the
sioner. The officer may administer such oaths as bail commissioner concerning terms and condi-
are necessary in the taking of promises or bonds. tions of release, and, where applicable, a state-
(P.B. 1978-1997, Sec. 656.) ment that the defendant was unable to meet
conditions of release ordered by the bail commis-
Sec. 38-3. —Release by Bail Commissioner sioner.
(a) Upon notification by a law enforcement offi- (P.B. 1978-1997, Sec. 657.) (Amended June 29, 1998, to
cer that a defendant has not posted bail, a bail effect Jan. 1, 2014.)
commissioner shall promptly conduct an interview
and investigation and, based upon release criteria Sec. 38-4. —Release by Judicial Authority
established by the chief bail commissioner, shall (a) When any defendant is presented before a
promptly order the release of the defendant upon judicial authority, such authority shall, in bailable
the first of the following conditions of release found offenses, promptly order the release of such per-
sufficient to ensure the defendant’s appearance son upon the first of the following conditions of
in court and to reasonably ensure that the safety release found sufficient reasonably to assure the
of any other person will not be endangered: person’s appearance in court and, when the
(1) The defendant’s execution of a written prom- crimes charged or the facts and circumstances
ise to appear without special conditions; brought to the attention of the judicial authority
(2) The defendant’s execution of a written prom- suggest that the defendant may pose a risk to the
ise to appear with any of the nonfinancial condi- physical safety of any person, that the safety of
tions specified in subsection (b) of this section; any person will not be endangered:
(3) The defendant’s execution of a bond without (1) The defendant’s execution of a written prom-
surety in no greater amount than necessary; ise to appear without special conditions;
(2) The defendant’s execution of a written prom-
(4) The defendant’s execution of a bond with ise to appear with nonfinancial conditions;
surety in no greater amount than necessary. (3) The defendant’s execution of a bond without
(b) In addition to or in conjunction with any of surety in no greater amount than necessary;
the conditions enumerated in subdivisions (1) to (4) The defendant’s deposit with the clerk of the
(4), inclusive, of subsection (a) of this section, court of an amount of cash equal to 10 percent
the bail commissioner may impose nonfinancial of the amount of the surety bond set, pursuant to
conditions of release, which may require that the Section 38-8;
defendant do any of the following: (5) The defendant’s execution of a bond with
(1) Remain under the supervision of a desig- surety in no greater amount than necessary;
nated person or organization; (6) The defendant’s execution of a cash bond
(2) Comply with specified restrictions on his or and his or her deposit with the clerk of the court
her travel, association or place of abode; of cash in the amount of the bond set by the
(3) Not engage in specified activities, including judicial authority in no greater amount than nec-
the use or possession of a dangerous weapon, essary.
an intoxicant or a controlled substance; In addition to or in conjunction with any of the
(4) Avoid all contact with an alleged victim of conditions of release enumerated in this subsec-
the crime and with a potential witness who may tion, the judicial authority may impose one or more
testify concerning the offense; or nonfinancial conditions of release pursuant to
subsection (d).
(5) Satisfy any other condition that is reasonably (b) The judicial authority may, in determining
necessary to ensure the appearance of the what conditions of release will reasonably assure
defendant in court and that the safety of any other the appearance of the defendant in court, consider
person will not be endangered. factors (1) through (7) below, and, when the
Any of the conditions imposed under subsection crimes charged or the facts and circumstances
(a) of this section and this subsection by the bail brought to the attention of the judicial authority
commissioner shall be effective until the appear- suggest that the defendant may pose a risk to the
ance of such person in court. physical safety of any person, the judicial authority
(c) The bail commissioner shall prepare for may also consider factors (8) through (10) below:
review by the judicial authority an interview record (1) The nature and circumstances of the
and a written report for each person interviewed. offense, including the weight of the evidence
The written report shall contain the information against the defendant;
369
(2) The defendant’s record of previous con- (6) Maintain employment or, if unemployed,
victions; actively seek employment;
(3) The defendant’s past record of appearance (7) Maintain or commence an educational
in court after being admitted to bail; program;
(4) The defendant’s family ties; (8) Be subject to electronic monitoring; or
(5) The defendant’s employment record; (9) Satisfy any other condition that is reasonably
(6) The defendant’s financial resources, char- necessary to assure the appearance of the
acter, and mental condition; defendant in court and that the safety of any other
(7) The defendant’s community ties; person will not be endangered.
(8) The defendant’s history of violence;
(e) The judicial authority shall state on the
(9) Whether the defendant has previously been
record its reasons for imposing any such nonfi-
convicted of similar offenses while released on
bond; and nancial condition.
(10) The likelihood based upon the expressed (f) The judicial authority may require that the
intention of the defendant that he or she will com- defendant subject to electronic monitoring pursu-
mit another crime while released. ant to subsection (d) of this section pay directly
(c) In addition to or in conjunction with any of to the electronic monitoring service provider a fee
the conditions enumerated in subdivisions (1) to for the cost of such electronic monitoring services.
(6) of subsection (a), the judicial authority may, If the judicial authority finds that the defendant
when it has reason to believe that the defendant subject to electronic monitoring is indigent and
is drug-dependent and where necessary, reason- unable to pay the costs of electronic monitoring
able and appropriate, order the person to submit services, it shall waive such costs.
to a urinalysis drug test and to participate in a (P.B. 1978-1997, Sec. 658.) (Amended June 20, 2005, to
program of periodic drug testing and treatment. take effect Jan. 1, 2006; amended June 26, 2006, to take
The results of any such drug test shall not be effect Jan. 1, 2007; amended June 15, 2012, to take effect
admissible in any criminal proceeding concerning Jan. 1, 2013.)
such defendant.
Sec. 38-5. —Release by Correctional Offi-
(d) If the judicial authority determines that a
cials
nonfinancial condition of release should be
imposed in addition to or in conjunction with any Any person who has not made bail shall be
of the conditions enumerated in subdivisions (1) detained in a correctional facility and shall be
to (6) of subsection (a) of this section, the judicial released from such institution upon entering into
authority shall order the pretrial release of the a recognizance, with sufficient surety, or upon
defendant subject to the least restrictive condition posting cash bail as provided in Sections 38-7
or combination of conditions that the judicial and 38-9 for his or her appearance before the
authority determines will reasonably assure the court having cognizance of the offense, which are
appearance of the defendant in court and, when to be taken by any person designated by the com-
the crimes charged or the facts and circumstances missioner of correction at such institution where
brought to the attention of the judicial authority such person is detained. Such person so desig-
suggest that the defendant may pose a risk to the nated shall deliver the recognizance or cash bail
physical safety of any person, that the safety of to the clerk of the appropriate court before the
any person will not be endangered, which condi- opening of such court on the first court day
tions may include an order that he or she do one
thereafter.
or more of the following:
(P.B. 1978-1997, Sec. 659.)
(1) Remain under the supervision of a desig-
nated person or organization; Sec. 38-6. Appearance after Release
(2) Comply with specified restrictions on his or
her travel, association or place of abode; The person taking any promise or bond shall
(3) Not engage in specified activities, including give the defendant released thereunder a copy
the use or possession of a dangerous weapon, of such promise or bond, which shall notify the
an intoxicant or a controlled substance; defendant of the time when and the place where
(4) Provide sureties of the peace pursuant to he or she is next to appear and of the penalty for
General Statutes § 54-56f under supervision of a failure to appear. The initial appearance date shall
designated bail commissioner; not be more than fourteen days after the date of
(5) Avoid all contact with an alleged victim of arrest, unless the defendant has been arrested
the crime and with a potential witness who may for a crime of family violence, in which case the
testify concerning the offense; defendant shall be promptly presented before the
370
superior court sitting next regularly for the geo- office of the chief court administrator in the office
graphical area where the offense is alleged to of the town clerk of the town in which the property
have been committed. is located; (2) a current certificate of title from an
(P.B. 1978-1997, Sec. 661.) attorney containing a listing of all encumbrances
Sec. 38-7. Cash Bail of record including the notice of lien; (3) one inde-
pendent appraisal by a licensed real estate
In any criminal case in which a bond is allowed appraiser prepared within ninety days of applica-
or required and the amount thereof has been tion as to present fair market value; and (4) an
determined, the defendant, or any person in his affidavit by each owner of the property setting
or her behalf, may deposit with the clerk of the forth (A) the location of the property, (B) the affi-
court having jurisdiction of the offense with which ant’s ownership interest therein, (C) the amount
the defendant stands charged, or any assistant of the affiant’s equity in the property, (D) the pre-
clerk of such court who is bonded in the same sent fair market value as shown on the appraisal,
manner as the clerk, or any person or officer (E) the present amount of each encumbrance of
authorized to accept bail, a sum of money equal
record filed prior to the notice of lien required by
to the amount called for by such bond, and such
this subsection, and the present amount of any
defendant shall thereupon be admitted to bail.
When cash bail is offered, such bond shall be tax liabilities, and (F) whether the same property
executed and the money shall be received in lieu is pledged as security for any other bonds under
of a surety or sureties upon such bond. Such cash this section or for any other purpose.
bail shall be retained by the clerk of such court (c) All record owners of the property as well
until a final order of the judicial authority disposing as the accused shall enter into a bond for the
of the case is entered, provided that if such bond appearance of the accused.
is forfeited, the clerk of such court shall pay the (d) The value of the owner’s equity as calculated
money to the obligee named therein, according and verified pursuant to this section shall be not
to the terms and conditions of the bond. Upon less than the amount of bail set by the judicial
discharge of the bond the cash deposit made with authority, but shall not be required to be in any
the clerk shall be returned to the person depositing greater amount unless the equity is pledged as
the same. security for other bonds under this section, in
(P.B. 1978-1997, Sec. 663.) which case the value of the equity shall be not
less than the total amount of all bonds for which
Sec. 38-8. Ten Percent Cash Bail it is pledged.
When 10 percent cash bail is granted, upon the (e) Upon order of forfeiture of the bond, the
depositing in cash, by the defendant or any person procedures set forth in General Statutes § 54-66
in his or her behalf other than a paid surety, of shall be followed.
10 percent of the surety bond set, the defendant (P.B. 1978-1997, Sec. 665.) (Amended June 30, 2003, to
shall thereupon be admitted to bail in the same take effect Jan. 1, 2004.)
manner as a defendant who has executed a bond
for the full amount. If such bond is forfeited, the Sec. 38-10. Factors to Be Considered by the
defendant shall be liable for the full amount of the Judicial Authority in Release Decision
bond. Upon discharge of the bond, the 10 percent [Repealed as of Jan. 1, 2006.]
cash deposit made with the clerk shall be returned
to the person depositing the same, less any fee Sec. 38-11. Request for Judicial Determina-
that may be required by statute. tion of Release
(P.B. 1978-1997, Sec. 664.)
Upon written motion of the defendant or the
Sec. 38-9. Real Estate Bond prosecuting authority, the judicial authority shall
(a) In lieu of a cash bond, the defendant, or state on the record its reasons for imposing the
any person in the defendant’s behalf, may pledge particular conditions of release which were estab-
equity in real property located within the state of lished.
Connecticut as bond. (P.B. 1978-1997, Sec. 668.)
(b) Unless otherwise ordered by the judicial
authority, the pledge shall be accepted and the Sec. 38-12. Attorneys Not Allowed to Give
defendant shall be admitted to bail upon receipt Bonds
of the following: (1) proof that a notice of lien No attorney shall give any bond or recogni-
containing the terms of the bond has been prop- zance in any criminal action or proceeding in
erly filed, pursuant to the provisions of General which he or she is interested as an attorney.
Statutes § 54-66, on a form prescribed by the (P.B. 1978-1997, Sec. 669.)
371
Sec. 38-13. Bail Modification; In General (b) Except as provided below, in lieu of issuing
The judicial authority shall have the power to a capias the judicial authority may order a copy
modify or revoke at any time the terms and condi- of the surety’s application and a summons and
tions of release as provided for in these rules. citation, signed by the judicial authority or the clerk
(P.B. 1978-1997, Sec. 673.) or assistant clerk of the court, to be served on the
principal by a proper officer or indifferent person
Sec. 38-14. —Motion of Parties for Bail Mod- summoning him or her to appear in court at a time
ification and place named for a hearing upon such appli-
Whenever the prosecuting authority or the cation.
defendant alleges that any bond with or without (c) If the judicial authority determines that it
surety is excessive or insufficient in amount or is necessary to take the accused into custody
security or that the written promise of the defend- because there are facts indicating a substantial
ant to appear is inadequate, that person may likelihood that such person will not appear in court
make a motion to a judicial authority to modify or as required by the conditions of his or her release
set terms and conditions of release. Such motion unless he or she is taken into custody, it shall
shall be served prior to the hearing date upon the issue a capias directed to a proper officer or indif-
opposing party, the sureties upon any bond and ferent person commanding that person forthwith
the appropriate bail commissioner, unless other- to arrest and bring the released person to the
wise ordered by the judicial authority. court for a hearing to review the conditions of his
(P.B. 1978-1997, Sec. 674.) or her release. However, a capias shall not issue
unless the application sets forth the particular
Sec. 38-15. —Application of Bail Commis- facts in narrative form which lead the surety to
sioner believe there is a substantial likelihood that such
A bail commissioner who has reason to believe person will not appear in court.
that a person released under any of the provisions (d) All expenses incurred pursuant to the issu-
of these rules or of the General Statutes intends ance and service of the capias or summons shall
not to appear in court as required by the conditions be paid by the surety.
of release may apply to a judicial authority for the (P.B. 1978-1997, Sec. 675A.)
court before whom such person is required to
Sec. 38-17. —Hearing on Motion or Applica-
appear, and verify by oath the reason for this
tion for Modification of Bail
belief, and request that such person be brought
before the judicial authority in order that the condi- (a) Upon the filing and service of such motion
tions of release be reviewed. Upon finding reason- or application, the judicial authority shall, with rea-
able grounds to believe that the released person sonable promptness, conduct a hearing to deter-
intends not to appear, such judicial authority shall mine whether the terms and conditions of release
forthwith issue a capias directed to a proper officer should be continued, modified or set. The judicial
or indifferent person, commanding him or her authority shall release the defendant subject to
forthwith to arrest and bring such person to the and in accordance with the provisions of Section
court for a hearing to review the conditions of his 38-4 upon the first of the following conditions of
or her release. Copies of the bail commissioner’s release found sufficient to provide reasonable
application shall be served upon the defendant, assurance of the appearance of the defendant
the prosecuting authority and any sureties upon in court:
any bond. (1) The defendant’s execution of a written prom-
(P.B. 1978-1997, Sec. 675.) ise to appear;
(2) The defendant’s execution of a bond without
Sec. 38-16. —Application of Surety surety in no greater amount than necessary;
(a) A surety upon a bail bond who believes that (3) The defendant’s deposit with the clerk of the
his or her principal intends not to appear in court court of an amount equal to 10 percent of the
as required by the conditions of release shall file surety bond set, pursuant to Section 38-8;
with a judicial authority an application, with a sum- (4) The defendant’s execution of a bond with
mons and citation, setting forth the reasons for surety in no greater amount than necessary.
his or her belief, verified by oath and requesting (b) If, after such hearing, the judicial authority
that the judicial authority issue either a summons relieves a surety of his or her undertaking on a
and citation or a capias to compel the appearance bond, it may enter such order contingent upon
of the released person before the judicial authority the return of such portion of the bond fee as it
for a hearing to review the conditions of such deems equitable.
person’s release. (P.B. 1978-1997, Sec. 676.)
372
Sec. 38-18. —Review of Detention Prior to to appear, or in response to an order issued pursu-
Arraignment, Trial or Sentencing ant to Sections 38-19 and 38-20 unless otherwise
(a) No person shall be detained in a correctional ordered by the judicial authority, the bond may
facility for arraignment, sentencing or trial for an be forfeited in accordance with its terms and the
offense not punishable by death for longer than judicial authority may issue a warrant to cause
forty-five days, unless at the expiration of such the arrest of the defendant and his or her appear-
forty-five days such person is presented to the ance in court or may issue a capias.
judicial authority having cognizance of the (b) If the bond which has been forfeited was in
offense. On each such presentment, the judicial an amount of $500 or more, the court shall order
authority may reduce, modify or discharge such a stay of execution upon the forfeiture for six
bail. On the expiration of each successive forty- months. When the arrested person whose bond
five day period, such person may again by motion has been forfeited is returned to custody within
be presented to the judicial authority for such six months of the date such bond was ordered
purpose.
forfeited, the bond shall be reinstated and the
(b) If the offense is classified as a class D felony
or as a misdemeanor, the time period under this surety released. Such stay of execution shall not
section shall be thirty days, except with regard to prevent the issuance of a rearrest warrant or a
a person charged with a crime in another state and capias.
detained pursuant to chapter 964 of the General (c) Upon issuance of a rearrest warrant or a
Statutes or a person detained for violation of his capias the judicial authority shall, pursuant to Sec-
parole pending a parole revocation hearing. tion 38-4, set a condition of release sufficient to
(P.B. 1978-1997, Sec. 677.) assure the defendant’s appearance in court.
(P.B. 1978-1997, Sec. 684.)
Sec. 38-19. Violation of Conditions of Bail;
Order to Appear Sec. 38-22. Rebate of Forfeited Bonds
Upon application by the prosecuting authority
Whenever an arrested person, whose bond has
alleging that a defendant has violated the condi-
tions of release, a judicial authority may, if proba- been forfeited, is returned to the jurisdiction of the
ble cause is found, order that the defendant court within one year of the date such bond was
appear in court for a hearing upon such allega- ordered forfeited, the surety on such bond shall
tions. Said order shall be served upon the defend- be entitled to a rebate in the following amount:
ant (1) by delivering a copy to the defendant (1) 46 percent of the amount of the bond
personally, (2) by leaving it at his or her usual ordered forfeited if the arrested person is returned
place of abode with a person of suitable age and to the jurisdiction of the court within 210 days of
discretion then residing therein, (3) by mailing it the date such bond was ordered forfeited;
by registered or certified mail to the defendant’s (2) 38 percent of the amount of the bond
last known address, or (4) by serving the order ordered forfeited if the arrested person is returned
upon the defendant’s counsel who shall notify the to the jurisdiction of the court within 240 days of
defendant of the order and the hearing date. If the date such bond was ordered forfeited;
service is made pursuant to (4) above and such (3) 30 percent of the amount of the bond
service proves insufficient to give the defendant ordered forfeited if the arrested person is returned
notice, then service shall be made as otherwise
to the jurisdiction of the court within 270 days of
provided in this section.
(P.B. 1978-1997, Sec. 682.) the date such bond was ordered forfeited;
(4) 23 percent of the amount of the bond
Sec. 38-20. —Sanctions for Violation of ordered forfeited if the arrested person is returned
Conditions of Release to the jurisdiction of the court within 300 days of
After a hearing and upon a finding that the the date such bond was ordered forfeited;
defendant has violated reasonable conditions (5) 15 percent of the amount of the bond
imposed on release, the judicial authority may ordered forfeited if the arrested person is returned
impose different or additional conditions upon the to the jurisdiction of the court within 330 days of
defendant’s release or revoke the release. the date such bond was ordered forfeited;
(P.B. 1978-1997, Sec. 683.)
(6) 7 percent of the amount of the bond ordered
Sec. 38-21. —Forfeiture of Bail and Rear- forfeited if the arrested person is returned to the
rest Warrant jurisdiction of the court within one year of the date
(a) If the defendant fails to appear at the time such bond was ordered forfeited.
and place promised in any bond or written promise (P.B. 1998.)
373
Sec. 38-23. Discharge of Surety’s Obligation be relieved of any obligation upon the bond except
with the permission of the judicial authority and
Where bail has been posted by a bondsman or for good cause shown.
other surety, such bondsman or surety shall not (P.B. 1978-1997, Sec. 685.)
374
CHAPTER 39
DISPOSITION WITHOUT TRIAL
Sec. Sec.
39-1. Procedure for Plea Discussions; In General 39-17. —Effect of Disposition Conference
39-2. —Discussions with Defendant 39-18. Plea of Guilty or Nolo Contendere; Entering
39-3. —Role of Defense Counsel 39-19. —Acceptance of Plea; Advice to Defendant
39-4. —Subject Matter of Discussion 39-20. —Ensuring That the Plea is Voluntary
39-5. Plea Agreements; Upon Plea of Guilty or Nolo Con- 39-21. —Factual Basis for Plea
tendere 39-22. Pleading to Other Offenses after Guilty Finding
39-6. —Alternate Agreements 39-23. Previous Offender; Plea to Second Part
39-7. —Notice of Plea Agreement 39-24. Record of Proceedings regarding Guilty Pleas
39-8. —Sentencing after Acceptance of Plea Agreement 39-25. Inadmissibility of Rejected Guilty Pleas
39-9. —Continuance for Sentencing 39-26. Withdrawal of Plea; When Allowed
39-10. —Rejection of Plea Agreement 39-27. —Grounds for Allowing Plea Withdrawal
39-11. Disposition Conference; Assignment of Jury Cases 39-28. —Effect of Plea Withdrawal
39-12. —Effect of Previous Plea Discussions on Disposi- 39-29. Nolle Prosequi
tion Conference 39-30. —Objection by Defendant to Nolle Prosequi
39-13. —Attendance at Disposition Conference 39-31. —Effect of Nolle Prosequi
39-14. —Nature of Disposition Conference; In General 39-32. —Dismissal
39-15. —Inability to Reach Agreement 39-33. Miscellaneous Dispositions
39-16. —Notice of Agreement to Judicial Authority
Sec. 39-1. Procedure for Plea Discussions; Sec. 39-4. —Subject Matter of Discussion
In General Discussion need not be limited to the entry of
The prosecuting authority and counsel for the a plea of guilty or nolo contendere, and may
defendant, or the defendant when not represented include any disposition without trial permitted
by counsel, may engage in discussions at any under these rules or the General Statutes. The
time with a view towards disposition. Negotiations parties may also discuss pretrial motions filed or
may occur either prior to or after the arraignment. yet to be filed which would lead to a disposition
The prosecuting authority shall be in his or her of the case without trial.
office at reasonable times for the purpose of giving (P.B. 1978-1997, Sec. 690.)
to counsel for the defendant, and to all others in
interest, a reasonable opportunity for consul- Sec. 39-5. Plea Agreements; Upon Plea of
tation. Guilty or Nolo Contendere
(P.B. 1978-1997, Sec. 687.)
The parties may agree that the defendant will
Sec. 39-2. —Discussions with Defendant plead guilty or nolo contendere on one or more
The prosecuting authority shall not engage in of the following conditions:
plea discussions at the disposition conference, or (1) That the prosecuting authority will amend
at other times, directly with a defendant who is the information to charge a particular offense;
represented by counsel, except with such coun- (2) That the prosecuting authority will nolle, rec-
sel’s approval. If the defendant refuses to be rep- ommend dismissal of, or not bring certain other
resented by counsel or waives this right under charges against the defendant; or
Section 44-3, the prosecuting authority may prop- (3) That the sentence or other disposition will
erly discuss disposition of the charges directly not exceed specified terms or that the prosecuting
with the defendant. authority will recommend a specific sentence, not
(P.B. 1978-1997, Sec. 688.)
oppose a particular sentence, or make no specific
Sec. 39-3. —Role of Defense Counsel recommendation.
Defense counsel shall conclude plea (P.B. 1978-1997, Sec. 692.)
agreements only with the consent of the defend-
ant and shall insure that the decision to dispose Sec. 39-6. —Alternate Agreements
of the case or to proceed to trial is ultimately made The prosecuting authority may also recommend
by the defendant. an alternative disposition under Section 39-33.
(P.B. 1978-1997, Sec. 689.) (P.B. 1978-1997, Sec. 693.)
375
Sec. 39-7. —Notice of Plea Agreement parties. The clerk shall schedule the conferences
If a plea agreement has been reached by the at times which will not interfere with the orderly
parties, which contemplates the entry of a plea of calling of the court docket. Cases may also be
guilty or nolo contendere, the judicial authority assigned for a disposition conference at the time
shall require the disclosure of the agreement in of the entry of a plea pursuant to Section 44-15.
open court or, on a showing of good cause, in (P.B. 1978-1997, Sec. 700.)
camera at the time the plea is offered. Thereupon Sec. 39-12. —Effect of Previous Plea Dis-
the judicial authority may accept or reject the cussions on Disposition Conference
agreement, or may defer his or her decision on
Unless an agreement has been reached in a
acceptance or rejection until there has been an
previous plea discussion, a case will be assigned
opportunity to consider the presentence report, or
for a disposition conference. It shall be the duty
may defer it for other reasons.
(P.B. 1978-1997, Sec. 694.)
of the prosecuting authority to notify the clerk if
an agreement has been reached or if the case
Sec. 39-8. —Sentencing after Acceptance of has been disposed of.
Plea Agreement (P.B. 1978-1997, Sec. 701.)
If the judicial authority accepts the plea Sec. 39-13. —Attendance at Disposition
agreement, it shall embody in the judgment and Conference
the sentence the disposition provided for in the The prosecuting authority, the defense counsel,
plea agreement or another disposition more favor- and, in cases claimed for jury trial, the defendant
able to the defendant than that provided for in the shall appear at the time set for the disposition
plea agreement. conference unless excused by the judicial author-
(P.B. 1978-1997, Sec. 696.)
ity. Requests for postponements shall be made
Sec. 39-9. —Continuance for Sentencing only to the presiding judge and shall be granted
If the case is continued for sentencing, the judi- upon good cause shown.
(P.B. 1978-1997, Sec. 702.)
cial authority shall inform the defendant that a
different sentence from that embodied in the plea Sec. 39-14. —Nature of Disposition Confer-
agreement may be imposed on the receipt of new ence; In General
information or on sentencing by another judicial The prosecuting authority and counsel for the
authority, but that if such a sentence is imposed, defendant should attempt to reach a plea
the defendant will be allowed to withdraw his or agreement pursuant to the procedures of Sections
her plea in accordance with Sections 39-26 39-1 through 39-10.
through 39-28. (P.B. 1978-1997, Sec. 704.)
(P.B. 1978-1997, Sec. 697.)
Sec. 39-15. —Inability to Reach Agreement
Sec. 39-10. —Rejection of Plea Agreement
Should the parties be unable to reach an
If the judicial authority rejects the plea agreement as to disposition, they shall report to
agreement, it shall inform the parties of this fact; the presiding judge or to another judge assigned
advise the defendant personally in open court or, by him or her.
on a showing of good cause, in camera that the (P.B. 1978-1997, Sec. 705.)
judicial authority is not bound by the plea
agreement; afford the defendant the opportunity Sec. 39-16. —Notice of Agreement to Judi-
then to withdraw the plea, if given; and advise the cial Authority
defendant that if he or she persists in a guilty plea If the parties reach an agreement which con-
or plea of nolo contendere, the disposition of the templates the entry of a plea of guilty or nolo
case may be less favorable to the defendant than contendere, they may advise the judicial authority
that contemplated by the plea agreement. in advance of the plea. The judicial authority may
(P.B. 1978-1997, Sec. 698.) indicate whether it will concur in or reject the pro-
Sec. 39-11. Disposition Conference; As- posed disposition.
(P.B. 1978-1997, Sec. 706.)
signment of Jury Cases
After conferring with the clerk, the presiding Sec. 39-17. —Effect of Disposition Con-
judge shall assign for disposition conferences so ference
much of the jury trial list as he or she shall deem If a case is not resolved at the disposition con-
necessary for the proper conduct of the court and ference or if the judicial authority rejects the plea
he or she shall direct the clerk to print and distrib- agreement, the case shall be assigned to a trial
ute a list of the cases so assigned to the appearing list. If an agreement is reached, a judicial authority
376
shall be available to accept guilty pleas and Sec. 39-21. —Factual Basis for Plea
other dispositions. The judicial authority shall not accept a plea of
(P.B. 1978-1997, Sec. 707.)
guilty unless it is satisfied that there is a factual
Sec. 39-18. Plea of Guilty or Nolo Conten- basis for the plea.
dere; Entering (P.B. 1978-1997, Sec. 713.)
In the discretion of the judicial authority, the Sec. 39-22. Pleading to Other Offenses after
defendant may enter a plea of guilty or nolo con- Guilty Finding
tendere to the information or complaint at arraign- Upon entry of a finding of guilty after acceptance
ment. At any later time the defendant also may of a plea of guilty or nolo contendere or after a
enter any such plea. A plea of nolo contendere trial, a defendant may request permission to plead
shall be in writing, shall be signed by the defend- guilty or nolo contendere to any other offense for
ant, and, when accepted by the judicial authority, which the court wherein the finding of guilty was
shall be followed by a finding of guilty.
(P.B. 1978-1997, Sec. 709.)
entered has jurisdiction to impose the maximum
authorized penalty. Upon the written approval of
Sec. 39-19. —Acceptance of Plea; Advice the prosecuting authority who is authorized to
to Defendant request imposition of the maximum authorized
The judicial authority shall not accept the plea penalty in the judicial district or geographical area
without first addressing the defendant personally wherein the offense has been or could be
and determining that he or she fully understands: charged, and upon the written approval of the
(1) The nature of the charge to which the plea prosecuting authority who is authorized to request
is offered; imposition of the maximum authorized penalty in
(2) The mandatory minimum sentence, if any; the judicial district or geographical area wherein
(3) The fact that the statute for the particular the court, in which the finding of guilty was
offense does not permit the sentence to be sus- entered, is located, a defendant may enter a plea
pended; of guilty or nolo contendere in conformity with
(4) The maximum possible sentence on the Section 39-18. Such a plea shall operate as a
charge, including, if there are several charges, waiver of venue and as a consent to the filing of
the maximum sentence possible from consecutive an appropriate information.
sentences and including, when applicable, the (P.B. 1978-1997, Sec. 715.)
fact that a different or additional punishment may Sec. 39-23. Previous Offender; Plea to Sec-
be authorized by reason of a previous convic- ond Part
tion; and
(5) The fact that he or she has the right to plead Where the defendant has been charged in the
not guilty or to persist in that plea if it has already second part of an information with a former convic-
been made, and the fact that he or she has the tion or convictions, he or she may enter a plea of
right to be tried by a jury or a judge and that guilty to the second part upon a finding of guilty
at that trial the defendant has the right to the of the particular offense he or she was charged
assistance of counsel, the right to confront and with in the first part.
(P.B. 1978-1997, Sec. 716.)
cross-examine witnesses against him or her, and
the right not to be compelled to incriminate himself Sec. 39-24. Record of Proceedings regard-
or herself. ing Guilty Pleas
(P.B. 1978-1997, Sec. 711.)
A verbatim record shall be made of the proceed-
Sec. 39-20. —Ensuring That the Plea is Vol- ings at which the defendant enters a plea of guilty
untary or nolo contendere. This record shall include the
The judicial authority shall not accept a plea of judicial authority’s advice to the defendant, the
guilty or nolo contendere without first determining, inquiry into the voluntariness of the plea, including
by addressing the defendant personally in open any plea agreement, and the inquiry into the fac-
court, that the plea is voluntary and is not the tual basis for the plea.
result of force or threats or of promises apart from (P.B. 1978-1997, Sec. 717.)
a plea agreement. The judicial authority shall also
inquire as to whether the defendant’s willingness Sec. 39-25. Inadmissibility of Rejected
to plead guilty or nolo contendere results from Guilty Pleas
prior discussions between the prosecuting author- No evidence of the court proceedings at which
ity and the defendant or his or her counsel. a plea of guilty or nolo contendere was entered,
(P.B. 1978-1997, Sec. 712.) where such plea is not accepted by the judicial
377
authority or is later withdrawn pursuant to Sec- upon the record after a brief statement by the
tions 39-26 through 39-28, shall be received at prosecuting authority in open court of the rea-
the trial of the case. sons therefor.
(P.B. 1978-1997, Sec. 718.) (P.B. 1978-1997, Sec. 725.)
Sec. 39-26. Withdrawal of Plea; When Sec. 39-30. —Objection by Defendant to

Allowed Nolle Prosequi
A defendant may withdraw his or her plea of Where a prosecution is initiated by complaint
guilty or nolo contendere as a matter of right until or information, the defendant may object to the
the plea has been accepted. After acceptance, entering of a nolle prosequi at the time it is offered
the judicial authority shall allow the defendant to by the prosecuting authority and may demand
withdraw his or her plea upon proof of one of the either a trial or a dismissal, except when a nolle
grounds in Section 39-27. A defendant may not prosequi is entered upon a representation to the
withdraw his or her plea after the conclusion of the judicial authority by the prosecuting authority that
proceeding at which the sentence was imposed. a material witness has died, disappeared or
(P.B. 1978-1997, Sec. 720.) become disabled or that material evidence has
disappeared or has been destroyed and that a
Sec. 39-27. —Grounds for Allowing Plea further investigation is therefore necessary.
Withdrawal (P.B. 1978-1997, Sec. 726.)
The grounds for allowing the defendant to with- Sec. 39-31. —Effect of Nolle Prosequi
draw his or her plea of guilty after acceptance are The entry of a nolle prosequi terminates the
as follows: prosecution and the defendant shall be released
(1) The plea was accepted without substantial from custody. If subsequently the prosecuting
compliance with Section 39-19; authority decides to proceed against the defend-
(2) The plea was involuntary, or it was entered ant, a new prosecution must be initiated.
without knowledge of the nature of the charge (P.B. 1978-1997, Sec. 727.)
or without knowledge that the sentence actually
imposed could be imposed; Sec. 39-32. —Dismissal
(3) The sentence exceeds that specified in a The judicial authority may dismiss the informa-
plea agreement which had been previously tion or complaint and discharge the defendant, at
accepted, or in a plea agreement on which the any time, in accordance with Sections 41-8
judicial authority had deferred its decision to through 41-11.
(P.B. 1978-1997, Sec. 728.)
accept or reject the agreement at the time the
plea of guilty was entered; Sec. 39-33. Miscellaneous Dispositions
(4) The plea resulted from the denial of effective Upon motion by the defendant, counsel for the
assistance of counsel; defendant, or the prosecuting authority, the judi-
(5) There was no factual basis for the plea; or cial authority may make any order permitted by
(6) The plea either was not entered by a person statute or rule that may result in the disposition
authorized to act for a corporate defendant or was of the case without trial, including, but not limited
not subsequently ratified by a corporate to, the following:
defendant. (1) Adjudication and treatment as a youthful
(P.B. 1978-1997, Sec. 721.) offender;
(2) Accelerated pretrial rehabilitation;
Sec. 39-28. —Effect of Plea Withdrawal (3) Pretrial alcohol education and treatment;
If the defendant is permitted to withdraw his or (4) Reference to the family relations division
her plea, the original finding of guilty shall be set and a hearing thereon;
aside, a plea of not guilty shall be entered, and (5) Commitment to the commissioner of mental
further proceedings shall be scheduled in accord- health following examination and hearing;
ance with these rules. The judicial authority per- (6) Suspension of prosecution for drug-depen-
mitting the vacating of the guilty plea shall not sit dent defendants after examination and release to
on the trial of the matter, unless this is waived by the commission on adult probation;
the defendant in writing. (7) Reference to a community service labor pro-
(P.B. 1978-1997, Sec. 722.) gram; or
(8) Reference to an alternative incarceration
Sec. 39-29. Nolle Prosequi program under the auspices of the office of
A prosecuting authority shall have the power to adult probation.
enter a nolle prosequi in a case. It shall be entered (P.B. 1978-1997, Sec. 730.)
378
CHAPTER 40
DISCOVERY AND DEPOSITIONS
Sec. Sec.
40-1. Discovery in General; Regulating Discovery 40-27. Discretionary Disclosure Directed to Defendant
40-2. —Good Faith Efforts and Subpoenas 40-28. Derivative Evidence
40-3. —Continuing Obligation to Disclose 40-29. Protective Orders Requested by Defendant
40-4. —Limitations on Requests or Motions 40-30. Admissibility at Time of Trial
40-5. —Failure to Comply with Disclosure 40-31. Information Not Subject to Disclosure by Defendant
40-6. —Discovery Performance 40-32. Obtaining Nontestimonial Evidence from
40-7. —Procedures for Disclosure Defendant
40-8. —Objection to Disclosure 40-33. —Emergency Procedure regarding Nontestimo-
40-9. —Presence during Tests and Experiments nial Evidence
40-10. —Custody of Materials 40-34. —Scope of Order for Nontestimonial Evidence
40-11. Disclosure by the Prosecuting Authority 40-35. —Contents of Order
40-12. Discretionary Disclosure Directed to Prosecuting 40-36. —Service of Order
Authority 40-37. —Implementation of Order
40-13. Names of Witnesses; Prior Record of Witnesses; 40-38. —Obtaining Nontestimonial Evidence from Defend-
Statements of Witnesses ant upon Motion of Defendant
40-13A. Law Enforcement Reports, Affidavits and 40-39. —Comparing Nontestimonial Evidence
Statements 40-40. Protective Orders; Relief
40-14. Information Not Subject to Disclosure by Prosecut- 40-41. —Grounds for Protective Order
ing Authority 40-42. —In Camera Proceedings
40-15. Disclosure of Statements; Definition of Statement 40-43. —Excision as Protective Order
40-16. Request for Recess by Defendant upon Receipt 40-44. Depositions; Grounds
of Statement 40-45. —Failure to Appear for Deposition
40-17. Defense of Mental Disease or Defect or Extreme 40-46. —Use of Deposition
Emotional Disturbance; Notice by Defendant 40-47. —Notice and Person Taking Deposition
40-18. —Notice by Defendant of Intention to Use Expert 40-48. —Protective Order Prior to Deposition
Testimony regarding Mental State; Filing Reports 40-49. —Manner of Taking Deposition
of Exam 40-50. —Scope of Examination at Deposition
40-19. —Prosecutorial Motion for Psychiatric Examination 40-51. —Objections at Depositions
40-20. —Failure of Expert to Submit Report 40-52. —Protective Order during Deposition
40-21. Defense of Alibi; Notice by Defendant 40-53. —Return of Deposition
40-22. —Notice by Prosecuting Authority concerning 40-54. —Right of Defendant to Be Present and Repre-
Alibi Defense sented at Deposition
40-23. —Continuing Duty of Parties to Disclose regarding 40-55. —Waiver of Presence and Failure to Appear at
Alibi Defense Deposition
40-24. —Exceptions 40-56. —Definition of Unavailable
40-25. —Inadmissibility of Withdrawn Alibi 40-57. —Taking and Use in Court of Deposition by
40-26. Disclosure by the Defendant; Information and Mate- Agreement
rials Discoverable by the Prosecuting Authority 40-58. —Expenses of Deposition and Copies
as of Right
Sec. 40-1. Discovery in General; Regulat- Sec. 40-2. —Good Faith Efforts and Sub-
ing Discovery poenas
Except as otherwise provided in these rules, When documents or objects are the subject of
the judicial authority before whom the defendant discovery orders, good faith efforts shall be made
by the party to whom any such order is directed
appears shall fix the times for filing and for
to secure their possession. If the efforts of such
responding to discovery motions and requests party are unsuccessful the judicial authority shall,
and, when appropriate, shall fix the hour, place, upon written request, issue a subpoena or order
manner, terms, and conditions of responses to directing that such documents or objects be deliv-
the motions and requests. ered to the clerk of the court within a specified
(P.B. 1978-1997, Sec. 732.) time. The clerk shall give a receipt for them and
379
be responsible for their safekeeping. Such docu- Sec. 40-7. —Procedures for Disclosure
ments and tangible objects shall be sealed and (a) All requests for disclosure by any party shall
shall be open to inspection only upon an order of be filed in accordance with Section 41-5 and shall
the judicial authority. be served in accordance with Sections 10-12
(P.B. 1978-1997, Sec. 733.)
through 10-17 but need not be filed with the court,
Sec. 40-3. —Continuing Obligation to subject, however, to the provisions of Section 40-
Disclose 40 et seq. The party requesting disclosure or the
If prior to or during trial a party discovers addi- party responding shall file with the court a notice
tional material previously ordered to be disclosed of service certifying that a request or response
or which the party is otherwise obligated to dis- was served and the date and manner of service.
close, such party shall promptly notify the other The party responsible for service of a document
party and the judicial authority of its existence. shall retain custody of the original.
(P.B. 1978-1997, Sec. 734.) (b) Except as otherwise provided in Section 40-
13, any party may make disclosure by notifying
Sec. 40-4. —Limitations on Requests or the opposing party that all pertinent material and
Motions information may be inspected and, if practicable,
A party shall file all requests or motions under copied at specific times and locations and the
this chapter within the time specified and shall parties may schedule agreed dates and times to
include in the initial request or motion all informa- photograph and have reasonable tests made
tion or materials sought. The judicial authority may upon any disclosed material.
for good cause shown allow the filing of supple- (P.B. 1978-1997, Sec. 737A.)
mental requests or motions.
(P.B. 1978-1997, Sec. 735.) Sec. 40-8. —Objection to Disclosure
Sec. 40-5. —Failure to Comply with Dis- Notwithstanding the provisions of Sections 40-
closure 11 and 40-26, the prosecuting authority or the
defendant may object to disclosure of any infor-
If a party fails to comply with disclosure as mation or items which are directed to be provided
required under these rules, the opposing party
by those sections but which the objecting party
may move the judicial authority for an appropriate
believes for good cause should not be disclosed
order. The judicial authority hearing such a motion
may enter such orders and time limitations as it or for which it is reasonably believed that a protec-
deems appropriate, including, without limitation, tive order provided by Section 40-40 et seq. would
one or more of the following: be warranted. Such objection shall be made in
(1) Requiring the noncomplying party to comply; writing and shall set forth the grounds of such
(2) Granting the moving party additional time belief as fully as possible. The objection shall be
or a continuance; served in accordance with Sections 10-12 through
(3) Relieving the moving party from making a 10-17 and a copy shall be filed with the court
disclosure required by these rules; within twenty days of the request unless the judi-
(4) Prohibiting the noncomplying party from cial authority, for good cause shown, allows a
introducing specified evidence; later filing. After hearing the judicial authority shall
(5) Declaring a mistrial; determine whether such information or items shall
(6) Dismissing the charges; be disclosed.
(P.B. 1978-1997, Sec. 737B.)
(7) Imposing appropriate sanctions on the coun-
sel or party, or both, responsible for the noncom- Sec. 40-9. —Presence during Tests and
pliance; or Experiments
(8) Entering such other order as it deems
proper. If a scientific test or experiment to be performed
(P.B. 1978-1997, Sec. 735A.) upon any object which has been the subject of a
disclosure order may preclude or impair any fur-
Sec. 40-6. —Discovery Performance ther tests or experiments, the opposing party and
Unless otherwise specified by agreement of the any other person known to have or believed to
parties or judicial order, the parties shall perform have an interest in the matter shall be given rea-
their obligations under Sections 40-1 through 40- sonable notice and opportunity to be present and
10 by making available at reasonable times speci- to have an expert observe or participate in the
fied information and materials for inspecting, test- test or experiment, unless the judicial authority for
ing, copying and photographing. good cause shall order otherwise.
(P.B. 1978-1997, Sec. 737.) (P.B. 1978-1997, Sec. 738.)
380
Sec. 40-10. —Custody of Materials (2) Copies of the defendant’s prior criminal
(a) Any materials furnished to counsel pursuant record, if any, which are within the possession,
to this chapter, including statements, reports and custody, or control of the prosecuting authority,
affidavits disclosed pursuant to Section 40-13A, the existence of which is known, or by the exercise
shall be used only for the purposes of conducting of due diligence may become known, to the prose-
such counsel’s side of the case or for the perfor- cuting authority;
mance of his or her official duties, and shall be (3) Any reports or statements of experts made
subject to such other terms and conditions as the in connection with the offense charged including
judicial authority may provide. Without the prior results of physical and mental examinations and
approval of the prosecuting authority or the court, of scientific tests, experiments or comparisons
defense counsel and his or her agents shall not which are material to the preparation of the
provide copies of materials disclosed pursuant to defense or are intended for use by the prosecuting
Section 40-13A to any person except to persons authority as evidence in chief at the trial;
employed by defense counsel in connection with (4) Any warrant executed for the arrest of the
the investigation or defense of the case. defendant for the offense charged, and any
(b) The prosecuting authority is not required search and seizure warrants issued in connection
to disclose to an unrepresented defendant the with the investigation of the offense charged;
names and addresses required by Section 40-13 (5) (A) Any written, recorded or oral statements
unless the court orders disclosure upon a finding made by the defendant or a codefendant, before
of need which cannot reasonably be met by other or after arrest to any law enforcement officer or
means. Before other materials are disclosed or to a person acting under the direction of or in
provided to an unrepresented defendant pursuant cooperation with a law enforcement officer con-
to this chapter, the prosecuting authority may cerning the offense charged; or
request and the court may order that the materials (B) Any relevant statements of coconspirators
remain in the defendant’s exclusive custody to be which the prosecuting authority intends to offer in
used only for the purpose of conducting the case, evidence at any trial or hearing.
subject to such terms, conditions and restrictions (b) In addition to the foregoing, the prosecuting
that the court, in its discretion, may impose. The authority shall disclose to the defendant, in
court shall also inform the unrepresented defend- accordance with any applicable constitutional and
ant that violation of an order issued under this statutory provisions, any exculpatory information
subsection is punishable as a contempt of court. or materials that the prosecuting authority may
(P.B. 1978-1997, Sec. 739.) (Amended June 22, 2009, to have, whether or not a request has been made
take effect Jan. 1, 2010.) therefor.
Sec. 40-11. Disclosure by the Prosecuting take effect Jan. 1, 2010; amended June 12, 2015, to take
Authority effect Jan. 1, 2016.)
(Amended June 22, 2009, to take effect Jan. 1, 2010.) HISTORY—2016: In 2016, subsection (a) (1) was deleted
(a) Upon written request by a defendant filed and the subsequent subdivisions of subsection (a) were
renumbered accordingly. Prior to 2016, subsection (a) (1) read:
in accordance with Section 41-5 and without ‘‘Exculpatory information or materials.’’
requiring any order of the judicial authority, the Also prior to 2016, subsection (b) read: ‘‘In addition to the
prosecuting authority, subject to Section 40-40 et foregoing, the defendant shall be entitled to disclosure of excul-
seq., shall promptly, but no later than forty-five patory materials in accordance with any applicable constitu-
days from the filing of the request, unless such tional and statutory provisions.’’
time is extended by the judicial authority for good TECHNICAL CHANGE: Subparagraphs have been desig-
cause shown, disclose in writing the existence of, nated with capital letters.
COMMENTARY—2016: The revisions to this section con-
provide photocopies of, and allow the defendant
form the section to the statutory and constitutional requirement
in accordance with Section 40-7, to inspect, copy, that prosecutors disclose any exculpatory information and
photograph and have reasonable tests made on material to defendants whether or not a request has been
any of the following items: made for such information or material.
(1) Any books, tangible objects, papers, photo-
graphs, or documents within the possession, cus- Sec. 40-12. Discretionary Disclosure Di-
tody or control of any governmental agency, which rected to Prosecuting Authority
the prosecuting authority intends to offer in evi- Upon written request by a defendant filed in
dence in chief at trial or which are material to the accordance with Section 40-7 the judicial authority
preparation of the defense or which were obtained may direct the prosecuting authority to disclose
from or purportedly belong to the defendant; in writing to the defendant and make available for
381
inspection, photographing, copying and reason- as rebuttal evidence pursuant to Section 42-35
able testing any other relevant material and infor- (3) and the statements and criminal histories of
mation not covered by Section 40-11 which the such witnesses shall be provided to the opposing
judicial authority determines on good cause party before the commencement of any such
shown should be made available. rebuttal testimony.
(P.B. 1978-1997, Sec. 742.)
(e) The fact that a witness’ name or statement
Sec. 40-13. Names of Witnesses; Prior is provided under this section shall not be a ground
Record of Witnesses; Statements of Wit- for comment upon a failure to call a witness.
nesses (f) Notwithstanding any provision of this section,
(Amended June 22, 2009, to take effect Jan. 1, 2010.) the personal residence address of a police officer
(a) Upon written request by a defendant filed or correction officer shall not be required to be
in accordance with Section 41-5 and without disclosed except pursuant to an order of the judi-
requiring any order of the judicial authority, the cial authority after a hearing and a showing that
prosecuting authority, subject to Section 40-40 et good cause exists for the disclosure of the infor-
seq., shall promptly, but no later than forty-five mation.
days from the filing of the request, unless such (g) Upon written request of a party and for good
time is extended by the judicial authority for good cause shown, the judicial authority may order that
cause shown, disclose to the defendant the the address of any witness whose name was dis-
names and, subject to the provisions of subsec- closed pursuant to subsections (a) or (b) of this
tions (f) and (g) of this section, the addresses of all section not be disclosed to the opposing party.
witnesses that the prosecuting authority intends to (P.B. 1978-1997, Sec. 743.) (Amended June 22, 2009, to
call in his or her case-in-chief. The prosecuting take effect Jan. 1, 2010; amended June 12, 2015, to take
authority shall additionally make a reasonable effect Jan. 1, 2016.)
affirmative effort to obtain a record of the witness’ HISTORY—2016: Prior to 2016, subsection (a) read: ‘‘Upon
felony convictions and pending misdemeanor and written request by a defendant filed in accordance with Section
felony charges and shall disclose any such con- 41-5 and without requiring any order of the judicial authority,
victions and pending charges to the defendant. the prosecuting authority, subject to Section 40-40 et seq.,
shall promptly, but no later than forty-five days from the filing
(b) Upon written request by the prosecuting of the request, unless such time is extended by the judicial
authority, filed in accordance with Section 41-5 authority for good cause shown, disclose to the defendant the
and without requiring any order of the judicial names and, subject to the provisions of subsections (f) and
authority, the defendant, subject to Section 40-40 (g) of this section, the addresses of all witnesses that the
et seq., shall promptly, but no later than forty-five prosecuting authority intends to call in his or her case-in-chief
days from the filing of the request, unless such and shall additionally disclose to the defendant any record of
time is extended by the judicial authority for good felony convictions of the witnesses known to the prosecuting
cause shown, disclose to the prosecuting author- authority and any record of felony or misdemeanor charges
ity the names and, subject to the provisions of pending against the witnesses known to the prosecuting
authority.’’
subsection (g) of this section, the addresses of
COMMENTARY—2016: The revision to subsection (a) of
all witnesses whom the defendant intends to call this section adds the requirement that the state make a reason-
in the defendant’s case-in-chief and shall addition- able affirmative effort to obtain the criminal record of state’s
ally disclose to the prosecuting authority any witnesses for disclosure to the defendant.
statements of the witnesses other than the
defendant in the possession of the defendant or Sec. 40-13A. Law Enforcement Reports,
his or her agents, which statements relate to the Affidavits and Statements
subject matter about which each witness will
testify. Upon written request by a defendant and with-
(c) No witness shall be precluded from testifying out requiring any order of the judicial authority,
for any party because his or her name or state- the prosecuting authority shall, no later than forty-
ment or criminal history was not disclosed pursu- five days from receiving the request, provide pho-
ant to this rule if the party calling such witness tocopies of all statements, law enforcement
did not in good faith intend to call the witness reports and affidavits within the possession of the
at the time that he or she provided the material prosecuting authority and his or her agents,
required by this rule. In the interests of justice the including state and local law enforcement officers,
judicial authority may in its discretion permit any which statements, reports and affidavits were pre-
undisclosed individual to testify. pared concerning the offense charged, subject to
(d) The provisions of this section shall apply to the provisions of Sections 40-10 and 40-40 et seq.
any additional testimony presented by any party (Adopted June 22, 2009, to take effect Jan. 1, 2010.)
382
Sec. 40-14. Information Not Subject to Dis- raised. The judicial authority may for cause shown
closure by Prosecuting Authority allow late filing of the notice or grant additional
Subject to Sections 40-13 and 40-13A and time to the parties to prepare for trial or make
except for the substance of any exculpatory mate- such other order as may be appropriate.
rial contained herein, Sections 40-11 through 40- (P.B. 1978-1997, Sec. 758.)
14 do not authorize or require disclosure or Sec. 40-18. —Notice by Defendant of Inten-
inspection of: tion to Use Expert Testimony regarding
(1) Reports, memoranda or other internal docu- Mental State; Filing Reports of Exam
ments made by a prosecuting authority or by law
enforcement officers in connection with the inves- If a defendant intends to introduce expert testi-
tigation or prosecution of the case; mony relating to the affirmative defenses of men-
(2) Legal research; tal disease or defect, or of extreme emotional
disturbance or another condition bearing upon the
(3) Records, correspondence, reports or mem-
issue of whether he or she had the mental state
oranda to the extent that they contain the opinions,
required for the offense charged, the defendant
theories or conclusions of a prosecuting authority.
(P.B. 1978-1997, Sec. 746.) (Amended June 22, 2009, to shall, not later than forty-five days after the first
take effect Jan. 1, 2010.) pretrial conference in the court where the case
will be tried or at such later time as the judicial
Sec. 40-15. Disclosure of Statements; Defi- authority may direct, notify the prosecuting author-
nition of Statement ity in writing of such intention and file a copy of
The term ‘‘statement’’ as used in Sections 40- such notice with the clerk. The defendant shall
11, 40-13 and 40-26 means: also furnish the prosecuting authority with copies
(1) A written statement made by a person and of reports of physical or mental examinations of
signed or otherwise adopted or approved by such the defendant prepared by an expert whom the
person; or defendant intends to call as a witness in connec-
(2) A stenographic, mechanical, electrical, or tion with the offense charged, within five days
other recording, or a transcription thereof, which after receipt thereof. The judicial authority may for
is a substantially verbatim recital of an oral state- cause shown allow late filing of the notice or grant
ment made by a person and recorded contempo- additional time to the parties to prepare for trial
raneously with the making of such oral statement. or make such other order as may be appropriate.
(P.B. 1978-1997, Sec. 749.) (P.B. 1978-1997, Sec. 759.)
Sec. 40-16. Request for Recess by Defend- Sec. 40-19. —Prosecutorial Motion for Psy-
ant upon Receipt of Statement chiatric Examination
Whenever any statement is delivered to a In an appropriate case the judicial authority
defendant pursuant to Section 40-13, the judicial may, upon motion of the prosecuting authority,
authority in its discretion, upon application of the order the defendant to submit to a psychiatric
defendant, may recess the proceedings for such examination by a psychiatrist designated for this
time as it may determine to be reasonably purpose by the prosecuting authority. No state-
required for the examination of such statement ment made by the defendant in the course of
by the defendant and his or her preparation for any examination provided for by Sections 40-17
its use in the trial. through 40-19, whether the examination shall be
(P.B. 1978-1997, Sec. 754.) with or without the consent of the defendant, shall
be admitted in evidence against the defendant on
Sec. 40-17. Defense of Mental Disease or the issue of guilt in any criminal proceeding. A
Defect or Extreme Emotional Disturbance; copy of the report of the psychiatric examination
Notice by Defendant shall be furnished to the defendant within five days
If a defendant intends to rely upon the affirma- after the receipt thereof by the prosecuting
tive defense of mental disease or defect or of authority.
extreme emotional disturbance at the time of the (P.B. 1978-1997, Sec. 760.)
alleged crime, the defendant shall, not later than
forty-five days after the first pretrial conference in Sec. 40-20. —Failure of Expert to Submit
the court where the case will be tried or at such Report
later time as the judicial authority may direct, notify If any expert fails to submit any written report
the prosecuting authority in writing of such inten- of the result of any physical or mental examination
tion and file a copy of such notice with the clerk. conducted pursuant to Sections 40-17 through
If there is a failure to comply with the requirements 40-19 the judicial authority, upon request of the
of this rule, such affirmative defenses may not be party who engaged the expert, may issue an
383
appropriate subpoena or order pursuant to Sec- such intention, is not admissible in any criminal
tion 40-2 or may direct that the expert’s deposition proceeding against the person who gave notice
be taken pursuant to Sections 40-44 through of the intention.
40-58. (P.B. 1978-1997, Sec. 768.)
(P.B. 1978-1997, Sec. 760A.)
Sec. 40-26. Disclosure by the Defendant;
Sec. 40-21. Defense of Alibi; Notice by Information and Materials Discoverable by
Defendant the Prosecuting Authority as of Right
Upon written demand filed by the prosecuting Upon written request by the prosecuting author-
authority stating the time, date, and place at which ity filed in accordance with Section 41-5 and with-
the alleged offense was committed, the defendant out requiring any order of the judicial authority,
shall file within twenty days, or at such other time the defendant, subject to Section 40-40 et seq.,
as the judicial authority may direct, a written notice shall promptly, but no later than forty-five days
of the defendant’s intention to offer a defense of from the filing of the request, unless such time is
alibi. Such notice by the defendant shall state the extended by the judicial authority for good cause
specific place or places at which the defendant shown, disclose in writing to the prosecuting
claims to have been at the time of the alleged authority the existence of and make available for
offense and the names and addresses of the wit- examination and copying in accordance with the
nesses upon whom the defendant intends to rely procedures of Section 40-7 the following items:
to establish such alibi. (1) Any books, papers, documents, photo-
(P.B. 1978-1997, Sec. 763.)
graphs or tangible objects which the defendant
Sec. 40-22. —Notice by Prosecuting Author- intends to offer in evidence at trial except to the
ity concerning Alibi Defense extent that it contains any communication of the
If the written notice has been filed pursuant to defendant; and
Section 40-21, the prosecuting authority, within (2) Any reports or statements of experts made
twenty days after filing of the notice, but in no in connection with the case, including results of
event less than ten days before the trial unless physical or mental examinations and of scientific
the judicial authority otherwise directs, shall file a tests, experiments or comparisons, which the
written notice stating the names and addresses defendant intends to offer in evidence at trial or
of the witnesses upon whom the state intends to relating to the anticipated testimony of a person
rely to establish the defendant’s presence at the whom the defendant intends to call as a witness.
scene of the alleged offense and any other wit- (P.B. 1978-1997, Sec. 769.)
nesses to be relied upon to rebut testimony of
any of the defendant’s alibi witnesses. Sec. 40-27. Discretionary Disclosure Di-
(P.B. 1978-1997, Sec. 764.) rected to Defendant
Upon written request by a prosecuting authority
Sec. 40-23. —Continuing Duty of Parties to
filed in accordance with Section 40-7 the judicial
Disclose regarding Alibi Defense
authority may direct the defendant to disclose in
If prior to or during the trial, a party learns of writing to the prosecuting authority and make
an additional witness whose identity, if known, available for inspection, photographing, copying
should have been included in the information fur- and reasonable testing any other relevant material
nished under Sections 40-21 or 40-22, the party and information not covered by Section 40-26
shall promptly notify the other party or his or her which the judicial authority determines on good
counsel of the existence and identity of such addi- cause shown should be made available.
tional witness. (P.B. 1978-1997, Sec. 769A.)
(P.B. 1978-1997, Sec. 765.)
Sec. 40-24. —Exceptions Sec. 40-28. Derivative Evidence

For good cause shown, the judicial authority The defendant shall be supplied with copies of
may grant an exception to any of the requirements any reports of experts derived from or based upon
of Sections 40-21 through 40-23. the examination of materials produced pursuant
(P.B. 1978-1997, Sec. 767.) to Section 40-26.
(P.B. 1978-1997, Sec. 770.)
Sec. 40-25. —Inadmissibility of Withdrawn
Alibi Sec. 40-29. Protective Orders Requested
Evidence of an intention to rely upon an alibi by Defendant
defense which intention is later withdrawn, or evi- The defendant may, to the same extent as the
dence of statements made in connection with prosecuting authority, move for a protective order
384
under the provisions of Sections 40-40 through through 40-39, if an affidavit or testimony shows
40-43. that there is probable cause to believe that the
(P.B. 1978-1997, Sec. 771.) evidence sought will be altered, dissipated, or lost
if not promptly obtained. Upon presentation of the
Sec. 40-30. Admissibility at Time of Trial defendant, the judicial authority shall inform the
The fact that the defendant has indicated an defendant of his or her rights as specified in Sec-
intent to offer a matter in evidence or to call a tions 37-3 through 37-6 and shall afford the
person as a witness pursuant to Sections 40-17 defendant reasonable opportunity to consult with
through 40-31 is not admissible in evidence at an attorney before hearing the motion.
the defendant’s trial. Information obtained by the (P.B. 1978-1997, Sec. 777.)
prosecuting authority pursuant to Sections 40-17
through 40-31 shall be used only for the cross- Sec. 40-34. —Scope of Order for Nontesti-
examination or rebuttal of defense testimony monial Evidence
except with permission of the judicial authority for An order under Sections 40-32 through 40-39
good cause shown. may direct the defendant to participate in one or
(P.B. 1978-1997, Sec. 772.) more of the following procedures:
(1) Appearing, moving, or speaking for identifi-
Sec. 40-31. Information Not Subject to Dis- cation in a lineup, but if a lineup is not practicable,
closure by Defendant then in some other reasonable procedure;
Subject to Section 40-13 and except as to scien- (2) Wearing clothing or other articles of personal
tific or medical reports, Sections 40-17 through use or adornment;
40-31 do not authorize or require disclosure or (3) Providing handwriting and voice exemplars;
inspection of: (4) Submitting to the taking of photographs;
(1) Reports, memoranda or other internal (5) Submitting to the taking of fingerprints, palm
defense documents made by the defendant, or prints, footprints, and other body impressions;
counsel for the defendant or any person employed (6) Submitting to the taking of specimens of
by the defendant in connection with the investiga- saliva, breath, hair, and nails;
tion or defense of the case; (7) Submitting to body measurements or other
(2) Legal research; or reasonable body surface examinations;
(3) Records, correspondence, reports or mem- (8) Submitting to the removal of foreign sub-
oranda to the extent that they contain the opinions, stances or objects from the surface of the body,
theories or conclusions of the defendant, counsel if the removal does not involve an unreasonable
for the defendant, or any other person employed intrusion of the body or an unreasonable affront
by the defendant in connection with the investiga- to the dignity of the individual;
tion or defense of the case. (9) Submitting to the taking of specimens of
(P.B. 1978-1997, Sec. 773.) blood and urine, if the taking does not involve an
unreasonable intrusion of the body or an unrea-
Sec. 40-32. Obtaining Nontestimonial Evi-
sonable affront to the dignity of the individual;
dence from Defendant
(10) Submitting to physical examinations,
Upon motion of the prosecuting authority, the including X-rays under medical supervision; or
judicial authority by order may direct a defendant (11) Submitting to chemical or physical tests of
to participate in a reasonably conducted proce- the surface of the body which do not involve an
dure to obtain nontestimonial evidence, if the judi- unreasonable intrusion of the body or an unrea-
cial authority finds probable cause to believe that: sonable affront to the dignity of the individual or
(1) The evidence sought may be of material aid a significant risk of injury.
in determining whether the defendant committed (P.B. 1978-1997, Sec. 778.)
the offense charged; and
(2) The evidence sought cannot practicably be Sec. 40-35. —Contents of Order
obtained from other sources. An order under Sections 40-32 through 40-39
(P.B. 1978-1997, Sec. 776.) shall specify with particularity the authorized pro-
cedure, the scope of the defendant’s participation,
Sec. 40-33. —Emergency Procedure regard- the time, duration, place, and other conditions of
ing Nontestimonial Evidence the procedure, and the person or persons who
Upon application of the prosecuting authority, may conduct it. It shall inform the defendant that
the judicial authority by order may direct a law he or she may not be subjected to investigative
enforcement officer to bring the defendant forth- interrogation while participating in or being pre-
with before the judicial authority for an immediate sent for the procedure, and that he or she may
hearing on a motion made under Sections 40-32 be held in contempt of court by failing to appear
385
and participate in the procedure as directed. It persons who may conduct the procedure. Sec-
may also direct the defendant not to alter substan- tions 40-32 through 40-37 apply to procedures
tially any identifying physical characteristics to be ordered under this section.
examined or to destroy any evidence sought. (P.B. 1978-1997, Sec. 782.)
(P.B. 1978-1997, Sec. 779.)
Sec. 40-39. —Comparing Nontestimonial
Sec. 40-36. —Service of Order Evidence
An order under Sections 40-32 through 40-39 Upon motion of the defendant, the judicial
shall be served by delivering a copy of the order authority by order may direct a prosecuting
to the defendant personally and to his or her coun- authority to have a scientific comparison made
sel, if represented by counsel. between a specified sample or specimen of non-
(P.B. 1978-1997, Sec. 780.) testimonial evidence in the prosecuting authority’s
Sec. 40-37. —Implementation of Order possession or control and other nontestimonial
evidence of a similar character in the prosecuting
An order directing the defendant to participate
authority’s possession or control, if the judicial
shall be implemented in the following manner:
authority finds that the results of the comparison
(1) While participating in or being present for
could contribute to an adequate defense. The
an authorized procedure, the defendant may be
order shall specify the comparison authorized, the
accompanied by counsel and by an observer of
person or persons who may make it, and the
choice. The presence of other persons at the pro-
appropriate conditions under which it is to be
cedure may be limited as the judicial authority
deems appropriate under the circumstances. made.
(P.B. 1978-1997, Sec. 783.)
(2) The procedure shall be conducted with dis-
patch. If the taking of a specimen or the removal Sec. 40-40. Protective Orders; Relief
of a foreign substance involves an intrusion of Upon the filing of a motion for a protective order
the body, medical or other qualified supervision by either party and after a hearing thereon, the
is required. Upon timely request of the defendant judicial authority may at any time order that dis-
and approval by the judicial authority, the defend- closure or inspection be denied, restricted or
ant may have a qualified physician designated by deferred, or that reasonable conditions be
the defendant in attendance. imposed as to the manner of inspection, photo-
(3) The defendant may not be subjected to graphing, copying or testing, to the extent neces-
investigative interrogation while participating in or sary to protect the evidentiary values of any
being present for the procedure. information or material.
(4) Any evidence obtained from the defendant (P.B. 1978-1997, Sec. 785.)
may be used only with respect to the offense
charged or any related offense. Sec. 40-41. —Grounds for Protective Order
(5) The defendant shall be furnished with a In deciding the motion for a protective order the
report of the results of the procedure within fifteen judicial authority may consider the following:
days of its completion. (1) The timeliness of the motion;
(P.B. 1978-1997, Sec. 781.)
(2) The protection of witnesses and others from
Sec. 40-38. —Obtaining Nontestimonial Evi- physical harm, threats of harm, bribes, economic
dence from Defendant upon Motion of reprisals and other intimidation;
Defendant (3) The maintenance of secrecy regarding infor-
Upon motion of a defendant who has been mants as required for effective investigation of
arrested, summoned, or charged in a complaint criminal activity;
or information, the judicial authority by order may (4) The protection of confidential relationships,
direct the prosecuting authority to arrange for the privileges and communications recognized by
defendant’s participation in one or more of the law; and
procedures specified in Sections 40-32 through (5) Any other relevant considerations.
40-39, if the judicial authority finds that the evi- (P.B. 1978-1997, Sec. 786.)
dence sought could contribute to an adequate
defense. The order shall specify with particularity Sec. 40-42. —In Camera Proceedings
the authorized procedure, the scope of the Upon the hearing of any motion under Sections
defendant’s permitted participation, the designa- 40-40 through 40-43, the judicial authority may
tion of representatives of the prosecution who may permit all or part of any showing of cause for
be present, the time, duration, place and other denial or deferral of access to be made in camera
conditions of the procedure, and the person or and out of the presence of the opposing party.
386
Any in camera proceedings shall be recorded ver- to arrest and bring such person before the judi-
batim. If the judicial authority allows any access cial authority.
to be denied or deferred, the entire record of the (P.B. 1978-1997, Sec. 792.)
in camera proceedings shall be sealed and pre-
Sec. 40-46. —Use of Deposition
served in the court’s records, to be made available
to the appellate court in the event of an appeal. So far as otherwise admissible under the rules
(P.B. 1978-1997, Sec. 787.) of evidence, a deposition may be used as evi-
dence at the trial or at any hearing if the deponent
Sec. 40-43. —Excision as Protective Order is unavailable, as defined in Section 40-56. Any
If the moving party claims in a motion for a deposition may also be used by any party for
protective order that a portion of any information the purpose of contradicting or impeaching the
or materials requested or required to be disclosed testimony of the deponent as a witness. If only a
is not subject to disclosure or inspection or con- part of a deposition is offered in evidence by a
party, an adverse party may require such party
tains irrelevant material, that party shall deliver
to offer, or may himself or herself offer, all of it
such information or materials to the judicial
which is relevant to the part offered.
authority for inspection in camera out of the pres- (P.B. 1978-1997, Sec. 793.)
ence of the other party. If the judicial authority
excises any portion of such information or materi- Sec. 40-47. —Notice and Person Taking
als, a record of the in camera proceedings shall Deposition
be made and sealed and preserved in the court’s The party at whose request the deposition is to
records, to be made available to the appellate be taken shall give the other parties reasonable
court in the event of an appeal. That portion of written notice of the name and address of each
the information or materials made available to the person to be examined, the time and place for
other party shall show that an excision has the deposition, and the manner of recording. The
been made. deposition may be taken before any officer author-
(P.B. 1978-1997, Sec. 788.) ized to administer oaths and agreed to by the
parties or, absent such agreement, designated by
Sec. 40-44. Depositions; Grounds the judicial authority. Such notice shall be served
In any case involving an offense for which the upon each party or each party’s attorney by per-
punishment may be imprisonment for more than sonal or abode service or by registered or certi-
one year the judicial authority, upon request of fied mail.
any party, may issue a subpoena for the appear- (P.B. 1978-1997, Sec. 794.)
ance of any person at a designated time and place
to give his or her deposition if such person’s testi- Sec. 40-48. —Protective Order Prior to
Deposition
mony may be required at trial and it appears to
the judicial authority that such person: After a deposition is ordered, upon written
(1) Will, because of physical or mental illness motion seasonably made and served on all
or infirmity, be unable to be present to testify at affected persons by a party or by the deponent,
any trial or hearing; or the judicial authority may for good cause shown
(2) Resides outside of this state, and his or her change the time, place, or manner of recording
presence cannot be compelled under the provi- the deposition, or order that it shall not be taken
sions of General Statutes § 54-82i; or or that the scope of the examination shall be lim-
ited to certain matters, or make any other order
(3) Will otherwise be unable to be present to which justice requires. Upon written demand of
testify at any trial or hearing; or the objecting party or the deponent, the taking of
(4) Is an expert who has examined a defendant the deposition shall be suspended for the time
pursuant to Sections 40-17 through 40-19 and required to act upon the motion. In no event shall
has failed to file a written report as provided by the deposition of the defendant be taken without
such sections. the defendant’s consent.
(P.B. 1978-1997, Sec. 791.) (P.B. 1978-1997, Sec. 795.)
Sec. 40-45. —Failure to Appear for Depo- Sec. 40-49. —Manner of Taking Deposition
sition The witness shall be put on oath and a verbatim
If, after proper service within this state of a sub- record of his or her testimony shall be made. The
poena, the person subpoenaed fails to appear at testimony shall be taken stenographically and
the designated place and time, the judicial author- transcribed, unless the judicial authority orders
ity may issue a capias directed to a proper officer otherwise. In the event that the judicial authority
387
orders that the testimony at a deposition be Sec. 40-53. —Return of Deposition

recorded by other than stenographic means, the Except as otherwise provided in these rules, or
order shall designate the manner of recording, as ordered by the judicial authority, depositions
(such as by videotape) preserving, and filing the shall be sealed by the authority taking them and
deposition, and it may include other provisions to returned to the clerk of the court in which the
assure that the recorded testimony will be accu- prosecution is pending, who shall file such deposi-
rate and trustworthy. If such an order is made, a tions. Any deposition returned unsealed or with
party may nevertheless arrange to have a steno- the seal broken may be rejected by the judicial
graphic transcription made at his or her own authority who ordered its taking.
expense. (P.B. 1978-1997, Sec. 800.)
(P.B. 1978-1997, Sec. 796.)
Sec. 40-54. —Right of Defendant to Be Pre-
Sec. 40-50. —Scope of Examination at sent and Represented at Deposition
Deposition
A defendant shall have the right to be present
The scope and manner of examination and in person at any deposition subject to such terms
cross-examination shall be the same as that and conditions as may be established by the judi-
allowed at trial. Each party having possession of cial authority. Upon the application for the taking
a statement of the deponent shall make the state- of a deposition, the judicial authority shall advise
ment available to the other party for examination any defendant who is without counsel of the right
and use at the taking of a deposition if such other
thereto and assign counsel to represent such
party would be entitled to the statement at trial.
(P.B. 1978-1997, Sec. 797.)
defendant unless he or she elects to proceed with-
out counsel or is able to obtain counsel.
Sec. 40-51. —Objections at Depositions (P.B. 1978-1997, Sec. 801.)
All objections made at the time of the examina- Sec. 40-55. —Waiver of Presence and Fail-
tion to the qualifications of the person taking the ure to Appear at Deposition
deposition, or to the manner of taking it, or to
the questions or evidence presented, or to the A defendant may waive, in writing, the right to
conduct of any party, and any other objection to be present in person. Failure of a defendant not
the proceedings shall be recorded by the person in custody, absent good cause shown, to appear
before whom the deposition is taken. after notice, shall constitute a waiver of that right
(P.B. 1978-1997, Sec. 798.) and of any objection to the taking and use of the
deposition based upon that right. The deposition
Sec. 40-52. —Protective Order during Depo- shall not be admissible in evidence if the defend-
sition ant has not appeared in person and has not validly
(a) At any time during the taking of the deposi- waived his or her right to appear. When a deposi-
tion, upon motion of a party or of the deponent, tion is taken in the absence of the defendant,
and upon a showing that the examination is being the prosecuting authority shall file a copy of the
conducted in bad faith, or in such manner as to deposition within thirty days for inspection by the
annoy, embarrass, or oppress the deponent or a defendant, unless before that time he or she has
party, or to elicit privileged testimony, the judicial delivered the deposition or a copy thereof to the
authority who ordered the deposition taken may defendant. If this section is not complied with,
order the person conducting the examination such deposition shall not be admissible in
immediately to cease taking the deposition, or it evidence.
may limit the scope and manner of taking the (P.B. 1978-1997, Sec. 802.)
deposition by ordering:
Sec. 40-56. —Definition of Unavailable
(1) That certain matters not be inquired into, or
that the scope of the examination be limited to (a) ‘‘Unavailable’’ as used in Section 40-46
certain matters; or includes situations in which the deponent:
(2) That the examination be conducted with no (1) Is exempted by a ruling of the judicial author-
one present except those persons designated by ity on the ground of privilege from testifying con-
the judicial authority. cerning the subject matter of his or her deposition;
(b) Upon demand of the objecting party or the (2) Persists in refusing to testify concerning the
deponent, the taking of the deposition shall be subject matter of his or her deposition despite an
suspended for the time necessary to act upon order of the judicial authority to do so;
the motion. (3) Testifies to a lack of memory of the subject
(P.B. 1978-1997, Sec. 799.) matter of his or her deposition;
388
(4) Is unable to be present or to testify at a trial Sec. 40-57. —Taking and Use in Court of
or hearing because of his or her death or physical Deposition by Agreement
or mental illness or infirmity; or Nothing in Sections 40-44 through 40-58 pre-
(5) Is absent from the trial or hearing and the cludes the taking of a deposition, orally or upon
proponent of his or her deposition has been written interrogatories, or the use of a deposition
unable to procure his or her attendance by sub- by agreement of the parties with the consent of
poena or by other reasonable means. the judicial authority.
(P.B. 1978-1997, Sec. 804.)
(b) A deponent is not unavailable as a witness
Sec. 40-58. —Expenses of Deposition and
if his or her exemption, refusal, claim of lack of
Copies
memory, inability, or absence is the result of the
All expenses incurred in the taking of a deposi-
procurement or wrongdoing by the proponent of tion, including a copy for each adverse party, but
his or her deposition for the purpose of preventing excluding counsel’s fees, shall be paid by the
the witness from attending or testifying. party taking the deposition.
(P.B. 1978-1997, Sec. 803.) (P.B. 1978-1997, Sec. 805.)
389
CHAPTER 41
PRETRIAL MOTIONS
Sec. Sec.
41-1. Pretrial Motion Practice; Exclusive Procedures 41-13. —Return and Suppression of Seized Property
41-2. —Matters to Be Raised by Motion 41-14. —Suppression of Intercepted Communications
41-3. —Pretrial Motions and Requests 41-15. —Time for Filing Motion to Suppress
41-4. —Failure to Raise Defense, Objection or Request 41-16. —Effect on Seized Property of Granting Motion
41-5. —Time for Making Pretrial Motions or Requests 41-17. —Particular Judicial Authority May Not Hear Motion
41-6. —Form and Manner of Making Pretrial Motions 41-18. Severance of Offenses
41-7. —Hearing and Ruling on Pretrial Motions 41-19. Trial Together of Informations
41-8. Motion to Dismiss 41-20. Bill of Particulars; Time for Filing
41-9. —Restriction on Motion to Dismiss 41-21. —Content of Bill
41-10. —Defects Not Requiring Dismissal 41-22. —Furnishing of Bill
41-11. —Remedies for Minor Defects Not Requiring Dis- 41-23. Transfer of Prosecution; Grounds
missal 41-24. —Time for Motion to Transfer
41-12. Motion to Suppress 41-25. —Proceedings on Transfer
Sec. 41-1. Pretrial Motion Practice; Exclu- Sec. 41-4. —Failure to Raise Defense,
sive Procedures Objection or Request
Except as otherwise provided in these rules, all Failure by a party, at or within the time provided
motions to strike, motions to quash, motions to by these rules, to raise defenses or objections or
dismiss, and other dilatory pleas are abolished, to make requests that must be made prior to trial
and defenses and objections which heretofore shall constitute a waiver thereof, but a judicial
could have been raised by one or more of them authority, for good cause shown, may grant relief
may be raised only by motions made in conformity from such waiver, provided, however, that lack of
with this chapter. jurisdiction over the offense charged or failure of
(P.B. 1978-1997, Sec. 807.) the information to charge an offense may be
Sec. 41-2. —Matters to Be Raised by Motion raised by the defendant or noticed by the judicial
authority at any time during the pendency of the
Any defense, objection or request capable of
determination without a trial of the general issue proceedings.
(P.B. 1978-1997, Sec. 810.)
may be raised only by a pretrial motion made in
conformity with this chapter. Sec. 41-5. —Time for Making Pretrial
(P.B. 1978-1997, Sec. 808.) Motions or Requests
Sec. 41-3. —Pretrial Motions and Requests Unless otherwise provided by these rules or
Unless otherwise provided by statute or rule, or statute, all pretrial motions or requests shall be
permitted by the judicial authority for good cause made not later than ten days after the first pretrial
shown, pretrial motions and requests shall consist conference in the court where the case will be
only of one or more of the following: tried, or, with permission of the judicial authority,
(1) Motions to dismiss under Sections 41-8 at such later time as the judicial authority may fix.
through 41-11; However, defenses and objections alleging lack
(2) Motions and requests for discovery and of jurisdiction over the offense charged or failure
depositions under chapter 40; of the information to charge an offense may be
(3) Motions to suppress evidence under Sec- raised by the defendant or noticed by the judicial
tions 41-12 through 41-17; authority at any time during the pendency of the
(4) Motions for joinder or severance under Sec- proceedings.
tions 41-18 and 41-19; (P.B. 1978-1997, Sec. 811.)
(5) Motions for a bill of particulars under Sec-
tions 41-20 through 41-22; Sec. 41-6. —Form and Manner of Making
(6) Motions for transfer of prosecution under Pretrial Motions
Sections 41-23 through 41-25. Pretrial motions shall be written and served in
(P.B. 1978-1997, Sec. 809.) accordance with Sections 10-12 through 10-17
390
unless, for good cause shown, the judicial author- Sec. 41-9. —Restriction on Motion to
ity shall grant permission to make an oral pretrial Dismiss
motion. Every written motion shall include a state- No defendant who is charged with a crime pun-
ment of the factual and legal or other basis there- ishable by death or life imprisonment for which
for, shall state whether the same or a similar probable cause has been found at a preliminary
motion was previously filed and ruled upon, and hearing pursuant to General Statutes § 54-46a or
shall have annexed to it a proper order. All who has been arrested pursuant to a warrant may
defenses and objections that must be raised by make a motion under subdivisions (5) or (9) of
motion prior to trial shall, to the extent possible, Section 41-8.
be raised at the same time. (P.B. 1978-1997, Sec. 816.)
(P.B. 1978-1997, Sec. 812.)
Sec. 41-7. —Hearing and Ruling on Pretrial Sec. 41-10. —Defects Not Requiring Dis-
Motions missal
A motion made before trial shall be determined No information shall be dismissed because of
prior to trial, unless the judicial authority orders any defect or imperfection in, or omission of, any
that the ruling be deferred until during the trial of matter of form only, or because of any miswriting,
the general issue or until after the verdict. Unless misspelling or improper English, or because of
the judicial authority otherwise permits, all pretrial any use of a sign, symbol, figure or abbreviation
motions pending at the time for the hearing of any or, because of any similar defect, imperfection
pretrial motion shall be heard at the same time. or omission. No information shall be dismissed
The judicial authority may order the filing of briefs merely for misjoinder of parties accused, misjoin-
prior to, at, or following such hearing. Where fac- der of offenses charged, multiplicity, duplicity or
tual issues are involved in determining a motion, uncertainty, provided an offense is charged.
the judicial authority shall state its essential find- (P.B. 1978-1997, Sec. 817.)
ings on the record. A verbatim record shall be
made of all proceedings at a hearing on a pretrial Sec. 41-11. —Remedies for Minor Defects
motion, including such findings of fact and conclu- Not Requiring Dismissal
sions of law as are made orally. All motions which If the judicial authority determines that any of
require an evidentiary hearing shall be heard by the defects stated in Section 41-10 exist in any
the judicial authority to whom the case has been information, it shall order such relief as is required
assigned for trial, unless otherwise provided by to remedy such defect, including the severance
rule or statute, or otherwise ordered by the presid- of such information into separate counts or the
ing judge. filing of a bill of particulars. No appeal, or motion
(P.B. 1978-1997, Sec. 813.) made after verdict, based on any of the defects
Sec. 41-8. Motion to Dismiss enumerated in Section 41-10 shall be sustained
The following defenses or objections, if capable unless it is affirmatively shown that the defendant
of determination without a trial of the general was, in fact, prejudiced in his or her defense upon
issue, shall, if made prior to trial, be raised by a the merits and that substantial injustice was done
motion to dismiss the information: to the defendant because of such defect.
(P.B. 1978-1997, Sec. 818.)
(1) Defects in the institution of the prosecution
including any grand jury proceedings; Sec. 41-12. Motion to Suppress
(2) Defects in the information including failure
to charge an offense; Upon motion, the judicial authority shall sup-
(3) Statute of limitations; press potential testimony or other evidence if it
(4) Absence of jurisdiction of the court over the finds that suppression is required under the con-
defendant or the subject matter; stitution or laws of the United States or the state
(5) Insufficiency of evidence or cause to justify of Connecticut.
the bringing or continuing of such information or (P.B. 1978-1997, Sec. 821.)
the placing of the defendant on trial; Sec. 41-13. —Return and Suppression of
(6) Previous prosecution barring the present Seized Property
prosecution;
(7) Claim that the defendant has been denied A person aggrieved by a search and seizure
a speedy trial; may make a motion to the judicial authority who
(8) Claim that the law defining the offense has jurisdiction of the case, or if such jurisdiction
charged is unconstitutional or otherwise invalid; or has not yet been invoked, then to the judicial
(9) Any other grounds. authority who issued the warrant or to the court
(P.B. 1978-1997, Sec. 815.) in which the case is pending, for the return of
391
specific items of property and to suppress their Sec. 41-18. Severance of Offenses
use as evidence on the grounds that: If it appears that a defendant is prejudiced by
(1) The property was illegally seized without a a joinder of offenses, the judicial authority may,
warrant under circumstances requiring a warrant; upon its own motion or the motion of the defend-
(2) The warrant is insufficient on its face; ant, order separate trials of the counts or provide
(3) The property seized is not that described in whatever other relief justice may require.
the warrant; (P.B. 1978-1997, Sec. 828.)
(4) There was not probable cause for believing
the existence of the grounds on which the warrant Sec. 41-19. Trial Together of Informations
was issued; or The judicial authority may, upon its own motion
(5) The warrant was illegally executed. or the motion of any party, order that two or more
(P.B. 1978-1997, Sec. 822.) informations, whether against the same defend-
Sec. 41-14. —Suppression of Intercepted ant or different defendants, be tried together.
(P.B. 1978-1997, Sec. 829.)
Communications
Any aggrieved person in any trial, hearing or Sec. 41-20. Bill of Particulars; Time for Filing
proceeding in or before any court may move to Pursuant to Section 41-5, the defendant may
suppress the contents of any intercepted wire make a motion, or the judicial authority may order
communication, or any evidence derived there- at any time, that the prosecuting authority file a
from, on the grounds that: bill of particulars.
(1) The communication was unlawfully inter- (P.B. 1978-1997, Sec. 831.)
cepted under the provisions of chapter 959a of
the General Statutes; Sec. 41-21. —Content of Bill
(2) The order of authorization or approval under The judicial authority shall order that a bill of
which it was intercepted is insufficient on its face; particulars disclose information sufficient to
(3) The interception was not made in conformity enable the defendant to prepare the defense,
with the order of authorization or approval; or including but not being limited to reasonable
(4) The interception was otherwise illegal. notice of the crime charged and the date, time,
(P.B. 1978-1997, Sec. 823.) and place of its commission.
(P.B. 1978-1997, Sec. 832.)
Sec. 41-15. —Time for Filing Motion to
Suppress Sec. 41-22. —Furnishing of Bill
A motion under Sections 41-12 through 41-17 When any bill of particulars is ordered, an
shall be made before trial or hearing in accord- amended or substitute information shall be filed
ance with Section 41-5 unless opportunity therefor incorporating its provisions.
did not exist or the defendant or other moving (P.B. 1978-1997, Sec. 833.)
party was not aware of the grounds of the motion,
in which case such motion may be made at any Sec. 41-23. Transfer of Prosecution;
time during the trial or the pendency of any pro- Grounds
ceeding. The judicial authority in its discretion may Upon motion of the prosecuting authority or the
entertain such a motion at any time. defendant, or upon its own motion, the judicial
(P.B. 1978-1997, Sec. 824.) authority may order that any pending criminal mat-
Sec. 41-16. —Effect on Seized Property of ter be transferred to any other court location:
Granting Motion (1) If the judicial authority is satisfied that a fair
If the judicial authority grants a motion made and impartial trial cannot be had where the case
under Sections 41-12 through 41-17, the property is pending;
seized shall be returned unless the judicial author- (2) If the defendant and the prosecuting author-
ity finds that the property is subject to lawful deten- ity consent; or
tion or destruction. (3) Where the joint trial of informations is
(P.B. 1978-1997, Sec. 825.) ordered pursuant to Section 41-19 and the cases
are pending in different judicial districts or geo-
Sec. 41-17. —Particular Judicial Authority graphical areas.
May Not Hear Motion (P.B. 1978-1997, Sec. 835.)
A judicial authority who signed any warrant or
order for the seizure of property, testimony or evi- Sec. 41-24. —Time for Motion to Transfer
dence or for the interception of any communica- A motion for transfer of prosecution shall be
tions shall not preside at any hearing on a motion made within the time prescribed by Section 41-5
made pertaining to such warrant or order. for making pretrial motions.
(P.B. 1978-1997, Sec. 826.) (P.B. 1978-1997, Sec. 836.)
392
Sec. 41-25. —Proceedings on Transfer court. Such case may be heard at a session of
The clerk of the court in which such case is such court then being held, or thereafter to be
pending shall transmit the original files and papers held, for the transaction of criminal business and
may be there proceeded with and in the same
therein, with a certificate of such transfer, to the manner as if it were originally brought to such
clerk of the court to which such case is transferred, court.
who shall at once enter it on the docket of such (P.B. 1978-1997, Sec. 837.)
393
CHAPTER 42
TRIAL PROCEDURE
Sec. Sec.
42-1. Jury Trials; Right to Jury Trial and Waiver 42-29. Verdict; Return of Verdict
42-2. —Two Part Information 42-30. —Acceptance of Verdict
42-3. —Size of Jury 42-31. —Poll of Jury after Verdict
42-4. —Challenge to Array 42-32. —Discharge of Jury
42-5. —Disqualification of Jurors and Selection of Panel 42-33. —Impeachment of Verdict
42-6. —View by Jury of Place or Thing Involved in Case 42-34. Trial without Jury
42-7. —Communications between Judicial Authority 42-35. Order of Parties Proceeding at Trial
and Jury 42-36. Sequestration of Witnesses
42-8. —Communications between Parties and Jurors 42-37. Time Limits in Argument
42-9. —Juror Questions and Note Taking 42-38. Order of Proceeding of Defendants
42-10. Selection of Jury; Deaf or Hearing Impaired Jurors 42-39. Judicial Appointment of Expert Witnesses
42-11. —Preliminary Proceedings in Jury Selection 42-40. Motions for Judgment of Acquittal; In General
42-12. —Voir Dire Examination 42-41. —At Close of Prosecution’s Case
42-13. —Peremptory Challenges 42-42. —At Close of Evidence
42-14. —Oath and Admonitions to Trial Jurors 42-43. Motion for Mistrial; For Prejudice to Defendant
42-15. Motion in Limine 42-44. —For Prejudice to State
42-45. Jury’s Inability to Reach Verdict
42-16. Requests to Charge and Exceptions; Necessity for
42-46. Control of Judicial Proceedings; Restraint of Dis-
42-17. —Filing Requests
ruptive Defendant
42-18. —Form and Contents of Requests to Charge
42-47. —Removal of Disruptive Defendant
42-19. —Charge Conference 42-48. —Cautioning Parties and Witnesses
42-20. Submission for Verdict; Role of Judicial Authority 42-49. Closure of Courtroom in Criminal Cases
in Trial 42-49A. Sealing or Limiting Disclosure of Documents in
42-21. Jury Deliberations Criminal Cases
42-22. Sequestration of Jury 42-50. Motion for Judgment of Acquittal; After Mistrial
42-23. Materials to Be Submitted to Jury 42-51. —Upon Verdict of Guilty
42-24. Modification of Instructions for Correction or Clarifi- 42-52. —Time for Filing Motion for Judgment of Acquittal
cation 42-53. Motion for New Trial; In General
42-25. —Other Instructions after Additional Instructions 42-54. —Time for Filing Motion for New Trial
42-26. Jury Requests for Review of Testimony 42-55. —Time for Filing Motion for New Trial Based on
42-27. Jury Requests for Additional Instructions Newly Discovered Evidence
42-28. Deadlocked Jury 42-56. Motion in Arrest of Judgment
Sec. 42-1. Jury Trials; Right to Jury Trial defendant elects a jury trial on the second part of
and Waiver the information, such trial may be had to the same
The defendant in a criminal action may demand or to another jury as the judicial authority may
a trial by jury of issues which are triable of right direct.
by jury. If at the time the defendant is put to plea, (P.B. 1978-1997, Sec. 840.)
he or she elects a trial by the court, the judicial
authority shall advise the defendant of his or her Sec. 42-3. —Size of Jury
right to a trial by jury and that a failure to elect a The parties, after submission of the matter to
jury trial at that time may constitute a waiver of the jury and prior to the verdict, may, by stipulation
that right. If the defendant does not then elect a in writing and with the approval of the judicial
jury trial, the defendant’s right thereto may be authority, elect to have the verdict rendered by a
deemed to have been waived. number of jurors fewer than that prescribed by
(P.B. 1978-1997, Sec. 839.)
law. The judicial authority shall not permit such
Sec. 42-2. —Two Part Information an election or stipulation unless the defendant,
When an information is divided into two parts after being advised by the judicial authority of his
under Section 36-14, on a finding of guilty on the or her right to a trial by a full jury, personally waives
first part of the information, a plea shall be taken such right either in writing or in open court on
and, if necessary, election made on the second the record.
part and the trial thereon proceeded with. If the (P.B. 1978-1997, Sec. 841.)
394
Sec. 42-4. —Challenge to Array the significance or the implications of anything

Any party may challenge an array on the ground under observation or of any issue in the case.
that there has been a material departure from the (P.B. 1978-1997, Sec. 844.)
requirements of law governing the selection and Sec. 42-7. —Communications between Judi-
summoning of an array. Such challenge shall be cial Authority and Jury
made within five days after notification of the hear-
ing or trial date, unless the defect claimed has All communications from the jury to the judicial
arisen subsequent to the time required to make authority shall be in writing. The judicial authority
such motion. shall require that a record be kept of all communi-
(P.B. 1978-1997, Sec. 842.) cations received by it from a juror or the jury after
the jury has been sworn, and it shall not communi-
Sec. 42-5. —Disqualification of Jurors and cate with a juror or the jury on any aspect of the
Selection of Panel case itself, as distinguished from matters relating
A person shall be disqualified to serve as a juror to physical comforts and the like, except after
if such person is found by the judicial authority to notice to all parties and reasonable opportunity
exhibit any quality which will impair that person’s for them to be present.
capacity to serve as a juror, except that no person (P.B. 1978-1997, Sec. 845.)
shall be disqualified on the basis of deafness or Sec. 42-8. —Communications between Par-
hearing impairment. The clerk shall keep a list of ties and Jurors
all persons disqualified under this section and
shall send a copy of that list to the jury administra- (a) No party, and no attorney, employee, repre-
tor at such time as the jury administrator may sentative or agent of any party or attorney, shall
direct. The clerk of the court, in impaneling the contact, communicate with or interview any juror
jury for the trial of each cause, shall, when more or alternate juror, or any relative, friend or associ-
jurors are in attendance than are required for the ate of any juror or alternate juror concerning the
panel, designate by lot those who shall compose deliberations or verdict of the jury or of any individ-
the panel. ual juror or alternate juror in any action:
(P.B. 1978-1997, Sec. 843.) (1) during trial until the jury has returned a ver-
dict and/or the jury has been dismissed by the
Sec. 42-6. —View by Jury of Place or Thing judicial authority, except upon leave of the judicial
Involved in Case authority, which shall be granted only upon a
When the judicial authority is of the opinion that showing of good cause; or
a viewing by the jury of the place where the (2) in any manner after trial which subjects the
offense being tried was committed, or of any other juror to harassment, misrepresentation, duress
place or thing involved in the case, will be helpful or coercion.
to the jury in determining any material factual (b) After trial, jurors have no obligation to speak
issue, it may in its discretion, at any time before to any person about any case and may refuse all
the closing arguments, order that the jury be con- interviews or requests to discuss the case, except
ducted to such place or location of such thing. as ordered by the court. However, jurors shall
During the viewing the jury must be kept together report to the court any extraneous prejudicial infor-
under the supervision of a proper officer appointed mation improperly brought to the jury’s attention,
by the judicial authority. The judicial authority and any outside influence improperly brought to bear
a court reporter must be present, and, with the upon any juror, or whether the verdict reported
judicial authority’s permission, any other person was the result of a clerical mistake.
may be present. The prosecuting authority, the (c) A violation of subsection (a) may, where
defendant and defense counsel may as a matter appropriate, be treated as a contempt of court,
of right be present, but the right may be waived. and may be punished accordingly. The judicial
The purpose of viewing shall be solely to permit authority shall have continuing supervision over
visual observation by the jury of the place or thing communications with jurors, even after a trial has
in question and to permit a brief description of the been completed.
site or thing being viewed by the judicial authority (P.B. 1978-1997, Sec. 845A.) (Amended June 15, 2012,
or by any witness or witnesses as allowed by the to take effect Jan. 1, 2013.)
judicial authority. Any proceedings at the location,
including examination of witnesses, shall be at Sec. 42-9. —Juror Questions and Note
the discretion of the judicial authority. Neither the Taking
parties nor counsel nor the jurors while viewing The members of the jury may, in the discretion
the place or thing may engage in discussion of of the judicial authority, take notes and submit
395
questions to be asked of witnesses during the trial Sec. 42-14. —Oath and Admonitions to
of a criminal action. Trial Jurors
(P.B. 1978-1997, Sec. 845B.) (a) The judicial authority shall cause the jurors
Sec. 42-10. Selection of Jury; Deaf or Hear- selected for the trial to be sworn or affirmed in
ing Impaired Jurors accordance with General Statutes §§ 1-23 and 1-
25. The judicial authority shall admonish the jurors
At the request of a deaf or hearing impaired not to read, listen to or view news reports of the
juror or the judicial authority, an interpreter or case or to discuss with each other or with any
interpreters provided by the commission on the person not a member of the jury the cause under
deaf and hearing impaired and qualified under consideration, except that after the case has been
General Statutes § 46a-33a shall assist such juror submitted to the jury for deliberation the jurors
during the juror orientation program and all subse- shall discuss it among themselves in the jury
quent proceedings, and when the jury assembles room.
for deliberation. (b) In the presence of the jury, the judicial
(P.B. 1978-1997, Sec. 846A.) (Amended August 24, 2001,
authority shall instruct any interpreter for a deaf
or hearing impaired juror to refrain from participat-
Sec. 42-11. —Preliminary Proceedings in ing in any manner in the deliberations of the jury
Jury Selection and to refrain from having any communications,
The judicial authority shall cause prospective oral or visual, with any member of the jury except
jurors to be sworn or affirmed in accordance with for the literal translation of jurors’ remarks made
General Statutes §§ 1-23 and 1-25. The judicial during deliberations.
(P.B. 1978-1997, Sec. 850.)
authority shall require counsel to make a prelimi-
nary statement as to the names of other counsel Sec. 42-15. Motion in Limine
with whom he or she is affiliated and other relevant The judicial authority to whom a matter has
facts, and shall require counsel to disclose the been referred for trial may in its discretion enter-
names, and if ordered by the judicial authority, tain a motion in limine made by either party regard-
the addresses of all witnesses counsel intends to ing the admission or exclusion of anticipated
call at trial. The judicial authority may excuse any evidence. Such motion shall be in writing and shall
prospective juror for cause. describe the anticipated evidence and the preju-
(P.B. 1978-1997, Sec. 847.) dice which may result therefrom. The judicial
Sec. 42-12. —Voir Dire Examination authority may grant the relief sought in the motion
or such other relief as it may deem appropriate,
Each party shall have the right to examine, per- may deny the motion with or without prejudice to
sonally or by counsel, each juror outside the pres- its later renewal, or may reserve decision thereon
ence of other prospective jurors as to until a later time in the proceeding.
qualifications to sit as a juror in the action, or as (P.B. 1978-1997, Sec. 850B.)
to interest, if any, in the subject matter of the
action, or as to relations with the parties thereto. Sec. 42-16. Requests to Charge and Excep-
If the judicial authority before whom such exami- tions; Necessity for
nation is held is of the opinion from such examina- An appellate court shall not be bound to con-
tion that any juror would be unable to render a sider error as to the giving of, or the failure to
fair and impartial verdict, such juror shall be give, an instruction unless the matter is covered
excused by the judicial authority from any further by a written request to charge or exception has
service upon the panel, or in such action, as the been taken by the party appealing immediately
judicial authority determines. The judicial authority after the charge is delivered. Counsel taking the
shall not abridge the right of such examination by exception shall state distinctly the matter objected
requiring counsel or the defendant to put ques- to and the ground of exception. The exception
tions to any juror in writing and to submit them in shall be taken out of the hearing of the jury.
advance of the commencement of the trial. (P.B. 1978-1997, Sec. 852.)
take effect Jan. 1, 2010.) Sec. 42-17. —Filing Requests
Written requests to charge the jury must be filed
Sec. 42-13. —Peremptory Challenges in triplicate with the clerk before the beginning of
The prosecuting authority and the defendant the arguments or at such earlier time during the
may challenge peremptorily the number of jurors trial as the judicial authority directs, and the clerk
which each is entitled to challenge by law. shall file them and forthwith hand one copy to the
(P.B. 1978-1997, Sec. 849.) judicial authority and one to opposing counsel. A
396
party’s requests to charge may be amended in reasonably directs. If the judicial authority permits
writing as a matter of right at any time prior to the the jury to recess its deliberations, the judicial
beginning of the charge conference. authority shall admonish the jurors not to discuss
(P.B. 1978-1997, Sec. 853.) the case until they reconvene in the jury room.
Sec. 42-18. —Form and Contents of The judicial authority shall direct the jurors to
Requests to Charge select one of their members to preside over the
deliberations and to deliver any verdict agreed
(a) When there are several requests, they shall upon, and the judicial authority shall admonish
be in separate and numbered paragraphs, each the jurors that until they are discharged in the case
containing a single proposition of law clearly and they may communicate upon subjects connected
concisely stated with the citation of authority upon with the trial only while they are convened in the
which it is based, and the evidence to which the jury room. If written forms of verdict are submitted
proposition would apply. Requests to charge to the jury pursuant to Section 42-23, the member
should not exceed fifteen in number unless, for of the jury selected to deliver the verdict shall sign
good cause shown, the judicial authority permits any verdict agreed upon.
the filing of an additional number. If the request (P.B. 1978-1997, Sec. 856.)
is granted, the judicial authority shall apply the
proposition of law to the facts of the case. Sec. 42-22. Sequestration of Jury
(b) A principle of law should be stated in but If a case involves the penalty of capital punish-
one request and in but one way. Requests ment or imprisonment for life or is of such notoriety
attempting to state in different forms the same or its issues are of such a nature that, absent
principle of law as applied to a single issue are sequestration, highly prejudicial matters are likely
improper. to come to the jury’s attention, the judicial author-
(P.B. 1978-1997, Sec. 854.) ity, upon its own motion or the motion of either
Sec. 42-19. —Charge Conference party, may order that the jurors remain together
in the custody of an officer during the trial and until
After the close of evidence but before argu-
they are discharged from further consideration of
ments to the jury, the judicial authority shall, if
the case. Such order shall include an interpreter
requested, inform counsel out of the presence of
or interpreters assisting a deaf or hearing impaired
the jury of the substance of its proposed
juror. A motion to sequester may be made at any
instructions.
time. The jury shall not be informed which party
The charge conference shall be on the record
requested sequestration.
or summarized on the record. (P.B. 1978-1997, Sec. 857.)
to take effect Jan. 1, 2002.) Sec. 42-23. Materials to Be Submitted to
Sec. 42-20. Submission for Verdict; Role of Jury
Judicial Authority in Trial (a) The judicial authority shall submit to the jury:
The judicial authority shall decide all issues of (1) The information upon which the defendant
law and all questions of law arising in the trial of was tried; and
criminal cases. In committing the case to the jury, (2) All exhibits received in evidence.
if in the opinion of the judicial authority the evi- (b) The judicial authority may, in its discretion,
dence is not sufficient to justify the finding of guilt submit to the jury:
beyond a reasonable doubt, it may direct the jury (1) Appropriate written forms of verdict;
to find a verdict of not guilty; otherwise, subject (2) A copy or tape recording of the judicial
to the provisions of Section 42-40, the judicial authority’s instructions to the jury; and
authority shall submit the facts to the jury without (3) Upon request by the jury, a copy or tape
directing how it is to find the facts or how it is to recording of an appropriate portion of the judicial
render the verdict. authority’s instructions to the jury.
(P.B. 1978-1997, Sec. 855.) (P.B. 1978-1997, Sec. 858.)
Sec. 42-21. Jury Deliberations Sec. 42-24. Modification of Instructions for

After the case has been submitted to the jury, Correction or Clarification
the jurors shall be in the custody of an officer who The judicial authority, after exceptions to the
shall permit no person to be present with them or charge, or upon its own motion, may recall the
to speak to them when assembled for delibera- jury to the courtroom and give it additional instruc-
tions except a qualified interpreter assisting a deaf tions in order to:
or hearing impaired juror. The jurors shall be kept (1) Correct or withdraw an erroneous in-
together for deliberations as the judicial authority struction;
397
(2) Clarify an ambiguous instruction; or respect to any defendant as to whom it agrees.

(3) Instruct the jury on any matter which should The defendant, if found not guilty of the offense
have been covered in the original instructions. charged, may be found guilty of an offense neces-
(P.B. 1978-1997, Sec. 860.) sarily included in the offense charged or of an
Sec. 42-25. —Other Instructions after Addi- attempt to commit either the offense charged or
tional Instructions an offense necessarily included therein, if the
attempt is an offense.
If the judicial authority gives additional instruc- (P.B. 1978-1997, Sec. 867.)
tions, it also may give or repeat other instructions
in order to avoid undue emphasis on the additional Sec. 42-30. —Acceptance of Verdict
instructions. Additional instructions shall be gov- The judicial authority shall, if the verdict is in
erned by the procedures set forth in Section 42- order and is technically correct, accept it with-
16 concerning exceptions. out comment.
(P.B. 1978-1997, Sec. 861.) (P.B. 1978-1997, Sec. 868.)
Sec. 42-26. Jury Requests for Review of Sec. 42-31. —Poll of Jury after Verdict
Testimony After a verdict has been returned and before
If the jury after retiring for deliberations requests the jury has been discharged, the jury shall be
a review of certain testimony, the jury shall be polled at the request of any party or upon the
conducted to the courtroom. Whenever the jury’s judicial authority’s own motion. The poll shall be
request is reasonable, the judicial authority, after conducted by the clerk of the court by asking each
notice to and consultation with the prosecuting juror individually whether the verdict announced
authority and counsel for the defense, shall have is such juror’s verdict. If upon the poll there is not
the requested parts of the testimony read to the unanimous concurrence, the jury may be directed
jury. to retire for further deliberations or it may be dis-
(P.B. 1978-1997, Sec. 863.) charged.
(P.B. 1978-1997, Sec. 869.)
Sec. 42-27. Jury Requests for Additional
Instructions Sec. 42-32. —Discharge of Jury
If the jury, after retiring for deliberations, The judicial authority shall discharge the jury
requests additional instructions, the judicial after it has rendered its verdict or after a mistrial
authority, after providing notice to the parties and has been declared.
an opportunity for suggestions by counsel, shall (P.B. 1978-1997, Sec. 870.)
recall the jury to the courtroom and give additional
instructions necessary to respond properly to the Sec. 42-33. —Impeachment of Verdict
request or to direct the jury’s attention to a portion Upon an inquiry into the validity of a verdict, no
of the original instructions. evidence shall be received to show the effect of
(P.B. 1978-1997, Sec. 864.) any statement, conduct, event or condition upon
the mind of a juror nor any evidence concerning
Sec. 42-28. Deadlocked Jury
mental processes by which the verdict was deter-
If it appears to the judicial authority that the jury mined. Subject to these limitations, a juror’s testi-
has been unable to agree, it may require the jury mony or affidavit shall be received when it
to continue its deliberations. The judicial authority concerns any misconduct which by law permits a
shall not require or threaten to require the jury to jury to be impeached.
deliberate for an unreasonable length of time or (P.B. 1978-1997, Sec. 871.)
for unreasonable intervals. It may also instruct
the jury as to disagreements in accordance with Sec. 42-34. Trial without Jury
the law. In a case tried without a jury the judicial authority
(P.B. 1978-1997, Sec. 865.) shall, in accordance with Section 6-1, render a
Sec. 42-29. Verdict; Return of Verdict finding of guilty, not guilty, or not guilty by reason
of mental disease or defect where appropriate.
The verdict shall be general unless otherwise (P.B. 1978-1997, Sec. 872.) (Amended June 30, 2008, to
directed by the judicial authority, but if the judicial take effect Jan. 1, 2009.)
authority instructs the jury regarding the defense
of mental disease or defect, the jury, if it so finds, Sec. 42-35. Order of Parties Proceeding at
shall declare the finding in its verdict. The verdict Trial
shall be unanimous and shall be announced by Unless the judicial authority for cause permits
the jury in open court. If there are two or more otherwise, the parties shall proceed with the trial
defendants, the jury may return a verdict with in the following order:
398
(1) The prosecuting authority shall present the The judicial authority may determine the reason-
case in chief. able compensation for such a witness and direct
(2) The defendant may present a case in chief. payment out of such funds as may be provided by
(3) The prosecuting authority and the defendant law. This section shall not apply to appointments
may present rebuttal evidence in successive made pursuant to General Statutes § 54-56d.
rebuttals, as required. The judicial authority for (P.B. 1978-1997, Sec. 881.)
cause may permit a party to present evidence
Sec. 42-40. Motions for Judgment of Acquit-
not of a rebuttal nature, and if the prosecuting
tal; In General
authority is permitted to present further evidence
in chief, the defendant may respond with further Motions for a directed verdict of acquittal and
evidence in chief. for dismissal when used during the course of a trial
(4) The prosecuting authority shall be entitled are abolished. Motions for a judgment of acquittal
to make the opening and final closing arguments. shall be used in their place. After the close of the
(5) The defendant may make a single closing prosecution’s case in chief or at the close of all
argument following the opening argument of the the evidence, upon motion of the defendant or
prosecuting authority. upon its own motion, the judicial authority shall
(P.B. 1978-1997, Sec. 874.) order the entry of a judgment of acquittal as to
any principal offense charged and as to any lesser
Sec. 42-36. Sequestration of Witnesses included offense for which the evidence would
The judicial authority upon motion of the prose- not reasonably permit a finding of guilty. Such
cuting authority or of the defendant shall cause judgment of acquittal shall not apply to any lesser
any witness to be sequestered during the hearing included offense for which the evidence would
on any issue or motion or during any part of the reasonably permit a finding of guilty.
trial in which such witness is not testifying. (P.B. 1978-1997, Sec. 883.)
(P.B. 1978-1997, Sec. 876.)
Sec. 42-41. —At Close of Prosecution’s
Sec. 42-37. Time Limits in Argument Case
Counsel shall not occupy more than one hour If the motion is made after the close of the
in argument in any trial, unless the judicial author- prosecution’s case in chief, the judicial authority
ity, on motion for special cause before the com- shall either grant or deny the motion before calling
mencement of such argument, allows counsel a upon the defendant to present the defendant’s
longer time. case in chief. If the motion is not granted, the
(P.B. 1978-1997, Sec. 879.) defendant may offer evidence without having
Sec. 42-38. Order of Proceeding of reserved the right to do so.
(P.B. 1978-1997, Sec. 884.)
Defendants
If there are two or more defendants and they Sec. 42-42. —At Close of Evidence
do not agree as to their order of proceeding, the If the motion is made at the close of all the
judicial authority shall determine their order. evidence in a jury case, the judicial authority may
(P.B. 1978-1997, Sec. 880.) reserve decision on the motion, submit the case
Sec. 42-39. Judicial Appointment of Expert to the jury, and decide the motion either before
Witnesses the jury returns a verdict or after it returns a verdict
of guilty or after it is discharged without having
Whenever the judicial authority deems it neces- returned a verdict.
sary, on its own motion it may appoint any expert (P.B. 1978-1997, Sec. 885.)
witnesses of its own selection. An expert witness
shall not be appointed by the judicial authority Sec. 42-43. Motion for Mistrial; For Preju-
unless the expert consents to act. A witness so dice to Defendant
appointed shall be informed of his or her duties Upon motion of a defendant, the judicial author-
by the judicial authority in writing, a copy of which ity may declare a mistrial at any time during the
shall be filed with the clerk, or the witness shall trial if there occurs during the trial an error or legal
be informed of his or her duties at a conference defect in the proceedings, or any conduct inside or
in which the parties shall have an opportunity to outside the courtroom which results in substantial
participate. A witness so appointed shall advise and irreparable prejudice to the defendant’s case.
the parties of his or her findings, if any, and may If there are two or more defendants, the mistrial
thereafter be called to testify by the judicial author- shall not be declared as to a defendant who does
ity or by any party. A witness so appointed shall not make or join in the motion.
be subject to cross-examination by each party. (P.B. 1978-1997, Sec. 887.)
399
Sec. 42-44. —For Prejudice to State during trial or hearing when the defendant’s con-
Upon motion of the prosecuting authority, the duct has become so disruptive that the trial or
judicial authority may declare a mistrial if there hearing cannot proceed in an orderly manner. The
occurs during the trial, either inside or outside the judicial authority shall advise the defendant that
courtroom, misconduct by the defendant, counsel the trial or hearing will continue in the defendant’s
for the defendant, or someone acting at the absence. A defendant who has been removed
request of the defendant or such counsel, which shall remain present in the court building while
results in substantial and irreparable prejudice to the trial or hearing is in progress. At the time of the
the prosecuting authority’s case. If there are two defendant’s removal, the judicial authority shall
or more defendants, the mistrial shall not be advise the defendant that the defendant may
declared as to a defendant if neither that defend- request to be returned to the courtroom if, at the
ant, nor counsel for that defendant, nor a person time of making such request, the defendant
acting at the request of that defendant or counsel assures the judicial authority that the defendant
for that defendant participated in the misconduct, shall not engage in disruptive conduct. Whenever
or if the prosecuting authority’s case is not sub- the defendant is removed, the judicial authority
stantially and irreparably prejudiced as to that shall instruct the jurors that such removal is not
defendant. to be considered in assessing the evidence or in
(P.B. 1978-1997, Sec. 888.) the determination of the case.
(P.B. 1978-1997, Sec. 893.)
Sec. 42-45. Jury’s Inability to Reach Verdict
Sec. 42-48. —Cautioning Parties and Wit-
The judicial authority shall declare a mistrial in nesses
any case in which the jury is unable to reach Whenever appropriate in the light of the issues
a verdict. in the case or its notoriety, the judicial authority
(P.B. 1978-1997, Sec. 889.)
may direct the parties, their counsel and the wit-
Sec. 42-46. Control of Judicial Proceedings; nesses not to make extrajudicial statements relat-
Restraint of Disruptive Defendant ing to the case or the issues in the case for
dissemination by any means of public communi-
(a) Reasonable means of restraint may be
cation.
employed if the judicial authority finds such (P.B. 1978-1997, Sec. 894.)
restraint reasonably necessary to maintain order.
If restraints appear potentially necessary and the Sec. 42-49. Closure of Courtroom in Crimi-
circumstances permit, the judicial authority may nal Cases
conduct an evidentiary hearing outside the pres- (Amended May 14, 2003, to take effect July 1, 2003.)
ence of the jury before ordering such restraints. (a) Except as otherwise provided by law, there
The judicial authority may rely on information shall be a presumption that courtroom proceed-
other than that formally admitted into evidence. ings shall be open to the public.
Such information shall be placed on the record (b) Except as provided in this section and
outside the presence of the jury and the defendant except as otherwise provided by law, the judicial
given an opportunity to respond to it. authority shall not order that the public be
(b) In ordering the use of restraints or denying excluded from any portion of a courtroom pro-
a request to remove them, the judicial authority ceeding.
shall detail its reasons on the record outside the (c) Upon written motion of the prosecuting
presence of the jury. The nature and duration of authority or of the defendant, or upon its own
the restraints employed shall be those reasonably motion, the judicial authority may order that the
necessary under the circumstances. All reason- public be excluded from any portion of a court-
able efforts shall be employed to conceal such room proceeding only if the judicial authority con-
restraints from the view of the jurors. Upon cludes that such order is necessary to preserve
request, the judicial authority shall instruct the an interest which is determined to override the
jurors that restraint is not to be considered in public’s interest in attending such proceeding. The
assessing the evidence or in the determination of judicial authority shall first consider reasonable
the case. alternatives to any such order and any such order
(P.B. 1978-1997, Sec. 892.) shall be no broader than necessary to protect
such overriding interest. An agreement of the par-
Sec. 42-47. —Removal of Disruptive ties to close the courtroom shall not constitute a
Defendant sufficient basis for the issuance of such an order.
Upon the direction of the judicial authority, a (d) In connection with any order issued pursuant
defendant may be removed from the courtroom to subsection (c) of this section, the judicial
400
authority shall articulate the overriding interest other materials on file with the court or filed in connection with
being protected and shall specify its findings a court proceeding be sealed or their disclosure limited if the
judicial authority concludes that such order is necessary to
underlying such order. If any findings would reveal preserve an interest which is determined to override the pub-
information entitled to remain confidential, those lic’s interest in attending such proceeding or in viewing such
findings may be set forth in a sealed portion of materials. Any such order shall be no broader than necessary
the record. The time, date and scope of any such to protect such overriding interest.
order shall be set forth in a writing signed by the ‘‘(c) In connection with any order issued pursuant to subsec-
judicial authority which upon issuance the court tion (b) of this section, the judicial authority shall, on the record
in open court, articulate the overriding interest being protected
clerk shall immediately enter in the court file and and shall specify its findings underlying such order. The time
publish by posting on a bulletin board adjacent to and date of any such order shall be entered by the court clerk
the clerk’s office and accessible to the public. The in the court file together with such order.
judicial authority shall order that a transcript of ‘‘(d) With the exception of orders concerning any session
its decision be included in the file or prepare a of court conducted pursuant to General Statutes § 54-76h or
memorandum setting forth the reasons for its any other provision of the General Statutes under which the
court is authorized to close proceedings, whether at a pretrial
order. or trial stage, no order excluding the public from any portion
(e) A motion to close a courtroom proceeding of a proceeding shall be effective until seventy-two hours after
shall be calendared so that notice to the public is it has been issued. Any person affected by such order shall
given of the time and place of the hearing on the have the right to the review of such order by the filing of a
motion and to afford the public an opportunity to petition for review with the appellate court within seventy-two
be heard on the motion under consideration. The hours from the issuance of such order. The timely filing of any
petition for review shall stay such order. (See General Statutes
notice of the time, date and place of the hearing § 51-164x.)
on the motion shall be posted on a bulletin board ‘‘(e) With the exception of orders concerning the disclosure
adjacent to the clerk’s office and accessible to the of any documents pursuant to General Statutes § 54-33c or
public. The motion itself may be filed under seal, any other provision of the General Statutes under which the
where appropriate, by leave of the judicial court is authorized to seal or limit the disclosure of files, affida-
authority. vits, documents or materials, whether at a pretrial or trial stage,
and any order issued pursuant to a court rule that seals or
(f) With the exception of orders concerning any limits the disclosure of any affidavit in support of an arrest
session of court conducted pursuant to General warrant, any person affected by a court order that seals or
Statutes § 54-76h or any other provision of the limits the disclosure of any files, documents or other materials
General Statutes under which the court is author- on file with the court or filed in connection with a court proceed-
ized to close courtroom proceedings, whether at ing, shall have the right to the review of such order by the
a pretrial or trial stage, no order excluding the filing of a petition for review with the appellate court within
seventy-two hours from the issuance of such order. Nothing
public from any portion of a courtroom proceeding under this subsection shall operate as a stay of such seal-
shall be effective until seventy-two hours after it ing order.’’
has been issued. Any person affected by such COMMENTARY—2003: The public and press enjoy a right
order shall have the right to the review of such of access to attend trials in criminal cases. Press-Enterprise
order by the filing of a petition for review with the Co. v. Superior Court, 478 U.S. 1, 10, 106 S. Ct. 2735, 92 L.
appellate court within seventy-two hours from the Ed. 2d 1 (1986) (Press-Enterprise II); Globe Newspaper Co.
v. Superior Court, 457 U.S. 596, 606, 102 S. Ct. 2613, 73 L.
issuance of such order. The timely filing of any Ed. 2d 248 (1982). This right is well settled in the common
petition for review shall stay such order. law and has been held to be implicit in the first amendment
(P.B. 1978-1997, Sec. 895.) (Amended June 28, 1999, to rights protecting the freedom of speech, of the press, of peace-
take effect Jan. 1, 2000; amended May 14, 2003, to take effect able assembly and to petition the government for a redress
July 1, 2003; amended June 21, 2004, to take effect Jan. of grievances. Globe Newspaper Co. v. Superior Court, supra,
1, 2005.) 603; Richmond Newspapers, Inc. v. Virginia, 448 U.S. 555,
HISTORY—2003: Prior to 2003, when both the title and 575, 100 S. Ct. 2814, 65 L. Ed. 2d 973 (1980); see generally
text were amended, Section 42-49 read: ‘‘—Exclusion of the Press-Enterprise II, supra, 6–13; see also In re Matter of the
Public; Sealing or Limiting Disclosure of Documents New York Times Co., 828 F.2d 110, 113 (2d Cir. 1987). In
‘‘(a) Except as provided in this section and except as Richmond Newspapers, Inc. v. Virginia, supra, 564, the court
otherwise provided by law, including Sections 36-2, 40-29 explained that ‘‘throughout its evolution, the trial has been
and 40-40 through 40-43 and General Statutes § 54-33c, the open to all who care to observe.’’
judicial authority shall not order that the public, which may The guarantee of open public proceedings in criminal trials
include the news media, be excluded from any portion of a applies as well to voir dire and pretrial proceedings. Press-
court proceeding and shall not order that any files, affidavits, Enterprise Co. v. Superior Court, 464 U.S. 501, 505, 104 S.
documents, or other materials on file with the court or filed in Ct. 819, 78 L. Ed. 2d 248 (1984) (Press-Enterprise I); United
connection with a court proceeding be sealed or their disclo- States v. Cojab, 996 F.2d 1404, 1407 (2d Cir. 1993); United
sure limited. States v. Haller, 837 F.2d 84, 86 (2d Cir. 1988); United States
‘‘(b) Upon motion of the prosecuting authority or of the v. Gerena, 703 F. Sup. 211, 213 (D. Conn. 1988). The pre-
defendant, or upon its own motion, the judicial authority may sumption of openness may be overcome only by an overriding
order that the public be excluded from any portion of a court interest based on findings that closure is essential to preserve
proceeding and may order that files, affidavits, documents or higher values and is narrowly tailored to serve that interest.
401
The interest is to be articulated along with findings specific (pertaining to the testimony of a victim of child abuse); other
enough that a reviewing court can determine whether the rules of practice; e.g., Practice Book Section 40-43; and/or
closure order was entered properly. Press-Enterprise I, supra, controlling state or federal case law.
510; United States v. Haller, supra, 87; Doe v. Meachum, 126 The above amendment to subsection (d) establishes a
F.R.D. 452, 455 (D. Conn. 1989); State v. Kelly, 208 Conn. mechanism by which the public and the press, who are empow-
365, 372, 545 A.2d 1048 (1988). Such findings may be made ered by this rule to object to pending motions to close the
under seal when necessary. United States v. Haller, supra, courtroom in criminal matters, will receive timely notice of the
87; see In re Application of the Herald Co., 734 F.2d 93, court’s disposition of such motions. General Statutes § 51-
100 (2d Cir. 1984) (closure of suppression hearing should be 164x (a) gives any person affected by a court closure order
allowed only upon showing of significant risk of prejudice to in a criminal action the right to the review of such order by filing
defendant’s right to fair trial, if there is danger to persons or a petition for review with the appellate court within seventy-two
property, or in connection with significant activities entitled to hours from the issuance of the order.
confidentiality, such as undercover investigations); see also
United States v. Brooklier, 685 F.2d 1162, 1168–69 (9th Cir. Sec. 42-49A. Sealing or Limiting Disclosure
1982) (since purpose of articulated findings is to enable appel- of Documents in Criminal Cases
late court to determine whether order was properly entered,
findings must be sufficiently specific to show that public pro- (a) Except as otherwise provided by law, there
ceedings would result in irreparable damage to defendant’s shall be a presumption that documents filed with
right to fair trial, that no alternative to closure would adequately the court shall be available to the public.
protect defendant’s right to fair trial, and that closure would (b) Except as provided in this section and
protect that right). except as otherwise provided by law, including
Since the circumstances of a particular case may affect
the significance of the interest sought to be protected, the
Sections 36-2, 40-29 and 40-40 through 40-43
requirement that specific findings justifying closure be articu- and General Statutes § 54-33c, the judicial
lated mandates a case-by-case analysis of the interest authority shall not order that any files, affidavits,
involved. Globe Newspaper Co. v. Superior Court, supra, 457 documents, or other materials on file with the court
U.S. 607–608 (where welfare of minor child is at issue, factors or filed in connection with a court proceeding be
to be weighed in determining whether closure is warranted sealed or their disclosure limited.
include minor victim’s age, psychological maturity and under-
standing, nature of crime, desires of victim, and interests of
(c) Upon written motion of the prosecuting
parents and relatives). A case-by-case analysis of the interests authority or of the defendant, or upon its own
involved ensures that the constitutional right of access to trials motion, the judicial authority may order that files,
will not be restricted except where absolutely necessary. Id., affidavits, documents, or other materials on file or
609. ‘‘For a case-by-case approach to be meaningful, repre- lodged with the court or in connection with a court
sentatives of the press and general public ‘must be given an proceeding be sealed or their disclosure limited
opportunity to be heard on the question of their exclusion.’ ’’
Id., 609 n.25, quoting Gannett Co. v. DePasquale, 443 U.S.
only if the judicial authority concludes that such
368, 401, 99 S. Ct. 2898, 61 L. Ed. 2d 608 (1979) (Powell, order is necessary to preserve an interest which
J., concurring). Except in extraordinary circumstances, the is determined to override the public’s interest in
press and public must have a means of learning of the closure viewing such materials. The judicial authority shall
or sealing order. See United States v. Haller, supra, 837 F.2d first consider reasonable alternatives to any such
87. ‘‘[A] motion for courtroom closure should be docketed in order and any such order shall be no broader than
the public docket files maintained in the court clerk’s office. .
. . The motion itself may be filed under seal, when appropriate,
necessary to protect such overriding interest. An
by leave of court . . . .’’ (Citation omitted.) In re Application of agreement of the parties to seal or limit the disclo-
the Herald Co., supra, 734 F.2d 102; see also In re Knight sure of documents on file with the court or filed
Publishing Co., 743 F.2d 231, 235 (4th Cir. 1984); In re Knox- in connection with a court proceeding shall not
ville News-Sentinel Co., 723 F.2d 470, 474–76 (6th Cir. 1983). constitute a sufficient basis for the issuance of
Because this section no longer deals with the sealing of such an order.
documents, subsection (e) has been transferred to Section
42-49A.
(d) In connection with any order issued pursuant
HISTORY—2005: Prior to 2005, the third sentence of sub- to subsection (c) of this section, the judicial
section (d) read: ‘‘The time, date and scope of any such order authority shall articulate the overriding interest
shall be in writing and shall be signed by the judicial authority being protected and shall specify its findings
and be entered by the court clerk in the court file.’’ underlying such order and the duration of such
COMMENTARY—2005: As used in subsection (a) above, order. If any finding would reveal information enti-
the words ‘‘Except as otherwise provided by law’’ are intended
to exempt from the operation of this rule all established proce- tled to remain confidential, those findings may be
dures for the closure of courtroom proceedings as required set forth in a sealed portion of the record. The
or permitted by statute; e.g., General Statutes §§ 19a-583 (a) time, date, scope and duration of any such order
(10) (D) (pertaining to court proceedings as to disclosure of shall be set forth in a writing signed by the judicial
confidential HIV-related information), 36a-21 (b) (pertaining to authority which upon issuance the court clerk shall
court proceedings at which certain records of the department
of banking are disclosed), 46b-11 (pertaining to hearings in
immediately enter in the court file and publish by
family relations matters), 54-86c (b) (pertaining to the disclo- posting on a bulletin board adjacent to the clerk’s
sure of exculpatory information or material), 54-86f (pertaining office and accessible to the public. The judicial
to the admissibility of evidence of sexual conduct) and 54-86g authority shall order that a transcript of its decision
402
SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERS Sec. 42-49A
be included in the file or prepare a memorandum for review with the appellate court within seventy-
setting forth the reasons for its order. two hours from the issuance of such order. Noth-
(e) Except as otherwise ordered by the judicial ing under this subsection shall operate as a stay
authority, a motion to seal or limit the disclosure of such sealing order.
of affidavits, documents, or other materials on file (h) The provisions of this section shall not apply
or lodged with the court or in connection with a to pretrial settlement conferences or negotiations
court proceeding shall be calendared so that or to documents submitted to the court in connec-
notice to the public is given of the time and place tion with such conferences or negotiations.
(Adopted May 14, 2003, to take effect July 1, 2003;
of the hearing on the motion and to afford the amended June 21, 2004, to take effect Jan. 1, 2005.)
public an opportunity to be heard on the motion COMMENTARY—2003: The public and press enjoy a right
under consideration. The notice of the time, date of access to attend trials in criminal cases and to access
and place of the hearing on the motion shall be documents filed in connection with such cases. Press-Enter-
posted on a bulletin board adjacent to the clerk’s prise Co. v. Superior Court, 478 U.S. 1, 10, 106 S. Ct. 2735,
92 L. Ed. 2d 1 (1986) (Press-Enterprise II); Globe Newspaper
office and accessible to the public. The proce- Co. v. Superior Court, 457 U.S. 596, 606, 102 S. Ct. 2613,
dures set forth in Sections 7-4B and 7-4C shall 73 L. Ed. 2d 248 (1982); Associated Press v. United States
be followed in connection with a motion to file District Court, 705 F.2d 1143, 1145 (9th Cir. 1983); United
affidavits, documents or other materials under States v. Gerena, 703 F. Sup. 211, 213 (D. Conn. 1988), citing
seal or to limit their disclosure. In re Matter of the New York Times Co., 828 F.2d 110, 114
(2d Cir. 1987). This right is well settled in the common law
(f) (1) A motion to seal the contents of an entire and has been held to be implicit in the first amendment rights
court file shall be placed on a calendar to be held protecting the freedom of speech, of the press, of peaceable
not less than fifteen days following the filing of assembly and to petition the government for a redress of
the motion, unless the judicial authority otherwise grievances. Globe Newspaper Co. v. Superior Court, supra,
604–605; Richmond Newspapers, Inc. v. Virginia, 448 U.S.
directs, so that notice to the public is given of the 555, 575, 100 S. Ct. 2814, 65 L. Ed. 2d 973 (1980); see
time and place of the hearing on the motion and generally Press-Enterprise II, supra, 6–13; see also In re Mat-
to afford the public an opportunity to be heard on ter of the New York Times Co., supra, 113; United States v.
the motion under consideration. The notice of the Gerena, supra, 213.
time, date and place of the hearing on the motion The right of access to documents is not absolute. United
shall be posted on a bulletin board adjacent to States v. Gerena, supra, 703 F. Sup. 213. The presumption
of openness may be overcome only by an overriding interest
the clerk’s office and accessible to the public. The based on findings that denying access is essential to preserve
procedures set forth in Sections 7-4B and 7-4C higher values and is narrowly tailored to serve that interest.
shall be followed in connection with such motion. The interest is to be articulated along with findings specific
(2) The judicial authority may issue an order enough that a reviewing court can determine whether the
closure order was entered properly. Id., citing Press-Enterprise
sealing the contents of an entire court file only II, supra, 478 U.S. 9–10; see also United States v. Haller, 837
upon a finding that there is not available a more F.2d 84, 87 (2d Cir. 1988); Doe v. Meachum, 126 F.R.D. 452,
narrowly tailored method of protecting the overrid- 455 (D. Conn. 1989); State v. Kelly, 208 Conn. 365, 372, 545
ing interest, such as redaction or sealing a portion A.2d 1048 (1988). Such findings may be made under seal
of the file. The judicial authority shall state in its when necessary. United States v. Haller, supra, 87.
Since the circumstances of a particular case may affect
decision or order each of the more narrowly tai- the significance of the interest sought to be protected, the
lored methods that was considered and the rea- requirement that specific findings justifying closure or sealing
son each such method was unavailable or be articulated mandates a case-by-case analysis of the inter-
inadequate. est involved. Globe Newspaper Co. v. Superior Court, supra,
(g) With the exception of orders concerning the 457 U.S. 607–608; In re Knight Publishing Co., 743 F.2d 231,
235 (4th Cir. 1984); see Publicker Industries, Inc. v. Cohen,
disclosure of any documents pursuant to General 733 F.2d 1059, 1070–71 (3d Cir. 1984). ‘‘For a case-by-case
Statutes § 54-33c or any other provision of the approach to be meaningful, representatives of the press and
General Statutes under which the court is author- general public ‘must be given an opportunity to be heard on
ized to seal or limit the disclosure of files, affida- the question of their exclusion.’ ’’ Globe Newspaper Co. v.
vits, documents, or materials, whether at a pretrial Superior Court, supra, 609 n.25, quoting Gannett Co. v.
DePasquale, 443 U.S. 368, 401, 99 S. Ct. 2898, 61 L. Ed. 2d
or trial stage, and any order issued pursuant to a 608 (1979) (Powell, J., concurring). Except in extraordinary
court rule that seals or limits the disclosure of circumstances, the press and public must have a means of
any affidavit in support of an arrest warrant, any learning of the closure or sealing order. See United States v.
person affected by a court order that seals or limits Haller, supra, 837 F.2d 87; In re Knight Publishing Co., supra,
the disclosure of any files, documents, or other 235. In In re the Application of the Herald Co., 734 F.2d 93,
102 (2d Cir. 1984), the court stated that ‘‘a motion for court-
materials on file with the court or filed in connec- room closure should be docketed in the public docket files
tion with a court proceeding, shall have the right maintained in the court clerk’s office. . . . The motion itself
to the review of such order by the filing of a petition may be filed under seal, when appropriate, by leave of the
403
Sec. 42-49A SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERS
court . . . .’’ (Citation omitted.) See also In re Knight Publishing guilty beyond a reasonable doubt. If the judicial
Co., supra, 235; In re Knoxville News-Sentinel Co., 723 F.2d authority directs an acquittal for the offense speci-
470, 474–76 (6th Cir. 1983).
It is intended that the use of pseudonyms in place of the
fied in the verdict, but not for a lesser included
name of a party or parties not be permitted in criminal matters. offense, it may either:
HISTORY—2005: Prior to 2005, the third sentence of sub- (1) Modify the verdict accordingly; or
section (d) read: ‘‘The time, date, scope and duration of any (2) Grant the defendant a new trial as to the
such order shall forthwith be reduced to writing and be signed
by the judicial authority and be entered by the court clerk in
lesser included offense.
the court file.’’ (P.B. 1978-1997, Sec. 899.)
COMMENTARY—2005: As used in subsection (a) above,
the words ‘‘Except as otherwise provided by law’’ are intended Sec. 42-52. —Time for Filing Motion for
to exempt from the operation of this rule all established proce- Judgment of Acquittal
dures for the sealing or ex parte filing, in camera inspection
and/or nondisclosure to the public of documents, records and
Unless the judicial authority, in the interests of
other materials, as required or permitted by statute; e.g., Gen- justice, permits otherwise, a motion for a judgment
eral Statutes §§ 12-242vv (pertaining to taxpayer information), of acquittal shall be made within five days after a
52-146c et seq. (pertaining to the disclosure of psychiatric mistrial or a verdict or within any further time the
records) and 54-56g (pertaining to the pretrial alcohol educa- judicial authority allows during the five-day period.
tion program); other rules of practice; e.g., Practice Book Sec-
(P.B. 1978-1997, Sec. 900.)
tions 7-18, 13-5 (6)–(8) and 40-13 (c); and/or controlling state
or federal case law; e.g., Matza v. Matza, 226 Conn. 166,
627 A.2d 414 (1993) (establishing a procedure whereby an Sec. 42-53. Motion for New Trial; In General
attorney seeking to withdraw from a case due to his client’s (a) Upon motion of the defendant, the judicial
anticipated perjury at trial may support his motion to withdraw
by filing a sealed affidavit for the court’s review).
authority may grant a new trial if it is required in
The above amendment to subsection (d) establishes a the interests of justice. Unless the defendant’s
mechanism by which the public and the press, who are empow- noncompliance with these rules or with other
ered by this rule to object to pending motions to seal files or requirements of law bars his or her asserting the
limit the disclosure of documents in criminal matters, will error, the judicial authority shall grant the motion:
receive timely notice of the court’s disposition of such motions.
General Statutes § 51-164x (c) gives any person affected by
(1) For an error by reason of which the defend-
a court order sealing a file or limiting the disclosure of a docu- ant is constitutionally entitled to a new trial; or
ment in a criminal action the right to the review of such order (2) For any other error which the defendant can
by filing a petition for review with the appellate court within establish was materially injurious to him or her.
seventy-two hours from the issuance of the order.
(b) If the trial was by the court and without a
The above section shall not apply to motions and orders
made pursuant to General Statutes § 54-33c concerning the jury, the judicial authority, with the defendant’s
limitation of the disclosure of affidavits in support of search consent and instead of granting a new trial, may
warrant applications. vacate any judgment entered, receive additional
evidence, and direct the entry of a new judgment.
Sec. 42-50. Motion for Judgment of Acquit- (P.B. 1978-1997, Sec. 902.)
tal; After Mistrial
Upon the declaration of a mistrial pursuant to Sec. 42-54. —Time for Filing Motion for
Sections 42-43 through 42-45, at any time after New Trial
the close of the state’s case in chief, the judicial Unless otherwise permitted by the judicial
authority, upon motion of the defendant or upon authority in the interests of justice, a motion for a
its own motion, may order the entry of a judgment new trial shall be made within five days after a
of acquittal as to any offense charged, or any verdict or finding of guilty or within any further
lesser included offense, for which the evidence time the judicial authority allows during the five-
would not reasonably permit a finding of guilty
day period.
beyond a reasonable doubt. The acquittal does (P.B. 1978-1997, Sec. 903.)
not bar prosecution for any offense as to which
the judicial authority does not direct an acquittal. Sec. 42-55. —Time for Filing Motion for New
(P.B. 1978-1997, Sec. 898.)
Trial Based on Newly Discovered Evidence
Sec. 42-51. —Upon Verdict of Guilty A request for a new trial on the ground of newly
If the jury returns a verdict of guilty, the judicial discovered evidence shall be called a petition for
authority, upon motion of the defendant or upon a new trial and shall be brought in accordance with
its own motion, shall order the entry of a judgment General Statutes § 52-270. The judicial authority
of acquittal as to any offense specified in the ver- may grant the petition even though an appeal
dict, or any lesser included offense, for which the is pending.
evidence does not reasonably permit a finding of (P.B. 1978-1997, Sec. 904.)
404
Sec. 42-56. Motion in Arrest of Judgment authority was without jurisdiction of the offense
On motion of the defendant, the judicial author- charged. The motion in arrest of judgment shall
ity shall arrest judgment if the indictment or infor- be made prior to the imposition of sentence.
mation does not charge an offense or if the judicial (P.B. 1978-1997, Sec. 905.)
405
CHAPTER 43
SENTENCING, JUDGMENT, AND APPEAL
Sec. Sec.
43-1. Posttrial Release Following Appeal by Prosecut- 43-22. Correction of Illegal Sentence
ing Authority 43-23. Sentence Review; Appearance of Counsel
43-2. Posttrial Release Following Conviction 43-24. —Time for Filing Application for Sentence Review
43-3. Presentence Investigation and Report; Waiver; 43-25. —Preparation of Documents by Clerk
Alternative Incarceration and Plan 43-26. —Additional Material for Sentence Review
43-4. —Scope of Investigation or Assessment 43-27. —Hearing on Sentence Review Application
43-5. —Participation of Defense Counsel in Report 43-28. —Scope of Review
Preparation 43-29. Revocation of Probation
43-6. —Period of Continuance to Complete Report 43-29A. Notice of Motions to Modify or Enlarge Conditions
43-7. —Persons Receiving Report of Probation or Conditional Discharge or Termi-
43-8. —Prohibition against Making Copies nate Conditions of Probation or Conditional
43-9. —Use and Disclosure of Reports Discharge
43-10. Sentencing Hearing; Procedures to Be Followed 43-30. Notification of Right to Appeal
43-31. Stay of Imprisonment upon Appeal
43-11. —Role at Sentencing of Prosecuting Authority
43-32. Stay of Probation upon Appeal
43-12. —Role of Prosecuting Authority at Sentencing
43-33. Appointment of Initial Counsel for Appeal by Indi-
when There Was a Plea Agreement
gent Defendant
43-13. —Familiarization with Report by Defense 43-34. Attorney’s Finding That Appeal is Wholly Frivo-
Counsel lous; Request by Initial Counsel to Withdraw
43-14. —Correction of Report Indicated by Defense 43-35. —Submission of Brief
Counsel 43-36. —Finding That Appeal is Frivolous
43-15. —Undisclosed Plea Agreement 43-37. —Finding That Appeal is Not Frivolous
43-16. —Submission of Supplementary Documents by 43-38. —Disqualification of Presiding Judge
Defense Counsel 43-39. Speedy Trial; Time Limitations
43-17. Payment of Fines; Inquiry concerning Ability 43-40. —Excluded Time Periods in Determining
43-18. —Incarceration for Failure to Pay Speedy Trial
43-19. —Payment and Satisfaction 43-41. —Motion for Speedy Trial; Dismissal
43-20. —Mittimus 43-42. —Definition of Commencement of Trial
43-21. Reduction of Definite Sentence 43-43. —Waiver of Speedy Trial Provisions
Sec. 43-1. Posttrial Release Following following conditions of release found sufficient by
Appeal by Prosecuting Authority the judicial authority to provide such assurance:
The defendant shall not be denied liberty pend- (1) His or her execution of a written promise
ing determination of an appeal by the state from to appear;
any judgment of acquittal or from any judgment (2) His or her execution of a bond without surety
in no greater amount than necessary;
not resulting in a sentence, the effect of which is
(3) His or her execution of a bond with surety
to terminate prosecution.
in no greater amount than necessary;
(P.B. 1978-1997, Sec. 907.)
(4) His or her deposit of a sum of money equal
Sec. 43-2. Posttrial Release Following Con- to the amount called for by the bond required by
viction the judicial authority;
(5) His or her pledge of real property, the equity
(a) A person who has been convicted of any of which shall be calculated, and be in such an
offense and who either is awaiting sentence or amount, as set forth in Section 38-9.
has given oral or written notice of his or her inten- (b) The judicial authority may order that the
tion to appeal or file a petition for certification or bond in effect at that time continue until the imposi-
a writ of certiorari may be released, subject to tion of sentence, and it may order an increase in
General Statutes § 54-95, pending final disposi- the amount of such bond. It shall also have author-
tion of his or her case upon sentence or appeal, ity to modify or revoke at any time the terms and
unless the judicial authority finds custody to be conditions of release.
necessary to provide reasonable assurance of the (c) The provisions of Section 38-7 shall apply
person’s appearance in court, upon the first of the to condition (4) herein, except that the cash bail
406
shall be deposited with the clerk of the court hav- used in lieu of an alternate incarceration assess-
ing jurisdiction of the offense with which such per- ment report provided attached thereto is a state-
son stands convicted or any assistant clerk of ment by the investigating authority recommending
such court who is bonded in the same manner as whether or not the defendant should participate
the clerk or any person or officer authorized to in an alternate incarceration program and any rec-
accept bail. ommendation that the defendant participate
(P.B. 1978-1997, Sec. 908.) includes a proposed alternate incarceration plan.
(P.B. 1978-1997, Sec. 911.)
Sec. 43-3. Presentence Investigation and
Report; Waiver; Alternative Incarceration Sec. 43-5. —Participation of Defense Coun-
and Plan sel in Report Preparation
(a) If the defendant is convicted of a crime other
than a capital felony, the punishment for which Defense counsel, on a prompt request, shall be
may include imprisonment for more than one year, notified of the time when the defendant shall be
the judicial authority shall order a presentence interviewed by probation officers regarding a pre-
investigation, or the supplementation of any sentence or alternate incarceration assessment
existing presentence investigation report. The report or both for the judicial authority and may
judicial authority may, in its discretion, order a be present:
presentence investigation for a defendant con- (1) To assist in answering inquiries of the proba-
victed of any crime or offense. tion officer;
(b) A defendant who is convicted of a crime (2) To assist in resolving factual issues and
and is not eligible for sentence review pursuant questions;
to General Statutes § 51-195 may, with the con- (3) To protect the defendant against incrimina-
sent of the sentencing judge and the prosecuting tion regarding other pending indictments or inves-
authority, waive the presentence investigation. tigations; and
(c) Pursuant to General Statutes § 53a-39a, the (4) To protect the defendant’s rights with
judicial authority may, in its discretion, order an respect to an appeal of conviction.
assessment for placement in an alternate incar- (P.B. 1978-1997, Sec. 912.)
ceration program to be conducted by the office of
adult probation. Sec. 43-6. —Period of Continuance to Com-
(P.B. 1978-1997, Sec. 910.) plete Report
Sec. 43-4. —Scope of Investigation or As- When it is necessary to continue a case for
sessment sentencing, the judicial authority may consider the
(a) Whenever an investigation is required or period of time necessary to complete the investi-
an assessment is ordered or both, the probation gation or assessment or both and report, and any
officer shall promptly inquire into the attitude of reasonable request, and shall set a date for sen-
the complainant or the victim, or of the immediate tencing accordingly.
(P.B. 1978-1997, Sec. 913.)
family where possible in cases of homicide, and
the criminal record, social history and present con- Sec. 43-7. —Persons Receiving Report
dition of the defendant. Such investigation shall
include an inquiry into the circumstances of the The presentence investigation or alternate
offense and any damages suffered by the victim, incarceration assessment report or both shall be
including medical expenses, loss of earnings and provided to the judicial authority, and copies
property loss. Such assessment shall include an thereof shall be provided to the prosecuting
inquiry into the defendant’s prior participation in authority and to the defendant or his or her coun-
any release programs and the defendant’s atti- sel in sufficient time for them to prepare ade-
tude about participation in an alternate incarcera- quately for the sentencing hearing, and in any
tion program. When it is desirable in the opinion of event, no less than forty-eight hours prior to the
the judicial authority or the investigating authority, date of the sentencing. Upon request of the
such investigation or assessment shall include a defendant, the sentencing hearing shall be contin-
physical and mental examination of the ued for a reasonable time if the judicial authority
defendant. finds that the defendant or his or her counsel did
(b) If an assessment includes a recommenda- not receive the presentence investigation or alter-
tion for placement in an alternate incarceration nate incarceration assessment report or both
program, it shall include, as an attachment, a pro- within such time.
posed alternate incarceration plan. A current or (P.B. 1978-1997, Sec. 915.) (Amended June 26, 2006, to
updated presentence investigation report may be take effect Jan. 1, 2007.)
407
Sec. 43-8. —Prohibition against Making presentence and alternate incarceration reports
Copies under proper application to a judicial authority in
No person shall, without the permission of the the judicial district in which sentence was
judicial authority, make or cause to be made any imposed.
copy of any presentence investigation or alternate (P.B. 1978-1997, Sec. 917.) (Amended June 30, 2008, to
incarceration assessment report except as take effect Jan. 1, 2009.)
authorized by Sections 43-7 and 43-9. Sec. 43-10. Sentencing Hearing; Proce-
(P.B. 1978-1997, Sec. 916.)
dures to Be Followed
Sec. 43-9. —Use and Disclosure of Reports Before imposing a sentence or making any
The presentence investigation and alternate other disposition after the acceptance of a plea
incarceration assessment reports shall not be of guilty or nolo contendere or upon a verdict or
public records and shall not be accessible to the finding of guilty, the judicial authority shall, upon
public. They shall be available initially to the par- the date previously determined for sentencing,
ties designated in Section 43-7 for use in the conduct a sentencing hearing as follows:
sentencing hearing and in any subsequent pro- (1) The judicial authority shall afford the parties
ceedings wherein the same conviction may be an opportunity to be heard and, in its discretion,
involved, and they shall be available at all times to present evidence on any matter relevant to
to the following: the disposition, and to explain or controvert the
(1) The office of adult probation; presentence investigation report, the alternate
(2) The correctional or mental health institution incarceration assessment report or any other doc-
to which the defendant is committed or may be ument relied upon by the judicial authority in
committed; imposing sentence. When the judicial authority
(3) The board of pardons and paroles; finds that any significant information contained in
(4) The sentence review division of the supe- the presentence report or alternate incarceration
rior court; assessment report is inaccurate, it shall order the
(5) The judicial review council; office of adult probation to amend all copies of
(6) Any court of proper jurisdiction where it is any such report in its possession and in the clerk’s
relevant to any proceeding before such court. file, and to provide both parties with an amend-
Such court may also order that the report be made ment containing the corrected information.
available to counsel for the parties for the purpose (2) The judicial authority shall allow the victim
of such proceeding; and any other person directly harmed by the com-
(7) Counsel for the defendant and the prosecut- mission of the crime a reasonable opportunity to
ing authority during negotiations relating to other make, orally or in writing, a statement with regard
offenses pending against the defendant or subse- to the sentence to be imposed.
quently charged against the defendant;
(3) The judicial authority shall allow the defend-
(8) Counsel for the defendant in a sentence ant a reasonable opportunity to make a personal
review hearing or habeas corpus proceeding upon
statement in his or her own behalf and to present
counsel’s request to the department of adult pro-
any information in mitigation of the sentence.
bation;
(9) Counsel for the defendant and the prosecut- (4) In cases where guilt was determined by a
ing authority in connection with extradition pro- plea, the judicial authority shall, pursuant to Sec-
ceedings; and tion 39-7, be informed by the parties whether there
(10) Any other person or agency specified by is a plea agreement, and if so, the substance
statute. The prosecuting authority and counsel for thereof.
the defendant shall retain a copy of the presen- (5) The judicial authority shall impose the sen-
tence investigation and alternate incarceration tence in the presence and hearing of the defend-
reports and may use the same in connection with ant, unless the defendant shall have waived his
any matter pertaining to actions by the entities or her right to be present.
defined in paragraphs (1) through (9) of this sec- (6) In cases where sentence review is available,
tion, or for any other purpose for which permission the judicial authority shall state on the record, in
is first obtained from any judicial authority. In all the presence of the defendant, the reasons for
other respects, both the prosecuting authority and the sentence imposed.
counsel for the defendant shall maintain the confi- (7) In cases where sentence review is available
dentiality of the information contained in the and where the defendant files an application for
records. A defendant may obtain a copy of the such review, the clerk shall promptly notify the
408
court reporter of such application pursuant to Sec- Sec. 43-16. —Submission of Supplementary
tion 43-24 and the court reporter shall file a copy Documents by Defense Counsel
of the transcript of the sentencing hearing with Defense counsel may submit such supplemen-
the review division within sixty days from the date tary documents as such counsel thinks appro-
the application for review is filed with the clerk. priate.
(P.B. 1978-1997, Sec. 919.)
(P.B. 1978-1997, Sec. 927.)
Sec. 43-11. —Role at Sentencing of Prose-
cuting Authority Sec. 43-17. Payment of Fines; Inquiry con-
The prosecuting authority shall inform the judi- cerning Ability
cial authority of the offenses for which the defend- No person shall be incarcerated as a result of
ant is to be sentenced, shall give a brief failure to pay a fine unless the judicial authority
summation of the facts relevant to each offense, first inquires as to the person’s ability to pay the
shall disclose to the judicial authority any informa- fine.
tion in the files of the prosecuting authority that (P.B. 1978-1997, Sec. 929.)
is favorable to the defendant and relevant to sen-
tencing and shall state the basis for any recom- Sec. 43-18. —Incarceration for Failure to
mendation which it chooses to make as to the Pay
appropriate sentence. The judicial authority may, upon a finding that
(P.B. 1978-1997, Sec. 921.)
the defendant is able to pay the fine and that the
Sec. 43-12. —Role of Prosecuting Authority nonpayment is wilful, order the defendant incar-
at Sentencing when There Was a Plea cerated for nonpayment of the fine.
Agreement (P.B. 1978-1997, Sec. 931.)
Where, as part of a plea agreement, the prose- Sec. 43-19. —Payment and Satisfaction
cuting authority has agreed to make representa-
tions or recommendations to the judicial authority A defendant incarcerated under Section 43-18,
regarding a defendant, or has made other for wilful nonpayment of a fine, shall be released
agreements relating to the disposition of the upon payment of the fine or when such defendant
charges against the defendant, it shall disclose is otherwise discharged according to law.
to the judicial authority such representations or (P.B. 1978-1997, Sec. 932.)
recommendations or any other terms of the plea
agreement relevant to sentencing. Sec. 43-20. —Mittimus
(P.B. 1978-1997, Sec. 922.) When a defendant has been sentenced to a
Sec. 43-13. —Familiarization with Report by term of imprisonment and ordered to pay a fine,
Defense Counsel the mittimus shall state that if the fine has not
been paid by the time the sentence has been
Defense counsel shall familiarize himself or her-
served the defendant may not continue to be
self with the contents of the presentence or alter-
nate incarceration assessment report or both, incarcerated unless the judicial authority has
including any evaluative summary, and any spe- found that the defendant is able to pay the fine
cial medical or psychiatric reports pertaining to and that the defendant’s nonpayment is wilful.
(P.B. 1978-1997, Sec. 932A.)
the client.
(P.B. 1978-1997, Sec. 924.)
Sec. 43-21. Reduction of Definite Sentence
Sec. 43-14. —Correction of Report Indicated At any time during the period of a definite sen-
by Defense Counsel tence of three years or less, the judicial authority
Defense counsel shall bring to the attention of may, after a hearing and for good cause shown,
the judicial authority any inaccuracy in the presen- reduce the sentence or order the defendant dis-
tence or alternate incarceration assessment charged or released on probation or on a condi-
report of which he or she is aware or which the tional discharge for a period not to exceed that to
defendant claims to exist. which the defendant could have been sen-
(P.B. 1978-1997, Sec. 925.)
tenced originally.
Sec. 43-15. —Undisclosed Plea Agreement (P.B. 1978-1997, Sec. 934.)
Defense counsel shall disclose to the judicial Sec. 43-22. Correction of Illegal Sentence
authority any plea agreement that has not already
been disclosed. The judicial authority may at any time correct
(P.B. 1978-1997, Sec. 926.) an illegal sentence or other illegal disposition, or
409
it may correct a sentence imposed in an illegal the discharge of its duties. Counsel for the defend-
manner or any other disposition made in an ille- ant and the defendant shall address the panel of
gal manner. judges in support of the application. Upon request
(P.B. 1978-1997, Sec. 935.) of the defendant the review division shall hear his
or her application while an appeal or collateral
Sec. 43-23. Sentence Review; Appearance review is pending.
of Counsel (P.B. 1978-1997, Sec. 941.)
It is the responsibility of the counsel of record
at the time of sentencing to represent the defend- Sec. 43-28. —Scope of Review
ant at the hearing before the sentence review The review division shall review the sentence
division of the superior court, unless, for excep- imposed and determine whether the sentence
tional reasons, such counsel is excused by the should be modified because it is inappropriate or
division. disproportionate in the light of the nature of the
(P.B. 1978-1997, Sec. 937.) offense, the character of the offender, the protec-
tion of the public interest, and the deterrent, reha-
Sec. 43-24. —Time for Filing Application for bilitative, isolative, and denunciatory purposes for
Sentence Review which the sentence was intended.
In cases where sentence review is available (P.B. 1978-1997, Sec. 942.)
pursuant to General Statutes § 51-195, the Sec. 43-29. Revocation of Probation
defendant may file, within thirty days from the In cases where the revocation of probation is
date that sentence is imposed or from the date based upon a conviction for a new offense and
defendant’s suspended sentence is revoked, with the defendant is before the court or is being held in
the clerk of the court for the judicial district or custody pursuant to that conviction, the revocation
geographical area in which the judgment was ren- proceeding may be initiated by a motion to the
dered, an application for review of sentence by the court by a probation officer and a copy thereof
review division. The clerk shall notify the review shall be delivered personally to the defendant. All
division, the judge who imposed the sentence, the other proceedings for revocation of probation shall
court reporter, and all counsel of record upon the be initiated by an arrest warrant supported by
filing of the application for review. The court an affidavit or by testimony under oath showing
reporter shall prepare a transcript of the sentenc- probable cause to believe that the defendant has
ing hearing in accordance with the provisions of violated any of the conditions of the defendant’s
Section 43-10. probation or his or her conditional discharge or
(P.B. 1978-1997, Sec. 938.) by a written notice to appear to answer to the
Sec. 43-25. —Preparation of Documents by charge of such violation, which notice, signed by
Clerk a judge of the superior court, shall be personally
served upon the defendant by a probation officer
The clerk of the court in which the application and contain a statement of the alleged violation.
is filed shall forward the necessary documents to All proceedings thereafter shall be in accordance
the review division. with the provisions of Sections 3-6, 3-9 and 37-
(P.B. 1978-1997, Sec. 939.)
1 through 38-23. At the revocation hearing, the
Sec. 43-26. —Additional Material for Sen- prosecuting authority and the defendant may offer
tence Review evidence and cross-examine witnesses. If the
defendant admits the violation or the judicial
The defendant, at the time the application for authority finds from the evidence that the defend-
review is filed, may request the clerk to forward ant committed the violation, the judicial authority
to the review division any documents in the pos- may make any disposition authorized by law. The
session of the clerk previously presented to the filing of a motion to revoke probation under this
judicial authority at the time of the imposition of section shall interrupt the period of the sentence
sentence. as of the date of filing until a final determination
(P.B. 1978-1997, Sec. 940.)
as to revocation has been made by the judicial
Sec. 43-27. —Hearing on Sentence Review authority.
Application (P.B. 1978-1997, Sec. 943.)
A hearing upon an application filed under Sec- Sec. 43-29A. Notice of Motions to Modify or
tion 43-24 shall be conducted expeditiously upon Enlarge Conditions of Probation or Condi-
receipt by the review division of the materials sub- tional Discharge or Terminate Conditions of
mitted by the clerk under Sections 43-23 through Probation or Conditional Discharge
43-28. The parties may file such briefs or memo- Whenever a motion to modify or enlarge the
randa as are appropriate to assist the division in conditions of probation or conditional discharge
410
is filed, and whenever a motion for termination of for a waiver of fees and costs, pursuant to Sec-
a sentence of probation or conditional discharge tions 63-7 and 44-1 through 44-5.
is filed, such motion shall be served prior to the (b) The application for a waiver of costs and
hearing date upon the opposing party and, if the fees must be sent for investigation of the appli-
movant is not a probation officer, the appropriate cant’s indigence to the public defender’s office in
probation officer, unless otherwise ordered by the
the court from which the appeal is taken. The
judicial authority. Service of said motions shall be
made on the defendant by delivering a copy to judicial authority shall assign the application for
the defendant personally or by leaving it at his or hearing within twenty days after filing unless
her usual place of abode. Service of said motions otherwise ordered by the judicial authority for
may be made by any probation officer. Service of good cause shown. At least ten days before the
said motions shall be made on all other parties, hearing, the clerk’s office shall notify in writing
and on the appropriate probation officer, in trial counsel, the state’s attorney, the trial public
accordance with the provisions of Section 10-12 defender’s office to which the application had
et seq. been sent for investigation and the chief of legal
(Adopted June 25, 2001, to take effect Jan. 1, 2002.) services of the public defender’s office, of the date
Sec. 43-30. Notification of Right to Appeal of such hearing. The lack of timely notification to
Where there has been a conviction after a trial, any of the above parties shall result in a continu-
or where there has been an adverse decision ance of the hearing until proper and timely notifi-
upon an application for a writ of habeas corpus cation has been completed.
brought by or on behalf of one who has been (c) The application for the appointment of coun-
convicted of a crime, it shall be the duty of the sel to prosecute the defendant’s appeal shall be
clerk of the court, immediately after the pro- assigned to the same date and hearing as the
nouncement of the sentence or the notice of a application for waiver of fees, costs and expenses,
decision on the application for a writ of habeas and the judicial authority shall decide both applica-
corpus, to advise the defendant in writing of such tions at the same time. If trial counsel is not to
rights as such defendant may have to an appeal, be the assigned appellate counsel, the judicial
of the time limitations involved, and of the right of authority shall inform and order trial counsel to
an indigent person who is unable to pay the cost cooperate fully with appellate counsel. If the chief
of an appeal to apply for a waiver of fees, costs,
of legal services of the public defender’s office is
and expenses and for the appointment of counsel
to prosecute the appeal. to be assigned as appellate counsel, trial counsel
(P.B. 1978-1997, Sec. 945.) shall be deemed to have ‘‘cooperated fully’’ if
counsel has delivered to the chief of legal ser-
Sec. 43-31. Stay of Imprisonment upon vices: a complete appellate worksheet, which
Appeal shall be provided by the chief of legal services;
A sentence of imprisonment shall be stayed if and trial counsel’s file or a copy thereof. Failure
an appeal is taken and the defendant is released to fully cooperate with appellate counsel will result
pursuant to Sections 43-1 and 43-2 pending dis- in a short continuance of the applications for
position of the appeal, unless the judicial authority appellate counsel and for the waiver of fees, costs
shall order otherwise. and expenses until cooperation is completed, or,
(P.B. 1978-1997, Sec. 947.)
if full cooperation is not completed within a reason-
Sec. 43-32. Stay of Probation upon Appeal able time, sanctions against trial counsel may
Upon written motion of the defendant, an order be imposed.
placing the defendant on probation may be stayed (d) The judicial authority shall act promptly on
if an appeal is taken. If it is not stayed, the judicial the applications following the hearing. Upon deter-
authority shall specify when the term of probation mination by the judicial authority that a defendant
shall commence. in a criminal case is indigent, the court to which
(P.B. 1978-1997, Sec. 948.)
the fees required by statute or rule are to be paid
Sec. 43-33. Appointment of Initial Counsel may (1) waive payment by the defendant of fees
for Appeal by Indigent Defendant specified by statute and of taxable costs, and
(a) An indigent defendant who wishes to prose- waive the requirement of Sec. 61-6 concerning
cute his or her appeal may apply to the court from the furnishing of security for costs upon appeal,
which the appeal is taken for the appointment of (2) order that the necessary expenses of prose-
counsel to prosecute the defendant’s appeal and cuting the appeal be paid by the state, and (3)
411
appoint appellate counsel and permit the with- Sec. 43-38. —Disqualification of Presiding
drawal of the trial attorney’s appearance provided Judge
the judicial authority is satisfied that that attorney Any presiding judge who was also the trial judge
has cooperated fully with appellate counsel in the shall refer the matter to the administrative judge
preparation of the defendant’s appeal. in the judicial district for assignment to another
(P.B. 1978-1997, Sec. 950.) judicial authority. If such presiding judge is also
the administrative judge, then the matter shall be
Sec. 43-34. Attorney’s Finding That Appeal referred by the presiding judge to the chief admin-
is Wholly Frivolous; Request by Initial Coun- istrative judge for criminal matters for assignment
sel to Withdraw to another judicial authority.
When the defendant is represented at trial by (P.B. 1978-1997, Sec. 956.) (Amended June 30, 2003, to
the public defender or has counsel appointed to
prosecute the appeal under the provisions of Sec- Sec. 43-39. Speedy Trial; Time Limitations
tion 43-33 and such public defender or counsel, (a) Except as otherwise provided herein and in
after a conscientious examination of the case, Section 43-40, the trial of a defendant charged
finds that such an appeal would be wholly frivo- with a criminal offense during the period from July
lous, he or she shall advise the presiding judge 1, 1983, through June 30, 1985, inclusive, shall
and request permission to withdraw from the case. commence within eighteen months from the filing
(P.B. 1978-1997, Sec. 952.) of the information or from the date of the arrest,
whichever is later.
Sec. 43-35. —Submission of Brief (b) The trial of such defendant shall commence
At the time such request is made, counsel shall within twelve months from the filing of the informa-
submit to the presiding judge a brief which refers tion or from the date of the arrest, whichever is
to anything in the record that might arguably sup- later, if the following conditions are met:
port the appeal. A copy of such brief shall be (1) the defendant has been continuously incar-
provided to the defendant, and the defendant shall cerated in a correctional institution of this state
be further allowed a reasonable time to raise, in pending trial for such offense; and
writing, additional points in support of the appeal. (2) the defendant is not subject to the provisions
(P.B. 1978-1997, Sec. 953.) of General Statutes § 54-82c.
(c) Except as otherwise provided herein and in
Sec. 43-36. —Finding That Appeal is Friv- Section 43-40, the trial of a defendant charged
olous with a criminal offense on or after July 1, 1985,
The presiding judge shall fully examine the shall commence within twelve months from the
briefs of counsel and of the defendant, and shall filing of the information or from the date of the
review the transcript of the trial. If, after such arrest, whichever is later.
examination, the presiding judge concludes that (d) The trial of such defendant shall commence
the defendant’s appeal is wholly frivolous, such within eight months from the filing of the informa-
judge may grant counsel’s motion to withdraw and tion or from the date of the arrest, whichever is
refuse to appoint new counsel. Before refusing to later, if the following conditions are met:
appoint new counsel, the presiding judge shall (1) the defendant has been continuously incar-
cerated in a correctional institution of this state
make a finding that the appeal is wholly frivolous
pending trial for such offense; and
and shall file a memorandum, setting forth the
(2) the defendant is not subject to the provisions
basis for this finding. of General Statutes § 54-82c.
(P.B. 1978-1997, Sec. 954.)
(e) If an information which was dismissed by
Sec. 43-37. —Finding That Appeal is Not the trial court is reinstated following an appeal,
Frivolous the time for trial set forth in subsections (a), (b)
and (c) shall commence running from the date of
If after a full examination pursuant to Section release of the final appellate decision thereon.
43-36 the presiding judge concludes that the (f) If the defendant is to be tried following a
defendant’s appeal is not wholly frivolous, such mistrial, an order for a new trial, an appeal or
judge may allow counsel to withdraw and appoint collateral attack, the time for trial set forth in sub-
new counsel to represent the defendant, or may sections (a), (b) and (c) shall commence running
order counsel of record to proceed with the from the date the order occasioning the retrial
appeal. becomes final.
(P.B. 1978-1997, Sec. 955.) (P.B. 1978-1997, Sec. 956B.)
412
Sec. 43-40. —Excluded Time Periods in (6) Any period of time between the date on
Determining Speedy Trial which the defendant enters a plea of guilty or nolo
The following periods of time shall be excluded contendere and the date an order of the judicial
in computing the time within which the trial of a authority permitting the withdrawal of the plea
defendant charged by information with a criminal becomes final.
offense must commence pursuant to Section (7) The period of delay resulting from a continu-
43-39: ance granted by the judicial authority at the per-
(1) Any period of delay resulting from other pro- sonal request of the defendant.
ceedings concerning the defendant, including but (8) The period of delay resulting from a continu-
not limited to: ance granted by the judicial authority at the
(A) delay resulting from any proceeding, includ- request of the prosecuting authority, if:
ing any examinations, to determine the mental (A) the continuance is granted because of the
competency or physical capacity of the defendant; unavailability of evidence material to the state’s
(B) delay resulting from trial with respect to case, when the prosecuting authority has exer-
other charges against the defendant; cised due diligence to obtain such evidence and
(C) delay resulting from any interlocutory there are reasonable grounds to believe that such
appeal; evidence will be available at a later date; or
(D) the time between the commencement of the
hearing on any pretrial motion and the issuance (B) the continuance is granted to allow the pros-
of a ruling on such motion; ecuting authority additional time to prepare the
(E) delay reasonably attributable to any period, state’s case and additional time is justified
not to exceed thirty days, during which any pro- because of the exceptional circumstances of
ceeding concerning the defendant is actually the case.
under advisement by the judicial authority; (9) With respect to a defendant incarcerated in
(F) delay resulting from any proceeding under another jurisdiction, the period of time until the
General Statutes §§ 17a-685, 54-56e, 54-56g, defendant’s presence for trial has been obtained,
54-56m or any other pretrial diversion program provided the prosecuting authority has exercised
authorized by statute. reasonable diligence (A) in seeking to obtain the
(2) Any period of delay resulting from the defendant’s presence for trial upon receipt of a
absence or unavailability of the defendant, coun- demand from the defendant for trial, and (B) if the
sel for the defendant, or any essential witness for defendant has not theretofore demanded trial, in
the prosecution or defense. For purposes of this filing a detainer with the official having custody of
subdivision, a defendant or any essential witness the defendant requesting that official to advise the
shall be considered absent when such person’s defendant of the defendant’s right to demand trial.
whereabouts are unknown and cannot be deter- (10) Other periods of delay occasioned by
mined by due diligence. For purposes of this sub- exceptional circumstances.
division, a defendant or any essential witness (P.B. 1978-1997, Sec. 956C.)
shall be considered unavailable whenever such
person’s whereabouts are known but his or her Sec. 43-41. —Motion for Speedy Trial; Dis-
presence for trial cannot be obtained by due dili- missal
gence or he or she resists appearing at or being
returned for trial. If the defendant is not brought to trial within the
(3) Any period of delay resulting from the fact applicable time limit set forth in Sections 43-39
that the defendant is mentally incompetent or and 43-40, and, absent good cause shown, a trial
physically unable to stand trial. is not commenced within thirty days of the filing
(4) A reasonable period of delay when the of a motion for speedy trial by the defendant at
defendant has been joined for trial with a codefen- any time after such time limit has passed, the
dant as to whom the time for trial has not run and information shall be dismissed with prejudice, on
no motion for severance has been granted. motion of the defendant filed after the expiration
(5) Any period of time between the date on of such thirty day period. For the purpose of this
which a defendant or counsel for the defendant section, good cause consists of any one of the
and the prosecuting authority agree that the reasons for delay set forth in Section 43-40. When
defendant will plead guilty or nolo contendere to good cause for delay exists, the trial shall com-
the charge and the date the judicial authority mence as soon as is reasonably possible. Failure
accepts or rejects the plea agreement. of the defendant to file a motion to dismiss prior
413
to the commencement of trial shall constitute a and the swearing-in of the first witness in non-
waiver of the right to dismissal under these rules. jury cases.
(P.B. 1978-1997, Sec. 956D.) (P.B. 1978-1997, Sec. 956E.)
Sec. 43-43. —Waiver of Speedy Trial Pro-
Sec. 43-42. —Definition of Commencement visions
of Trial
The provisions of Sections 43-39 through 43-
For purposes of Sections 43-39 through 43-41, 42 may be waived by any defendant in writing or
‘‘commencement of trial’’ means the commence- on the record in open court.
ment of the voir dire examination in jury cases (P.B. 1978-1997, Sec. 956F.)
414
CHAPTER 44
GENERAL PROVISIONS
Sec. Sec.
44-1. Right to Counsel; Appointment in Specific 44-17. —Motion to Advance
Instances 44-18. —Continuances
44-2. —Appointment in Other Instances 44-19. Reference to Judge Trial Referee
44-3. —Waiver of Right to Counsel 44-20. Appointment of Guardian Ad Litem
44-4. —Standby Counsel for Defendant Self-Repre- 44-21. Infractions and Violations; When Treated as an
sented Offense
44-5. —Role of Standby Counsel 44-22. —Form of Summons and Complaint for Infractions
44-6. —Standby Counsel for Disruptive Defendant and Violations
44-7. Presence of Defendant; Attire of Incarcerated 44-23. —When Custody Not Required
Defendant or Witness 44-24. —When Custody Required
44-8. —When Presence of Defendant is and is Not 44-25. —Plea of Nolo Contendere to Infraction or Violation
Required at Trial and Sentencing 44-26. —Pleas of Not Guilty to Infraction or Violation
44-9. —Obtaining Presence of Unexcused Defendant at 44-27. —Hearing of Infractions, Violations to Which Not
Trial or Sentencing Guilty Plea Filed
44-10. —Where Presence of Defendant Not Required 44-28. —Location of Infractions Bureau and Role of Clerks
44-10A. —Where Presence of Defendant May Be by Means 44-29. —Powers of Centralized Infractions Bureau
of an Interactive Audiovisual Device 44-30. —Hearing by Magistrates of Infractions and Certain
44-11. Docketing and Scheduling in General of Criminal Motor Vehicle Violations
Cases 44-31. Motion to Quash Subpoena Pursuant to Inquiry into
44-12. —Control of Scheduling Commission of Crime
44-13. —Scheduling for Proceedings before Trial; Contin- 44-32. Fees and Expenses; Return of Subpoenas
uances 44-33. —Indigent Witnesses
44-14. —Assignments for Plea in Judicial District Court 44-34. —Fees for Witnesses
Location 44-35. —Officer’s Fees on Extradition; Habeas Corpus
44-15. —Scheduling at Entry of Plea 44-36. —Fee on Motion to Open Certain Judgments
44-16. —Scheduling from Trial List 44-37. Definition of Terms
Sec. 44-1. Right to Counsel; Appointment in appointed prior to trial or the entry of a plea of
Specific Instances guilty or nolo contendere.
(P.B. 1978-1997, Sec. 959.)
A person who is charged with an offense pun-
ishable by imprisonment, or who is charged with Sec. 44-2. —Appointment in Other Instan-
violation of probation, or who is a petitioner in any ces
habeas corpus proceeding arising from a criminal In any other situation in which a defendant is
matter, or who is accused in any extradition pro- unable to obtain counsel by reason of indigency,
ceeding, and who is unable to obtain counsel by and is constitutionally or statutorily entitled to the
reason of indigency shall be entitled to have coun- assistance of counsel, such defendant may
sel represent him or her unless: request the judicial authority to appoint a public
(1) The person waives such appointment pursu- defender in accordance with Section 44-1.
ant to Section 44-3; or (P.B. 1978-1997, Sec. 960.)
(2) In a misdemeanor case, at the time of the
application for the appointment of counsel, the Sec. 44-3. —Waiver of Right to Counsel
judicial authority decides to dispose of the charge A defendant shall be permitted to waive the
without subjecting the defendant to a sentence right to counsel and shall be permitted to repre-
involving immediate incarceration or a suspended sent himself or herself at any stage of the proceed-
sentence of incarceration with a period of proba- ings, either prior to or following the appointment
tion, or it believes that the disposition of the charge of counsel. A waiver will be accepted only after
at a later date will not result in such a sentence the judicial authority makes a thorough inquiry
and it makes a statement to that effect on the and is satisfied that the defendant:
record. If it appears to the judicial authority at a (1) Has been clearly advised of the right to the
later date that if convicted the defendant will be assistance of counsel, including the right to the
subjected to such a sentence, counsel shall be assignment of counsel when so entitled;
415
(2) Possesses the intelligence and capacity to 44-10. Whenever present, the defendant shall be
appreciate the consequences of the decision to seated where he or she can effectively consult
represent oneself; with counsel and can see and hear the proceed-
(3) Comprehends the nature of the charges and ings. An incarcerated defendant or an incarcer-
proceedings, the range of permissible punish- ated witness shall not be required during the
ments, and any additional facts essential to a course of a trial to appear in court in the distinctive
broad understanding of the case; and attire of a prisoner or convict.
(4) Has been made aware of the dangers and (P.B. 1978-1997, Sec. 967.)
disadvantages of self-representation. Sec. 44-8. —When Presence of Defendant is
(P.B. 1978-1997, Sec. 961.)
and is Not Required at Trial and Sentencing
Sec. 44-4. —Standby Counsel for Defendant The defendant must be present at the trial and
Self-Represented at the sentencing hearing, but, if the defendant
When a defendant has been permitted to pro- will be represented by counsel at the trial or sen-
ceed without the assistance of counsel, the judi- tencing hearing, the judicial authority may:
cial authority may appoint standby counsel, (1) Excuse the defendant from being present
especially in cases expected to be long or compli- at the trial or a part thereof or the sentencing
cated or in which there are multiple defendants. hearing if the defendant waives the right to be
A public defender or special public defender may present;
be appointed as standby counsel only if the (2) Direct that the trial or a part thereof or the
defendant is indigent and qualifies for appoint- sentencing hearing be conducted in the defend-
ment of counsel under General Statutes § 51-296, ant’s absence if the judicial authority determines
except that in extraordinary circumstances the that the defendant waived the right to be pre-
judicial authority, in its discretion, may appoint a sent; or
special public defender for a defendant who is (3) Direct that the trial or a part thereof be con-
not indigent. ducted in the absence of the defendant if the judi-
(P.B. 1978-1997, Sec. 963.) cial authority has justifiably excluded the
defendant from the courtroom because of his or
Sec. 44-5. —Role of Standby Counsel her disruptive conduct, pursuant to Section 42-46.
If requested to do so by the defendant, the (P.B. 1978-1997, Sec. 968.)
standby counsel shall advise the defendant as
to legal and procedural matters. If there is no Sec. 44-9. —Obtaining Presence of Unex-
objection by the defendant, such counsel may cused Defendant at Trial or Sentencing
also call the judicial authority’s attention to matters If the defendant is not present at the trial or a
favorable to the defendant. Such counsel shall part thereof or the sentencing hearing and defend-
not interfere with the defendant’s presentation of ant’s absence has not been excused, the judicial
the case and may give advice only upon request. authority may issue a capias in accordance with
(P.B. 1978-1997, Sec. 964.) the provisions of Section 38-21.
(P.B. 1978-1997, Sec. 969.)
Sec. 44-6. —Standby Counsel for Disrup-
tive Defendant Sec. 44-10. —Where Presence of Defendant
Upon direction of the judicial authority in situa- Not Required
tions involving a disruptive defendant or one who (a) Unless otherwise ordered by the judicial
has been removed under Section 42-46, standby authority, a defendant need not be present in the
counsel shall enter the case and represent the following situations:
defendant notwithstanding a previous waiver (1) In proceedings involving a corporation, a
under Section 44-3. If standby counsel is ordered corporation being able to appear by counsel for
to represent the defendant, counsel shall be all purposes;
granted reasonable time before proceeding with (2) In prosecutions for offenses punishable by
the trial. a fine in which the defendant pleads guilty or nolo
(P.B. 1978-1997, Sec. 965.) contendere and pays the fine by mail;
(3) At any argument on a question of law or at
Sec. 44-7. Presence of Defendant; Attire of any conference, except a disposition conference
Incarcerated Defendant or Witness pursuant to Section 39-13;
The defendant has the right to be present at the (4) In proceedings involving a reduction of a
arraignment, at the time of the plea, at evidentiary sentence under Sections 43-21 and 43-22; and
hearings, at the trial, and at the sentencing hear- (5) In proceedings in which the defendant other-
ing, except as provided in Sections 44-7 through wise waives his or her right to be present.
416
(b) If ordered to be present by the judicial with each other simultaneously. In addition, a pro-
authority or if required to be present for a disposi- cedure by which the defendant and his or her
tion conference pursuant to subsection (a) (3) of attorney can confer in private must be provided.
this section, the presence of the defendant may, (c) Unless otherwise required by law or ordered
in the discretion of the judicial authority and, in by the judicial authority, prior to any proceeding
the case of such a disposition conference, with in which a person appears by means of an inter-
the consent of the defendant, be made by means active audiovisual device, copies of all documents
of an interactive audiovisual device. Such audiovi- which may be offered at the proceeding shall be
sual device must operate so that the defendant, provided to all counsel and self-represented par-
his or her attorney, if any, and the judicial authority ties in advance of the proceeding.
can see and communicate with each other simul- (d) Nothing contained in this section shall be
taneously. In addition, a procedure by which the construed to establish a right for any person to
defendant and his or her attorney can confer in appear by means of an interactive audiovisual
private must be provided. device.
(P.B. 1978-1997, Sec. 970.) (Amended December 19,
(Adopted Dec. 19, 2006, to take effect March 12, 2007;
2006, to take effect March 12, 2007.)
Sec. 44-10A. —Where Presence of Defend-
ant May Be by Means of an Interactive Sec. 44-11. Docketing and Scheduling in
Audiovisual Device General of Criminal Cases
(a) Unless otherwise ordered by the judicial Upon the return of an indictment or of a sum-
authority, and in the discretion of the judicial mons, or of a warrant previously issued by the
authority, a defendant may be present by means judicial authority, or upon receipt of notice of an
of an interactive audiovisual device for the follow- arrest, the clerk of the court having jurisdiction of
ing proceedings: the case shall forthwith assign a number to the
(1) Hearings concerning indigency pursuant to case, enter it on the criminal docket or on other
General Statutes § 52-259b; appropriate documents, and make a file in con-
(2) Hearings concerning asset forfeiture, unless nection therewith. Such clerk shall immediately
the testimony of witnesses is required; notify the prosecuting authority of the number
(3) Hearings regarding seized property, unless assigned to the case.
the testimony of witnesses is required; (P.B. 1978-1997, Sec. 972.)
(4) With the defendant’s consent, bail modifica- Sec. 44-12. —Control of Scheduling
tion hearings pursuant to Section 38-14;
(5) Sentence review hearings pursuant to Gen- The judicial authority, acting through the clerk,
eral Statutes § 51-195; shall control the time and the manner of schedul-
(6) With the consent of counsel, proceedings ing all proceedings in criminal cases and shall
under General Statutes § 54-56d (k) if the evalua- have the cooperation of the prosecuting authority
tion under General Statutes § 54-56d (j) con- and defense counsel in carrying out their respon-
cludes that the defendant is not competent but is sibilities under Sections 44-11 and 44-12. The
restorable and neither the state nor the defendant clerk of the court shall file a written report with
intends to contest that conclusion; the court periodically, as directed by the judicial
(7) A disposition conference held in the judicial authority, indicating the age and the status of each
district court pursuant to the provisions of Sections pending case, including whether the defendant is
39-11 through 39-17 when it is not reasonably being held in custody pending trial and, if so, how
anticipated that an offer for the final disposition long he or she has been held in custody. The
of the case will be accepted or rejected upon the clerk shall consult with the prosecuting authority
conclusion of the conference; and and defense counsel in matters of scheduling so
(8) With the consent of counsel, a disposition that such clerk may be aware of and advise the
conference held in the geographical area court judicial authority of any factors affecting the
pursuant to the provisions of Sections 39-11 orderly movement of cases.
through 39-17 when it is not reasonably antici- (P.B. 1978-1997, Sec. 973.)
pated that an offer for the final disposition of the
case will be accepted or rejected upon the conclu- Sec. 44-13. —Scheduling for Proceedings
sion of the conference. before Trial; Continuances
(b) Such audiovisual device must operate so Cases should be promptly assigned for arraign-
that the defendant, his or her attorney, if any, and ments, motions and other preliminary proceed-
the judicial authority can see and communicate ings so as not unduly to delay the progress of the
417
cases or to exceed time limits for such pro- resources for trial and the number and percentage
ceedings set by rule or administrative directive. of trials generally conducted.
Ordinarily, continuances for any preliminary pro- (P.B. 1978-1997, Sec. 978.)
ceedings, when allowed under these rules, shall Sec. 44-17. —Motion to Advance
not exceed two weeks.
(P.B. 1978-1997, Sec. 975.) Upon motion of a party and a showing of good
cause, the judicial authority may advance a case
Sec. 44-14. —Assignments for Plea in Judi- for trial prior to the time when it would ordinarily
cial District Court Location be assigned.
(P.B. 1978-1997, Sec. 979.)
Each case pending in a judicial district court
location shall be assigned for a plea within two Sec. 44-18. —Continuances
weeks after it is placed on the list of pending Except for the defendant’s arraignment pursu-
cases, unless the judicial authority shall order ant to Sections 37-1 through 37-12, continuances
otherwise. may be granted only by the judicial authority or
(P.B. 1978-1997, Sec. 976.) with the judicial authority’s explicit approval.
(P.B. 1978-1997, Sec. 981.)
Sec. 44-15. —Scheduling at Entry of Plea
Upon entry of a not guilty plea, the judicial Sec. 44-19. Reference to Judge Trial Referee
authority shall, whenever feasible, assign a date The judicial authority may, with the consent of
certain for the trial of such case, and in jury cases, the parties or their attorneys, refer any criminal
for a disposition conference pursuant to Sections case to a judge trial referee who shall have and
39-11 through 39-13, and it shall advise all parties exercise the powers of the superior court in
that they are to be prepared to proceed to trial or respect to trial, judgment, sentencing and appeal
to a disposition conference on that date. If the in the case, except that the judicial authority may,
setting of a definite date at the time of the not without the consent of the parties or their attor-
guilty plea is not feasible, the case shall be placed neys, (A) refer any criminal case, other than a
on a trial list of pending cases which shall be criminal jury trial, to a judge trial referee assigned
maintained by the clerk. Cases shall be placed to a geographical area criminal court session, and
on the trial list in the order in which the not guilty (B) refer any criminal case, other than a class A
pleas were entered. or B felony or capital felony, to a judge trial referee
(P.B. 1978-1997, Sec. 977.) to preside over the jury selection process and
any voir dire examination conducted in such case,
Sec. 44-16. —Scheduling from Trial List unless good cause is shown not to refer. Any case
(a) The judicial authority shall assign for trial on referred to a judge trial referee shall be deemed
dates certain so much of the trial list as shall be to have been referred for all further proceedings,
deemed necessary for the proper conduct of the judgment and sentencing, including matters per-
court and shall direct the clerk to distribute a list taining to any appeal therefrom unless otherwise
of the cases so assigned to the counsel of record. ordered before or after the reference.
Cases shall be assigned for trial in the order in (P.B. 1978-1997, Sec. 997A.) (Amended June 20, 2005,
which they appear on the trial list and they should to take effect Jan. 1, 2006.)
be tried in the order in which they are assigned Sec. 44-20. Appointment of Guardian Ad
for trial, except that the judicial authority may Litem
depart from the listed order and may give priority (a) In any criminal proceeding involving an
in assignment or trial to the following types of abused or neglected minor child, a guardian ad
cases: litem shall be appointed. The judicial authority
(1) Cases in which the defendant is being held may also appoint a guardian ad litem for a minor
in custody for lack of a bond; involved in any other criminal proceedings, includ-
(2) Cases in which the judicial authority has ing those in which the minor resides with and is
granted a motion for a speedy trial; or the victim of a person arrested or charged with a
(3) Cases in which the judicial authority reason- criminal offense, those in which the minor resides
ably believes that the pretrial liberty of the defend- in the same household as the victim and the
ant presents unusual risks over those of other defendant, or those in which the minor is the
criminal cases. defendant. Unless the judicial authority orders that
(b) The judicial authority shall not assign for trial another person be appointed guardian ad litem,
on a date certain a number of cases greater than the family relations counselor or family relations
that which can be reasonably expected to be caseworker shall be designated as guardian ad
reached for trial on that date, based on the court’s litem.
418
(b) If the guardian ad litem is not the family (2) Using a motor vehicle without the permission
relations counselor or family relations case- of the owner;
worker, the judicial authority may order compen- (3) Evading responsibility;
sation for the services rendered in accordance (4) Any offenses involving an accident resulting
with the established Judicial Branch fee schedule. in death; or
(P.B. 1978-1997, Sec. 998.) (5) Any felonies.
(P.B. 1978-1997, Sec. 1005.)
Sec. 44-21. Infractions and Violations;
When Treated as an Offense Sec. 44-25. —Plea of Nolo Contendere to
Pursuant to subdivision (4) of Section 44-37, Infraction or Violation
infractions and violations are included in the gen- Any resident of Connecticut or of a state that is
eral definition of ‘‘offense,’’ and, except as distin- a signatory with Connecticut of a no-bail compact
guished in Sections 44-21 through 44-29, they who is charged with any infraction or with any
are treated as any other offense under these rules. violation which is payable by mail pursuant to stat-
(P.B. 1978-1997, Sec. 1000.) ute may pay the penalty, either by mail or in per-
son, to the centralized infractions bureau at the
Sec. 44-22. —Form of Summons and Com-
address set forth on the complaint on or before
plaint for Infractions and Violations
the answer date designated in the complaint or,
In all infractions and violations a summons and if the case is pending at a court location, may pay
complaint shall, insofar as applicable, be used in the penalty by mail or in person at such court
the form designated in Section 36-7. location. The payment of the fine shall be consid-
(P.B. 1978-1997, Sec. 1002.) ered a plea of nolo contendere and shall be inad-
Sec. 44-23. —When Custody Not Required missible in any proceeding, criminal or civil, to
establish the conduct of the person making such
(a) Except for those offenses listed in Section payment, except for any administrative sanctions
44-24, and as provided in subsection (b) herein, imposed by the commissioner of motor vehicles
a resident of the state of Connecticut or of a state pursuant to title 14 of the General Statutes.
that is a signatory with Connecticut of a no-bail (P.B. 1978-1997, Sec. 1007.)
compact, who has been arrested for a violation
of any statute relating to motor vehicles, shall be Sec. 44-26. —Pleas of Not Guilty to Infrac-
issued a summons and complaint, and may, in tion or Violation
the discretion of the law enforcement officer, be Pleas of not guilty for infractions and for viola-
released without bail on his or her promise to tions which are payable by mail pursuant to statute
appear. may be accepted only at the centralized infrac-
(b) Any resident of the state of Connecticut who tions bureau and at those locations authorized by
is charged with an infraction or violation payable the General Statutes.
by mail pursuant to statute, and any resident of (P.B. 1978-1997, Sec. 1008.)
a state that is a signatory with Connecticut of a
no-bail compact who is charged with an infraction Sec. 44-27. —Hearing of Infractions, Viola-
involving a motor vehicle or with a violation of tions to Which Not Guilty Plea Filed
General Statutes § 14-219(e), shall not be taken (a) Upon entry of a plea of not guilty to an
into custody, but shall be issued a summons and infraction or to a violation which is payable by mail
complaint and follow the procedure set forth in pursuant to statute, the clerk shall file such plea
Sections 44-25 through 44-27. and forthwith transmit the file to the prosecuting
(P.B. 1978-1997, Sec. 1004.) authority for review.
(b) Unless a nolle prosequi or a dismissal is
Sec. 44-24. —When Custody Required entered in the matter within ten days of the filing
(a) Any person charged with an infraction or of a not guilty plea, the clerk shall schedule a
with a violation, whether or not payable by mail hearing and shall send the defendant a written
pursuant to statute, who is not a resident of the notice of the date, time and place of such hearing.
state of Connecticut or of a state that is a signatory (c) Hearings shall be conducted in accordance
with Connecticut of a no-bail compact shall be with the criminal rules of evidence and with the
taken into custody. provisions of chapter 42 insofar as the provisions
(b) In the following offenses, the defendant, of that chapter are applicable.
whether or not a resident of this state, shall be (d) A nolle prosequi or a dismissal may be
taken into custody: entered in the absence of the defendant. In the
(1) Driving while under the influence of intoxicat- event a nolle prosequi or a dismissal is entered
ing liquor or drugs; in the matter, the clerk shall send a written notice
419
of such disposition to any defendant who was not (c) A decision of the magistrate, including any
before the court at the time of such disposition. penalty imposed, shall become a judgment of the
The entry of a nolle prosequi hereunder shall not court if no demand for a trial de novo is filed. Such
operate as a waiver of the defendant’s right there- decision of the magistrate shall become null and
after to seek a dismissal pursuant to Section void if a timely demand for a trial de novo is filed.
39-30. A demand for a trial de novo shall be filed with
(P.B. 1978-1997, Sec. 1008A.) the court clerk within five days of the date the
decision was rendered by the magistrate and, if
Sec. 44-28. —Location of Infractions Bureau filed by the prosecuting authority, it shall include
and Role of Clerks a certification that a copy thereof has been served
(a) There shall be a centralized infractions on the defendant or his or her attorney, in accord-
bureau of the superior court to handle payments ance with the rules of practice.
or pleas of not guilty with respect to the commis- (d) If the defendant is charged with more than
sion of infractions and of violations which are pay- one offense, and not all such offenses are motor
able by mail pursuant to statute. vehicle violations within the jurisdiction of a magis-
(b) For the purpose of processing such matters trate, a judicial authority shall hear and decide
which are not finally disposed at the centralized such case.
infractions bureau, the principal clerk’s office of (e) This section shall be inapplicable at any
the superior court in each geographical area shall court location to which a magistrate has not been
be the infractions bureau for such geographical assigned by the chief court administrator.
area. The judges of the superior court may estab- (P.B. 1978-1997, Sec. 1011D.)
lish such other bureaus when and where they may Sec. 44-31. Motion to Quash Subpoena Pur-
deem them necessary and they may designate suant to Inquiry into Commission of Crime
the clerks or the assistant clerks of the court, or
any other appropriate persons, as clerks of such (a) Whenever a subpoena has been issued to
bureaus. If no other person is so designated by compel the attendance of a witness or the produc-
the judges, the clerk of the superior court for the tion of documents at an inquiry conducted by an
investigative grand jury, the person summoned
geographical area shall be the clerk of each infrac-
may file a motion to quash the subpoena with
tions bureau in that geographical area.
(P.B. 1978-1997, Sec. 1010.)
the chief clerk of the judicial district wherein the
investigation is then being conducted. No fees or
Sec. 44-29. —Powers of Centralized Infrac- costs shall be required or assessed.
tions Bureau (b) The motion shall be docketed as a criminal
Subject to the limitations in Sections 44-25 and matter. The party filing the motion shall be desig-
44-26, the centralized infractions bureau shall nated as the plaintiff and the state’s attorney for
have the power to accept a plea of nolo conten- such judicial district shall be designated as the
dere and the payment of fines in cases which defendant. A prosecuting authority shall appear
have been designated by statute as infractions or and defend on behalf of the state’s attorney.
(c) Unless otherwise ordered by the judicial
as violations which are payable by mail.
(P.B. 1978-1997, Sec. 1011.)
authority before whom such hearing shall be con-
ducted, the hearing on the motion to quash shall
Sec. 44-30. —Hearing by Magistrates of be conducted in public and the court file on the
Infractions and Certain Motor Vehicle Vio- motion to quash shall be open to public inspection.
lations (d) The motion shall be heard forthwith by a
(a) Infractions and motor vehicle violations judicial authority who is not a member of the panel
which may be submitted to a magistrate pursuant of judges which acted on the application, nor the
grand jury in the proceeding. The hearing date
to statute may be heard by magistrates in those
and time shall be set by the clerk after consultation
court locations where a magistrate has been
with the judicial authority having responsibility for
appointed by the chief court administrator, except
the conduct of criminal business within the judicial
that magistrates may not conduct jury trials. district. The clerk shall give notice to the parties
(b) Hearings by magistrates shall be conducted of the hearing so scheduled.
in accordance with the criminal rules of evidence (P.B. 1978-1997, Sec. 1012A.)
and with the provisions of chapter 42 insofar as
the provisions of that chapter are applicable. A Sec. 44-32. Fees and Expenses; Return of
magistrate shall sign all orders the magistrate Subpoenas
issues, such signature to be followed by the An officer or an indifferent person serving sub-
word ‘‘magistrate.’’ poenas in criminal cases will not be allowed fees
420
for returning the same to the court unless the statute unless such fee has been waived by the
person returns them in person or actually pays judicial authority.
for their return, and then only the sum paid will be (P.B. 1978-1997, Sec. 1020A.)
allowed, not exceeding the legal fees for returning
civil process. No fee shall be paid to any police Sec. 44-37. Definition of Terms
officer for serving subpoenas. Unless the context clearly requires otherwise:
(P.B. 1978-1997, Sec. 1014.) (1) ‘‘Prosecuting authority’’ means any person
Sec. 44-33. —Indigent Witnesses appointed or otherwise designated or charged
generally or specially with the duty of prosecuting
An officer or any other person serving a sub- persons accused of criminal offenses in any court,
poena or a capias in criminal cases on behalf of and includes, but is not limited to, the chief state’s
the state on witnesses who are indigent and attorney and any deputies or assistants and each
unable to procure the means of traveling to the state’s attorney of the superior court and any dep-
court will be allowed a reasonable compensation uties or assistants.
for providing transportation of such witnesses to
(2) ‘‘Public defender’’ means any attorney
the court; a reasonable sum will be taxed for the
appointed or otherwise designated or charged
support of such witnesses during their necessary
generally or specially by the court with the duty
attendance at court.
(P.B. 1978-1997, Sec. 1015.) of representing persons accused of criminal
offenses in any court or of representing anyone
Sec. 44-34. —Fees for Witnesses in habeas corpus proceedings or appeals, and
Witnesses in attendance in more cases than includes, but is not limited to, the chief public
one at the same time will be allowed fees for travel defender and any deputies or assistants, and
and attendance in one case only. The travel of each public defender and any deputies or
nonresident witnesses will be computed and assistants.
taxed from the state line on the usual course of (3) ‘‘Law enforcement officer’’ means any per-
travel in all cases where witnesses’ fees are not son vested by law with a duty to maintain public
paid under General Statutes § 54-82i or § 54-152. order or to make arrests for offenses, and
(P.B. 1978-1997, Sec. 1016.) includes, but is not limited to, a member of the
state police department or an organized local
Sec. 44-35. —Officer’s Fees on Extradition; police department, a detective in the division of
Habeas Corpus criminal justice, a sheriff or deputy sheriff, a con-
Any officer having charge of a person who is servation officer or special conservation officer as
arrested upon an extradition warrant for delivery defined in General Statutes § 26-5, a constable
to another state and required to attend court upon who performs criminal law enforcement duties, a
a writ of habeas corpus shall be entitled to receive special policeman appointed under General Stat-
the same fees and expenses as such officer would utes §§ 29-18, 29-18a or 29-19, or an official of
receive for presenting a prisoner before the court the department of correction authorized by the
for trial, and such fees and expenses are to be commissioner of correction to make arrests in a
paid to such officer by the officer of such other correctional institution or facility. ‘‘Law enforce-
state upon the surrender of the prisoner or, if the ment officer’’ also includes state and judicial mar-
prisoner is released, they are to be taxed and shals, but only where the use of that term in these
allowed him or her at the next term of the court rules is consistent with the authority given to such
in the judicial district or geographical area where marshals by statute.
such prisoner was held. (4) ‘‘Offense’’ means any crime or violation
(P.B. 1978-1997, Sec. 1017.)
which constitutes a breach of any law of this state
Sec. 44-36. —Fee on Motion to Open Cer- or any local law or ordinance of a political subdivi-
tain Judgments sion of this state, for which a sentence of a term of
Upon the filing of a motion to open judgment in imprisonment or a fine, or both, may be imposed,
any case in which the defendant has been including infractions.
charged with violation of a motor vehicle statute (5) ‘‘Crime’’ means a felony or a misdemeanor.
and has failed to appear at the time and place (6) ‘‘Violation’’ means an offense for which the
assigned for trial or, where applicable, has failed only sentence authorized is a fine and which is
to plead or pay the fine and additional fee by mail, not expressly designated as an infraction.
and the judicial authority has reported such failure (7) ‘‘Felony’’ means an offense for which a per-
to the commissioner of motor vehicles, the movant son may be sentenced to a term of imprisonment
shall pay to the clerk the filing fee prescribed by in excess of one year.
421
(8) ‘‘Misdemeanor’’ means an offense for which (10) ‘‘Trial’’ means that judicial proceeding at
a person may be sentenced to a term of imprison- which the guilt or innocence of the defendant to
ment of not more than one year. the offense or offenses charged is to be
(9) ‘‘Infraction’’ means an act or a failure to act determined.
which is designated by the General Statutes as (P.B. 1978-1997, Sec. 1021.) (Amended June 25, 2001, to
an infraction. take effect Jan. 1, 2002.)
422
RULES OF APPELLATE PROCEDURE Sec. 60-2

CHAPTER 60
GENERAL PROVISIONS RELATING TO APPELLATE RULES
AND APPELLATE REVIEW
Sec. Sec.
60-1. Rules to Be Liberally Interpreted 60-4. Definitions (Applicable to appeals filed on or after
60-2. Supervision of Procedure (Applicable to appeals filed July 1, 2013.)
before July 1, 2013.) 60-5. Review by the Court; Plain Error; Preservation of
60-2. Supervision of Procedure (Applicable to appeals filed Claims
60-6. Appellate Jurists Sitting as Superior Court Judges
on or after July 1, 2013.)
60-7. Electronic Filing; Payment of Fees
60-3. Suspension of the Rules 60-8. Exemption from Electronic Filing; Payment of Fees
60-4. Definitions (Applicable to appeals filed before July 60-9. Security for Costs
1, 2013.)
Sec. 60-1. Rules to Be Liberally Interpreted the matters comprehended by Sections 67-4 and
The design of these rules being to facilitate busi- 67-5; (6) order that a party for good cause shown
ness and advance justice, they will be interpreted may file a late appeal, petition for certification,
liberally in any case where it shall be manifest brief or any other document, unless the court lacks
that a strict adherence to them will work surprise jurisdiction to allow the late filing; (7) order that
or injustice. a hearing be held to determine whether it has
(P.B. 1978-1997, Sec. 4182.) jurisdiction over a pending matter; (8) order an
appeal to be dismissed unless the appellant com-
Sec. 60-2. Supervision of Procedure plies with specific orders of the trial court, submits
(Applicable to appeals filed before July 1, 2013.) to the process of the trial court, or is purged of
The supervision and control of the proceedings contempt of the trial court; (9) remand any pending
on appeal shall be in the court having appellate matter to the trial court for the resolution of factual
jurisdiction from the time the appeal is filed, or issues where necessary; (10) correct technical or
earlier, if appropriate, and, except as otherwise other minor mistakes in a published opinion which
provided in these rules, any motion the purpose do not affect the rescript.
of which is to complete or perfect the trial court (P.B. 1978-1997, Sec. 4183.)
record for presentation on appeal shall be made
to the court in which the appeal is pending. The Sec. 60-2. Supervision of Procedure
court may, on its own motion or upon motion of (Applicable to appeals filed on or after July 1, 2013.)
any party, modify or vacate any order made by The supervision and control of the proceedings
the trial court, or a judge thereof, in relation to on appeal shall be in the court having appellate
the prosecution of the appeal. It may also, for jurisdiction from the time the appeal is filed, or
example, on its own motion or upon motion of earlier, if appropriate, and, except as otherwise
any party, (1) order a judge to take any action provided in these rules, any motion the purpose
necessary to complete the trial court record for of which is to complete or perfect the record of
the proper presentation of the appeal; (2) when the proceedings below for presentation on appeal
it appears that by reason of omission from the shall be made to the court in which the appeal is
prepared record of matters of record in the trial pending. The court may, on its own motion or
court the questions of law in the case are not upon motion of any party, modify or vacate any
properly presented, order the appellant to cause order made by the trial court, or a judge thereof,
to be photocopied the portions so omitted; (3) in relation to the prosecution of the appeal. It may
order improper matter stricken from the record or also, for example, on its own motion or upon
from a brief or appendix; (4) order a stay of any motion of any party: (1) order a judge to take any
proceedings ancillary to a case on appeal; (5) action necessary to complete the trial court record
order the addition to the prepared record of parts for the proper presentation of the appeal; (2) con-
of the file necessary to present correctly or fully sider any matter in the record of the proceedings
423
Sec. 60-2 RULES OF APPELLATE PROCEDURE
below necessary for the review of the issues pre- Sec. 60-4. Definitions
sented by any appeal, regardless of whether the (Applicable to appeals filed on or after July 1, 2013.)
matter has been included in the appendix of any ‘‘Appellant’’ shall mean the party, or parties if
party; (3) order improper matter stricken from a an appeal is jointly filed, taking the appeal. ‘‘Appel-
brief or appendix; (4) order a stay of any proceed- lee’’ shall mean all other parties in the trial court
ings ancillary to a case on appeal; (5) order that a at the time of judgment, unless after judgment
party for good cause shown may file a late appeal, the matter was withdrawn as to them or unless a
petition for certification, brief or any other docu- motion for permission not to participate in the
ment, unless the court lacks jurisdiction to allow appeal has been granted by the court.
the late filing; (6) order that a hearing be held ‘‘Counsel of record’’ shall also include all self-
to determine whether it has jurisdiction over a represented parties.
pending matter; (7) order an appeal to be dis- ‘‘Court reporter’’ shall refer to all court reporters
missed unless the appellant complies with specific and court reporting monitors.
orders of the trial court, submits to the process of ‘‘Administrative appeal’’ shall mean an appeal
the trial court, or is purged of contempt of the trial from a judgment of the superior court concerning
court; (8) remand any pending matter to the trial the appeal to that court from a decision of any
court for the resolution of factual issues where officer, board, commission or agency of the state
or of any political subdivision of the state.
necessary; or (9) correct technical or other minor
‘‘Filed’’ shall mean the receipt by the appellate
mistakes in a published opinion which do not clerk of a paper or document by electronic submis-
affect the rescript. sion pursuant to Section 60-7. If an exemption to
take effect July 1, 2013.)
electronic filing has been granted or if the elec-
tronic filing requirements do not apply, filed shall
Sec. 60-3. Suspension of the Rules mean receipt of the paper or document by hand
delivery, by first class mail or by express mail
In the interest of expediting decision, or for other delivered by the United States Postal Service or
good cause shown, the court in which the appeal an equivalent commercial service. If a document
is pending may suspend the requirements or pro- must be filed by a certain date under these rules
visions of any of these rules in a particular case or under any statutory provision, the document
on motion of a party or on its own motion and may must be received by the appellate clerk by the
order proceedings in accordance with its direction. close of business on that date; it is not sufficient
(P.B. 1978-1997, Sec. 4187.) that a document be mailed by that date to the
appellate clerk unless a rule or statutory provision
Sec. 60-4. Definitions expressly so computes the time.
(Applicable to appeals filed before July 1, 2013.) ‘‘Motion’’ shall include applications and peti-
‘‘Appellant’’ shall mean the party, or parties if tions, other than petitions for certification. A preap-
an appeal is jointly filed, taking the appeal. ‘‘Appel- peal motion is one that is filed prior to or
lee’’ shall mean all other parties in the trial court independent of an appeal.
at the time of judgment, unless after judgment ‘‘Issues’’ shall include claims of error, certified
the matter was withdrawn as to them or unless a questions and questions reserved.
motion for permission not to participate in the ‘‘Paper’’ and ‘‘Document’’ shall include an elec-
appeal has been granted by the court. tronic submission that complies with the proce-
‘‘Counsel of record’’ shall also include all parties dures and standards established by the chief clerk
of the appellate system under the direction of the
appearing pro se, and ‘‘court reporter’’ shall refer
administrative judge of the appellate system and
to all court reporters and court reporting monitors. a paper or document created in or converted to
‘‘Administrative appeal’’ shall mean an appeal a digital format by the judicial branch.
from a judgment of the superior court concerning ‘‘Petition’’ does not include petitions for certifi-
the appeal to that court from a decision of any cation unless the context clearly requires.
officer, board, commission or agency of the state ‘‘Record’’ shall include the case file, any deci-
or of any political subdivision of the state. sions, documents, transcripts, recordings and
‘‘Motion’’ should be read to include applications exhibits from the proceedings below, and, in
and petitions other than petitions for certification. appeals from administrative agencies, the record
‘‘Petition’’ does not include petitions for certifi- returned to the trial court by the administrative
cation unless the context clearly requires. agency.
(P.B. 1978-1997, Sec. 4001A.) (For additional definitions, ‘‘Requests’’ shall include correspondence and
see Secs. 61-10, 62-2 and 76-6.) notices as permitted by these rules.
424
‘‘Signature’’ shall be made upon entry of an Sec. 60-6. Appellate Jurists Sitting as Supe-
attorney’s individual juris number during the filing rior Court Judges
transaction, unless an exemption from the Without the permission of the chief justice, the
requirements of Section 60-7 (c) has been granted justices of the supreme court and the judges of the
or applies. appellate court will not, as judges of the superior
‘‘Submission’’ shall mean a ‘‘paper’’ or a ‘‘docu- court, in vacation, or when the superior court is
ment’’ and shall include an electronic submission not in session, pass orders which may be the
that complies with the procedures and standards subject of an appeal, unless it appears that there
established by the chief clerk of the appellate sys- is a necessity for prompt action, and that no other
tem under the direction of the administrative judge judges having jurisdiction over the matter can con-
of the appellate system. veniently act.
(For additional definitions, see Secs. 62-2 and 76-6.) (P.B. 1978-1997, Sec. 4186.)
to take effect July 1, 2013; amended Sept. 16, 2015, to take Sec. 60-7. Electronic Filing; Payment of
effect Jan. 1, 2016.) Fees
HISTORY—2016. In 2016, the definitions of ‘‘ ‘filed,’ ’’
(a) Attorneys must file all appellate papers elec-
‘‘ ‘paper’ and ‘document,’ ’’ ‘‘ ‘requests,’ ’’ ‘‘ ‘signature,’ ’’ and
‘‘ ‘submission’ ’’ were added. In addition, the second sentence tronically unless the court grants a request for
was added to the definition of ‘‘ ‘motion.’ ’’ exemption. Papers may be filed, signed or verified
by electronic means that comply with procedures
Sec. 60-5. Review by the Court; Plain Error; and standards established by the chief clerk of
Preservation of Claims the appellate system under the direction of the
The court may reverse or modify the decision administrative judge of the appellate system. A
of the trial court if it determines that the factual paper filed by electronic means in compliance with
findings are clearly erroneous in view of the evi- such procedures and standards constitutes a writ-
dence and pleadings in the whole record, or that ten paper for the purpose of applying these rules.
the decision is otherwise erroneous in law. (b) At the time of filing, the appellant must (1)
The court shall not be bound to consider a claim pay all required fees; or (2) upload a signed appli-
unless it was distinctly raised at the trial or arose cation for waiver of fees and the order of the trial
court granting the fee waiver; or (3) certify that no
subsequent to the trial. The court may in the inter-
fees are required. Any document that requires
ests of justice notice plain error not brought to the
payment of a fee as a condition of filing may be
attention of the trial court.
returned by the appellate clerk or rejected by the
In jury trials, where there is a motion, argument, court upon review for compliance with the rules
or offer of proof or evidence in the absence of the of appellate procedure.
jury, whether during trial or before, pertaining to (c) The requirements of this section do not apply
an issue that later arises in the presence of the to documents filed by self-represented parties, the
jury, and counsel has fully complied with the clerk of the trial court, the official court reporter,
requirements for preserving any objection or or the clerk of the court for any other state, federal
exception to the judge’s adverse ruling thereon in or tribal court. This section also does not apply
the absence of the jury, the matter shall be to any state board or commission filing documents
deemed to be distinctly raised at the trial for pur- with the appellate clerk pursuant to Sections 68-
poses of this rule without a further objection or 1, 74-2A, 74-3A, 75-4, 76-3, or 76-5.
exception provided that the grounds for such (Adopted Sept. 16, 2015, to take effect Jan. 1, 2016.)
objection or exception, and the ruling thereon as COMMENTARY—2016: Attorneys are required to file all
previously articulated, remain the same. papers electronically unless the court grants a request for an
If the court deems it necessary to the proper exemption. The electronic filing requirements do not apply to
disposition of the cause, it may order a further self-represented parties at this time.
articulation of the basis of the trial court’s factual Sec. 60-8. Exemption from Electronic Filing;
findings or decision. Payment of Fees
It is the responsibility of the appellant to provide
Parties seeking an exemption from the elec-
an adequate record for review as provided in Sec-
tronic filing requirements shall file a request for
tion 61-10.
(P.B. 1978-1997, Sec. 4061.) (Amended July 8, 2015, to
an exemption on a form prescribed by the office
take effect Jan. 1, 2016.) of the chief clerk of the appellate system. When
HISTORY—2016: In 2016, in the penultimate sentence, an exemption from electronic filing has been
‘‘remand the case for’’ was deleted before ‘‘a further articula- granted or if electronic filing requirements do not
tion’’ and ‘‘order’’ was added. apply, papers shall be filed with the appellate clerk
425
and must be accompanied by (1) a receipt show- to self-represented parties at this time, self-represented parties
ing that all required fees have been paid; or (2) cannot pay appellate filing fees electronically at this time and
fees must be paid to any trial court clerk’s office in the state.
a signed application for waiver of fees and the When fees are paid to the trial court clerk, the filer will
order of the trial court granting the fee waiver; or receive a receipt from the clerk indicating the name of the
(3) certification that no fee is required. With the document, the trial court docket number and the amount paid.
exception of any fees related to appeals in child It is not necessary for the filer to present an appeal form to
the trial court clerk for signature. The filer must then file the
protection matters and appeals from interlocutory paper appeal form or appellate document and the receipt of
orders as permitted by law, all appellate filing fees payment, if required, with the appellate clerk. An appeal is not
under this section may be paid to the clerk of any filed upon payment of the filing fee; instead, an appeal is filed
trial court in the state. In child protection matters when the appeal form has been timely filed with the office of
and appeals from interlocutory orders as permit- the appellate clerk accompanied by receipt of payment or
proof of waiver of fees.
ted by law, all fees must be paid to the clerk of
the original trial court or the clerk of the court to Sec. 60-9. Security for Costs
which the case was transferred. Security for costs is not required to file an
(Adopted Sept. 16, 2015, to take effect Jan. 1, 2016.) appeal, but security for costs may at any time, on
COMMENTARY—2016: Appellate filing fees must be paid motion and notice to the parties, be ordered by
to the trial court clerk if electronic filing requirements do not the court. Such security shall be filed with the
apply or if an e-filing exemption has been granted. For exam- trial court.
ple, because the electronic filing requirements do not apply (Adopted Sept. 16, 2015, to take effect Jan. 1, 2016.)
426
CHAPTER 61
REMEDY BY APPEAL
Sec. Sec.
61-1. Right of Appeal 61-9. Decisions Subsequent to Filing of Appeal;
61-2. Appeal of Judgment on Entire Complaint, Counter- Amended Appeals (Applicable to appeals filed
claim or Cross Complaint before July 1, 2013.)
61-3. Appeal of Judgment on Part of Complaint, Counter- 61-9. Decisions Subsequent to Filing of Appeal;
claim or Cross Complaint that Disposes of All Amended Appeals (Applicable to appeals filed
Claims in that Pleading Brought by or against on or after July 1, 2013.)
One or More Parties 61-10. Responsibility of Appellant to Provide Adequate
61-4. Appeal of Judgment that Disposes of at Least One Record for Review (Applicable to appeals filed
Cause of Action while Not Disposing of Either before July 1, 2013.)
(1) An Entire Complaint, Counterclaim or Cross 61-10. Responsibility of Appellant to Provide Adequate
Complaint, or (2) All the Causes of Action in a Record for Review (Applicable to appeals filed
Pleading Brought by or against a Party on or after July 1, 2013.)
61-5. Deferring Appeal until Judgment Rendered that 61-11. Stay of Execution in Noncriminal Cases
61-12. Discretionary Stays
Disposes of Case for All Purposes and as to
61-13. Stay of Execution in Criminal Case
All Parties 61-14. Review of Order concerning Stay; When Stay May
61-6. Appeal of Judgment or Ruling in Criminal Case Be Requested from Court Having Appellate Juris-
61-7. Joint and Consolidated Appeals (Applicable to diction
appeals filed before July 1, 2013.) 61-15. Stay of Execution in Death Penalty Case
61-7. Joint and Consolidated Appeals (Applicable to 61-16. Notice of (1) Bankruptcy Filing, (2) Disposition of
appeals filed on or after July 1, 2013.) Bankruptcy Case and (3) Order of Bankruptcy
61-8. Cross Appeals Court Granting Relief from Automatic Stay
Sec. 61-1. Right of Appeal to appeal in accordance with the provisions of

An aggrieved party may appeal from a final Section 61-5 must be filed in order to preserve
judgment, except as otherwise provided by law. the right to appeal such a judgment at the conclu-
(P.B. 1978-1997, Sec. 4000.) sion of the case.
(P.B. 1978-1997, Sec. 4002A.)
Sec. 61-2. Appeal of Judgment on Entire
Complaint, Counterclaim or Cross Com- Sec. 61-3. Appeal of Judgment on Part of
plaint Complaint, Counterclaim or Cross Com-
When judgment has been rendered on an entire plaint that Disposes of All Claims in that
complaint, counterclaim or cross complaint, Pleading Brought by or against One or
whether by judgment on the granting of a motion More Parties
to strike pursuant to Section 10-44, by dismissal A judgment disposing of only a part of a com-
pursuant to Section 10-30, by summary judgment plaint, counterclaim, or cross complaint is a final
pursuant to Section 17-44, or otherwise, such judgment if that judgment disposes of all causes
judgment shall constitute a final judgment. of action in that complaint, counterclaim, or cross
If at the time a judgment referred to in this sec- complaint brought by or against a particular party
tion is rendered, an undisposed complaint, coun- or parties.
terclaim or cross complaint remains in the case, Such a judgment shall be a final judgment
appeal from such a judgment may be deferred regardless of whether judgment was rendered on
(unless the appellee objects as set forth in Section the granting of a motion to strike pursuant to Sec-
61-5) until the entire case is concluded by the tion 10-44, by dismissal pursuant to Section 10-
rendering of judgment on the last such outstand- 30, by summary judgment pursuant to Section 17-
ing complaint, counterclaim or cross complaint. 44, or otherwise. The appeal from such judgment
If the judgment disposing of the complaint, may be deferred (unless an objection is filed pur-
counterclaim or cross complaint resolves all suant to Section 61-5) until the final judgment that
causes of action brought by or against a party disposes of the case for all purposes and as to
who is not a party in any remaining complaint, all parties is rendered. If the appeal from such a
counterclaim, or cross complaint, a notice of intent judgment is to be deferred, a notice of intent to
427
appeal must be filed in accordance with the provi- (b) Procedure for obtaining written determi-
sions of Section 61-5. nation and chief justice’s or chief judge’s con-
A party entitled to appeal under this section currence; when to file appeal
may appeal regardless of which party moved for If the trial court renders a judgment described
the judgment to be made final. in this section without making a written determina-
(P.B. 1978-1997, Sec. 4002B.) tion, any party may file a motion in the trial court for
such a determination within the statutory appeal
Sec. 61-4. Appeal of Judgment that Dis-
period, or, if there is no applicable statutory appeal
poses of at Least One Cause of Action while
Not Disposing of Either (1) An Entire Com- period, within twenty days after notice of the partial
plaint, Counterclaim or Cross Complaint, or judgment has been sent to counsel. Papers
(2) All the Causes of Action in a Pleading opposing the motion may be filed within ten days
Brought by or against a Party after the filing of the motion.
(Amended July 23, 1998, to take effect Jan. 1, 1999.)
Within twenty days after notice of such a deter-
mination in favor of appealability has been sent
(a) Judgment not final unless trial court
makes written determination and chief justice to counsel, any party intending to appeal shall file
or chief judge concurs a motion for permission to file an appeal with the
clerk of the court having appellate jurisdiction. The
This section applies to a trial court judgment
that disposes of at least one cause of action where motion shall state the reasons why an appeal
the judgment does not dispose of either of the should be permitted. Papers opposing the motion
following: (1) an entire complaint, counterclaim, may be filed within ten days after the filing of the
or cross complaint, or (2) all the causes of action motion. The motion and any opposition papers
in a complaint, counterclaim or cross complaint shall be referred to the chief justice or chief judge
brought by or against a party. If the order sought to rule on the motion. If the chief justice or chief
to be appealed does not meet these exact criteria, judge is unavailable or disqualified, the most
the trial court is without authority to make the senior justice or judge who is available and is not
determination necessary to the order’s being disqualified shall rule on the motion.
immediately appealed. The appellate clerk shall send notice to the par-
This section does not apply to a judgment that ties of the decision of the chief justice or chief
disposes of an entire complaint, counterclaim, or judge on the motion for permission to file an
cross complaint (see Section 61-2); and it does appeal. For purposes of counting the time within
not apply to a trial court judgment that partially which the appeal must be filed, the date of the
disposes of a complaint, counterclaim, or cross issuance of notice of the decision on this motion
complaint, if the order disposes of all the causes shall be considered the date of issuance of notice
of action in that pleading brought by or against of the rendition of the judgment or decision from
one or more parties (see Section 61-3). which the appeal is filed.
(P.B. 1978-1997, Sec. 4002C.) (Amended July 23, 1998,
When the trial court renders a judgment to
to take effect Jan. 1, 1999; amended Sept. 16, 2015, to take
which this section applies, such judgment shall not effect Jan. 1, 2016.)
ordinarily constitute an appealable final judgment. HISTORY—2016: In 2016, in the second paragraph of sub-
Such a judgment shall be considered an appeal- section (b), after ‘‘shall’’ in the first sentence, ‘‘submit an origi-
able final judgment only if the trial court makes a nal plus three copies of’’ was deleted and ‘‘file’’ was added.
written determination that the issues resolved by In the last sentence of the last paragraph of subsection (b),
the judgment are of such significance to the deter- ‘‘filed’’ replaced ‘‘taken’’ after ‘‘appeal is.’’
mination of the outcome of the case that the delay
incident to the appeal would be justified, and the Sec. 61-5. Deferring Appeal until Judgment
chief justice or chief judge of the court having Rendered that Disposes of Case for All Pur-
appellate jurisdiction concurs. poses and as to All Parties
If the procedure outlined in this section is fol- (a) When notice of intent to appeal required;
lowed, such judgment shall be an appealable final procedure for filing
judgment, regardless of whether judgment was An appeal of a judgment described in Sections
rendered on the granting of a motion to strike 61-2 or 61-3 may be deferred until the judgment
pursuant to Section 10-44, by dismissal pursuant that disposes of the case for all purposes and
to Section 10-30, by summary judgment pursuant as to all parties is rendered. In the following two
to Section 17-44, or otherwise. instances only, a notice of intent to appeal must
A party entitled to appeal under this section be filed in order to defer the taking of an appeal
may appeal regardless of which party moved for until the final judgment that disposes of the case
the judgment to be made final. for all purposes and as to all parties is rendered:
428
(1) when the deferred appeal is to be filed from instances in which a notice of intent must be filed.
a judgment that not only disposes of an entire Except as provided in subsection (a), the filing
complaint, counterclaim or cross complaint but of a notice of intent to appeal will preserve no
also disposes of all the causes of action brought appeal rights.
by or against a party or parties so that that party or (P.B. 1978-1997, Sec. 4002D.) (Amended Sept. 16, 2015,
parties are not parties to any remaining complaint, to take effect Jan. 1, 2016.)
counterclaim or cross complaint; or HISTORY—2016: In 2016, in subsections (a) (1) and (a)
(2) when the deferred appeal is to be filed from a (2), ‘‘taken’’ was deleted after ‘‘appeal is to be’’ and was
replaced with ‘‘filed.’’ Also in subsection (a) (2), both instances
judgment that disposes of only part of a complaint, of ‘‘served on’’ were deleted before ‘‘each counsel’’ and were
counterclaim, or cross complaint but nevertheless replaced with ‘‘delivered to.’’
disposes of all causes of action in that pleading
brought by or against a particular party or parties. Sec. 61-6. Appeal of Judgment or Ruling in
In the event that the party aggrieved by a judg- Criminal Case
ment described in (1) or (2) above elects to defer (Amended July 26, 2000, to take effect Jan. 1, 2001.)
the taking of the appeal until the disposition of the (a) Appeal by defendant
entire case, the aggrieved party must, within the (1) Appeal from final judgment
appeal period provided by statute, or, if there is no The defendant may appeal from a conviction
applicable statutory appeal period, within twenty for an offense when the conviction has become
days after issuance of notice of the judgment a final judgment. The conviction becomes a final
described in (1) or (2) above, file in the trial court judgment after imposition of sentence. In cases
a notice of intent to appeal the judgment, accom- where a final judgment has been rendered on
panied by a certification that a copy thereof has fewer than all counts in the information or com-
been delivered to each counsel of record in plaint, the defendant may appeal from that judg-
accordance with the provisions of Section 62-7.
ment at the time it is rendered.
When a notice of intent to appeal has been filed
(2) Appeal of ruling following judgment ren-
in accordance with this subsection, an objection
to the deferral of the appeal may be made by (1) dered upon conditional plea of nolo con-
any party who, after the rendering of judgment on tendere
an entire complaint, counterclaim or cross com- (A) On motion to dismiss or suppress
plaint, is no longer a party to any remaining com- When a defendant, prior to the commencement
plaint, counterclaim, or cross complaint, or (2) any of trial, enters a plea of nolo contendere condi-
party who, by virtue of a judgment on a portion tional on the right to file an appeal from the court’s
of any complaint, counterclaim, or cross com- denial of the defendant’s motion to suppress or
plaint, is no longer a party to that complaint, coun- motion to dismiss, the defendant, after the imposi-
terclaim, or cross complaint. Objection shall be tion of sentence, may file an appeal within the time
filed in the trial court, within twenty days of the prescribed by law. The issue to be considered in
filing of the notice of intent to appeal, accompa- such appeal shall be limited to whether it was
nied by a certification that a copy thereof has been proper for the court to have denied the motion to
delivered to each counsel of record in accordance suppress or the motion to dismiss. A plea of nolo
with the provisions of Section 62-7. contendere by a defendant under this subsection
When such a party has filed a notice of objection shall not constitute a waiver by the defendant of
to the deferral of the appeal, the appeal shall not nonjurisdictional defects in the criminal prosecu-
be deferred, and the appellant shall file the appeal tion. The court shall not accept a nolo contendere
within twenty days of the filing of such notice of plea pursuant to this subsection where the denial
objection. of the motion to suppress or motion to dismiss
(b) Effect of failure to file notice of intent to would not be dispositive of the case in the trial
appeal when required; effect of filing notice of court. The court shall also decline to accept such
intent to appeal when not required a nolo contendere plea where the record available
If an aggrieved party, without having filed a for review of the denial of the motion to suppress
timely notice of intent to appeal, files an appeal or motion to dismiss is inadequate for appellate
claiming that a judgment described in (1) or (2) review of the court’s determination thereof.
of subsection (a) of this section was rendered (B) On any motion made prior to close of
improperly, the issues relating to such earlier judg- evidence
ment will be subject to dismissal as untimely. With the approval of the court, after a hearing
The use of the notice of intent to appeal is abol- to consider any objections thereto, a defendant
ished in all instances except as provided in sub- may enter a conditional plea of guilty or nolo con-
section (a) of this section, which sets forth the two tendere, reserving in writing the right, on appeal
429
from the judgment, to review of the adverse deter- (b) (1) The supreme court, on motion of any
mination of any motion made prior to the close of party or on its own motion may order that appeals
evidence, which motion must be specified in such pending in the supreme court be consolidated.
written reservation. If the defendant prevails on (2) When an appeal pending in the supreme
appeal, the judgment shall be set aside and the court involves the same cause of action, transac-
defendant shall be allowed to withdraw the condition or occurrence as an appeal pending in the
tional plea of guilty or nolo contendere after the appellate court, the supreme court may, on motion
case has been remanded to the trial court. A plea of any party or on its own motion, order that the
of guilty or nolo contendere under this subsection appeals be consolidated in the supreme court.
shall not constitute a waiver of nonjurisdictional The court may order consolidation at any time
defects in the criminal prosecution. The court shall before the assignment of the appeals for hearing.
not accept a plea of guilty or nolo contendere (3) The appellate court, on motion of any party
pursuant to this subsection where the adverse or on its own motion, may order that appeals
determination of the specified motion would not pending in the appellate court be consolidated.
be dispositive of the case in the trial court. The (4) There shall be no refund of fees if appeals
court shall also decline to accept such a nolo are consolidated.
contendere or guilty plea where the record avail- (c) Whenever appeals are jointly filed or are
able for review of the ruling upon the specified consolidated, only a single record shall be pre-
motion is inadequate for appellate review of the pared. In addition, all appellants must file a single,
court’s determination thereof. consolidated brief and all appellees must file a
(b) Appeal by state single, consolidated brief; provided, however, that
any party may file a request in writing to the chief
The state, with the permission of the presiding justice or chief judge, as the case may be, for
judge of the trial court and as provided by law, permission to file a separate brief if the joint parties
may appeal from a final judgment. In cases where cannot agree upon the contents of the joint brief
an appealable judgment has been rendered on or to brief issues which are not common to the
fewer than all counts of the information or com- joint parties.
plaint, the state may appeal from the judgment at (P.B. 1978-1997, Sec. 4004.)
the time it is rendered.
(c) Appeal from a ruling Sec. 61-7. Joint and Consolidated Appeals
To the extent provided by law, the defendant (Applicable to appeals filed on or after July 1, 2013.)
or the state may appeal from a ruling that is not (a) (1) Two or more plaintiffs or defendants in
a final judgment or from an interlocutory ruling the same case may appeal jointly or severally.
deemed to be a final judgment. Separate cases heard together and involving at
(P.B. 1978-1997, Sec. 4003.) (Amended July 26, 2000, to least one common party may as of right be
take effect Jan. 1, 2001; amended June 17, 2008, to take appealed jointly, provided all the trial court docket
effect Jan. 1, 2009; amended Sept. 16, 2015, to take effect numbers are shown on the appeal form (JD-SC-
Jan. 1, 2016.) 28 and JD-SC-29).
HISTORY—2016: In 2016, in the first sentence of subsec- (2) Prior to the filing of an appeal, the trial court,
tion (a) (2) (A), ‘‘take’’ was deleted after ‘‘right to’’ and ‘‘file’’ on motion of any party or on its own motion, may
was added.
order that a joint appeal be filed in any situation
Sec. 61-7. Joint and Consolidated Appeals not covered by the preceding paragraph.
(3) In the case of a joint appeal, only one entry
(Applicable to appeals filed before July 1, 2013.)
fee is required. The appellant filing the appeal
(a) (1) Two or more plaintiffs or defendants in shall pay the fee and any additional appellants
the same case may appeal jointly or severally. represented by other counsel or self-represented
Separate cases heard together and involving at shall file a signed joint appeal consent form (JD-
least one common party may as of right be SC-35) within ten days of the filing of the appeal.
appealed jointly, provided all the trial court docket (b) (1) The supreme court, on motion of any
numbers are shown on the appeal form (JD-SC- party or on its own motion, may order that appeals
28 and JD-SC-29). pending in the supreme court be consolidated.
(2) Prior to the filing of an appeal the trial court, (2) When an appeal pending in the supreme
on motion of any party or on its own motion, may court involves the same cause of action, transac-
order that a joint appeal be filed in any situation tion or occurrence as an appeal pending in the
not covered by the preceding paragraph. appellate court, the supreme court may, on motion
(3) In the case of a joint appeal, only one entry of any party or on its own motion, order that the
fee is required. appeals be consolidated in the supreme court.
430
The court may order consolidation at any time original and one copy of either a certificate stating
before the assignment of the appeals for hearing. that there are no changes to the Section 63-4
(3) The appellate court, on motion of any party papers filed with the original appeal or any amend-
or on its own motion, may order that appeals ments to those papers. Any other party may file
pending in the appellate court be consolidated. an original and one copy of responsive Section
(4) There shall be no refund of fees if appeals 63-4 papers within twenty days of the filing of the
are consolidated. certificate or the amendments.
(c) Whenever appeals are jointly filed or are If the original appeal is dismissed for lack of
consolidated, all appellants shall file a single, con- jurisdiction, the amended appeal shall remain
solidated brief and appendix. All appellees shall pending if it was filed from a judgment or order
file a single, consolidated brief or, if applicable, from which an original appeal property could have
a single, consolidated brief and appendix. If the been filed.
parties cannot agree upon the contents of the brief After disposition of an appeal where no
and appendix, or if the issues to be briefed are amended appeals related to that appeal are pend-
not common to the joint parties, any party may ing, a subsequent appeal shall be filed as a
file a motion for permission to file a separate brief new appeal.
and appendix. If the amended appeal is filed after the filing of
(P.B. 1978-1997, Sec. 4004.) (Amended June 5, 2013, to the appellant’s brief but before the filing of the
take effect July 1, 2013; amended Sept. 16, 2015, to take appellee’s brief, the appellant may move for leave
HISTORY—2016: In 2016, the second sentence was added
to file a supplemental brief. If the amended appeal
to subsection (a) (3). is filed after the filing of the appellee’s brief, either
party may move for such leave. In any event,
Sec. 61-8. Cross Appeals the court may order that an amended appeal be
Any appellee or appellees aggrieved by the briefed or heard separately from the original
judgment or decision from which the appellant appeal.
has appealed may jointly or severally file a cross If the appellant files a subsequent appeal from
appeal within ten days from the filing of the appeal. a trial court decision in a case, where there is a
Except where otherwise provided, the filing and pending appeal, the subsequent appeal shall be
form of cross appeals, extensions of time for filing treated as an amended appeal, and there shall
them, and all subsequent proceedings shall be be no refund of the fees paid.
the same as though the cross appeal were an (P.B. 1978-1997, Sec. 4006.) (Amended July 30, 2009, to
original appeal. No entry fee is required. take effect Jan. 1, 2010; amended July 11, 2012, to take effect
(P.B. 1978-1997, Sec. 4005.) (Amended Sept. 16, 2015, Jan. 1, 2013.)
(Commentary applicable to appeals filed on or after July
Sec. 61-9. Decisions Subsequent to Filing of
1, 2013.) Appeal; Amended Appeals
COMMENTARY—July, 2013: With respect to cross (Applicable to appeals filed on or after July 1, 2013.)
appeals, the cross appellant shall have all the obligations of Should the trial court, subsequent to the filing
the appellant with respect to the preparation and filing of part of a pending appeal, make a decision that the
one of the appendix.
HISTORY—2016: Prior to 2016, the final sentence read:
appellant desires to have reviewed, the appellant
‘‘No entry or record fee need be paid.’’ shall file an amended appeal within twenty days
from the issuance of notice of the decision as
Sec. 61-9. Decisions Subsequent to Filing of provided for in Section 63-1.
Appeal; Amended Appeals The amended appeal shall be filed in the same
(Applicable to appeals filed before July 1, 2013.) manner as an original appeal pursuant to Section
Should the trial court, subsequent to the filing 63-3. No additional fee is required to be paid upon
of a pending appeal, make a decision that the the filing of an amended appeal.
appellant desires to have reviewed, the appellant Within ten days of filing the amended appeal,
shall file an amended appeal in the trial court the appellant shall file with the appellate clerk
within twenty days from the issuance of notice of either a certificate stating that there are no
the decision as provided for in Section 63-1. changes to the Section 63-4 papers filed with the
The amended appeal shall be filed in the trial original appeal or any amendments to those
court in the same manner as an original appeal papers. Any other party may file responsive Sec-
pursuant to Section 63-3. No additional fee is tion 63-4 papers within twenty days of the filing
required to be paid upon the filing of an of the certificate or the amendments.
amended appeal. If the original appeal is dismissed for lack of
Within ten days of filing the amended appeal, jurisdiction, the amended appeal shall remain
the appellant shall file with the appellate clerk an pending if it was filed from a judgment or order
431
from which an original appeal properly could have may include, but is not limited to, supplemental
been filed. briefs, oral argument and provision of copies of
After disposition of an appeal where no transcripts and exhibits.
amended appeals related to that appeal are pend- (P.B. 1978-1997, Sec. 4007.) (Amended Oct. 18, 2012, to
ing, a subsequent appeal shall be filed as a take effect Jan. 1, 2013.)
COMMENTARY—January, 2013: Subsection (b) was
new appeal. adopted to effect a change in appellate procedure by limiting
If the amended appeal is filed after the filing of the use of the forfeiture sanction imposed when an appellant
the appellant’s brief and appendix but before the fails to seek an articulation from the trial court pursuant to
filing of the appellee’s brief and appendix, the Section 66-5 with regard to an issue on appeal, and the court
appellant may move for leave to file a supplemen- therefore declines to review the issue for lack of an adequate
tal brief and appendix. If the amended appeal is record for review. In lieu of refusing to review the issue, when
the court determines that articulation is appropriate, the court
filed after the filing of the appellee’s brief and may now remand the case to the trial court for an articulation
appendix, either party may move for such leave. and then address the merits of the issue after articulation is
In any event, the court may order that an amended provided. The adoption of subsection (b) is not intended to
appeal be briefed or heard separately from the preclude the court from declining to review an issue where
original appeal. the record is inadequate for reasons other than solely the
If the appellant files a subsequent appeal from failure to seek an articulation, such as, for example, the failure
to procure the trial court’s decision pursuant to Section 64-
a trial court decision in a case where there is a 1 (b) or the failure to provide a transcript, exhibits or other
pending appeal, the subsequent appeal shall be documents necessary for appellate review.
treated as an amended appeal, and there shall
be no refund of the fees paid. Sec. 61-10. Responsibility of Appellant to
(P.B. 1978-1997, Sec. 4006.) (Amended July 30, 2009, to Provide Adequate Record for Review
take effect Jan. 1, 2010; amended July 11, 2012, to take effect (Applicable to appeals filed on or after July 1, 2013.)
Jan. 1, 2013; amended June 5, 2013, to take effect July 1,
(a) It is the responsibility of the appellant to
2013; amended April 30, 2014, to take effect Aug. 1, 2014;
amended Sept. 16, 2015, to take effect Jan. 1, 2016.) provide an adequate record for review. The appel-
HISTORY—2016: In 2016, two instances of ‘‘in the trial lant shall determine whether the entire record is
court’’ were deleted: after ‘‘amended appeal’’ in the first para- complete, correct and otherwise perfected for pre-
graph and after ‘‘filed’’ in the second paragraph. In the first sentation on appeal.
sentence of the third paragraph, ‘‘the original and one copy (b) The failure of any party on appeal to seek
of the endorsed amended appeal form and an original of’’ articulation pursuant to Section 66-5 shall not be
was deleted after ‘‘clerk.’’ In the second sentence of the third
paragraph, ‘‘an original of’’ was deleted after ‘‘file.’’ A comma
the sole ground upon which the court declines to
was deleted in the final sentence after ‘‘case.’’ review any issue or claim on appeal. If the court
determines that articulation of the trial court deci-
Sec. 61-10. Responsibility of Appellant to sion is appropriate, it may, pursuant to Section
Provide Adequate Record for Review 60-5, order articulation by the trial court within a
(Applicable to appeals filed before July 1, 2013.) specified time period. The trial court may, in its
(a) It is the responsibility of the appellant to discretion, require assistance from the parties in
provide an adequate record for review. The appel- order to provide the articulation. Such assistance
lant shall determine whether the entire trial court may include, but is not limited to, supplemental
record is complete, correct and otherwise per- briefs, oral argument and provision of copies of
fected for presentation on appeal. For purposes transcripts and exhibits.
of this section, the term ‘‘record’’ is not limited to (P.B. 1978-1997, Sec. 4007.) (Amended Oct. 18, 2012, to
take effect Jan. 1, 2013; amended June 5, 2013, to take effect
its meaning pursuant to Section 63-4 (a) (2), but July 1, 2013; amended July 8, 2015, to take effect Jan. 1,
includes all trial court decisions, documents and 2016.)
exhibits necessary and appropriate for appellate COMMENTARY—January, 2013: Subsection (b) was
review of any claimed impropriety. adopted to effect a change in appellate procedure by limiting
(b) The failure of any party on appeal to seek the use of the forfeiture sanction imposed when an appellant
articulation pursuant to Section 66-5 shall not be fails to seek an articulation from the trial court pursuant to
Section 66-5 with regard to an issue on appeal, and the court
the sole ground upon which the court declines to therefore declines to review the issue for lack of an adequate
review any issue or claim on appeal. If the court record for review. In lieu of refusing to review the issue, when
determines that articulation of the trial court deci- the court determines that articulation is appropriate, the court
sion is appropriate, it may remand the case pursu- may now order an articulation and then address the merits
ant to Section 60-5 for articulation by the trial court of the issue after articulation is provided. The adoption of
subsection (b) is not intended to preclude the court from declin-
within a specified time period. After remand to the ing to review an issue where the record is inadequate for
trial court for articulation, the trial court may, in its reasons other than solely the failure to seek an articulation,
discretion, require assistance from the parties in such as, for example, the failure to procure the trial court’s
order to provide the articulation. Such assistance decision pursuant to Section 64-1 (b) or the failure to provide
432
a transcript, exhibits or other documents necessary for appel- for exclusive possession of a residence pursuant
late review. to General Statutes §§ 46b-81 or 46b-83 or to
HISTORY—2016: Prior to 2016, the second sentence of
subsection (b) read: ‘‘If the court determines that articulation
orders of periodic alimony, support, custody or
of the trial court decision is appropriate, it may remand the visitation in family matters brought pursuant to
case pursuant to Section 60-5 for articulation by the trial court chapter 25 or to any later modification of such
within a specified time period.’’ In 2016, in the third sentence orders. The automatic orders set forth in Section
of subsection (b), ‘‘After remand to the trial court for articula- 25-5 (b) (1), (2), (3), (5) and (7) shall remain in
tion,’’ was deleted before ‘‘the trial court’’ and the ‘‘t’’ in ‘‘the’’ effect during any appeal period and, if an appeal
was capitalized. Also in 2016, the January, 2013 commentary
was edited to reflect these changes.
is filed, until the final determination of the cause
unless terminated, modified or amended further
Sec. 61-11. Stay of Execution in Noncrimi- by order of a judicial authority upon motion of
nal Cases either party.
(Amended July 21, 1999, to take effect Jan. 1, 2000.) Any party may file a motion to terminate or
(a) Automatic stay of execution impose a stay in matters covered by this subsec-
Except where otherwise provided by statute or tion, either before or after judgment is rendered,
other law, proceedings to enforce or carry out the based upon the existence or expectation of an
judgment or order shall be automatically stayed appeal. Such a motion shall be filed in accordance
until the time to file an appeal has expired. If an with the procedures in subsection (e) of this rule
appeal is filed, such proceedings shall be stayed or Section 61-12. The judge hearing such motion
until the final determination of the cause. If the may terminate or impose a stay of any order,
case goes to judgment on appeal, any stay there- pending appeal, as appropriate, after considering
after shall be in accordance with Section 71-6 (1) the needs and interests of the parties, their
(motions for reconsideration), Section 84-3 (peti- children and any other persons affected by such
tions for certification by the Connecticut supreme order; (2) the potential prejudice that may be
court), and Section 71-7 (petitions for certiorari by caused to the parties, their children and any other
the United States supreme court). persons affected, if a stay is entered, not entered
(b) Matters in which no automatic stay is or is terminated; (3) if the appeal is from a judg-
available under this rule ment of dissolution, the need to preserve, pending
Under this section, there shall be no automatic appeal, the mosaic of orders established in the
stay in actions concerning attorneys pursuant to judgment; (4) the need to preserve the rights of
chapter 2 of these rules, in juvenile matters the party taking the appeal to obtain effective relief
brought pursuant to chapters 26 through 35a, or if the appeal is successful; (5) the effect, if any,
in any administrative appeal except as otherwise of the automatic orders under Section 25-5 on
provided in this subsection. any of the foregoing considerations; and (6) any
Unless a court shall otherwise order, any stay other factors affecting the equities of the parties.
that was in effect during the pendency of any The judge who entered the order in a family
administrative appeal in the trial court shall con- matter from which an appeal lies may terminate
tinue until the filing of an appeal or the expiration any stay in that matter upon motion of a party as
of the appeal period, or any new appeal period, provided in this subsection or sua sponte, after
as provided in Section 63-1. If an appeal is filed, considering the factors set forth in this subsection
any further stay shall be sought pursuant to Sec- or if the judge is of the opinion that an extension
tion 61-12. of time to appeal is sought or the appeal is filed
For purposes of this rule, ‘‘administrative only for delay. Whether acting on a motion of a
appeal’’ means an appeal filed from a final judg- party or sua sponte, the judge shall hold a hearing
ment of the trial court or the compensation review prior to terminating the stay.
board rendered in an appeal from a decision of (d) Termination of stay
any officer, board, commission, or agency of the In all cases not governed by subsection (c),
state or of any political subdivision thereof. In addi- termination of a stay may be sought in accordance
tion to appeals filed pursuant to the Uniform with subsection (e) of this rule. If the judge who
Administrative Procedure Act, ‘‘administrative tried the case is of the opinion that (1) an exten-
appeal’’ includes, among other matters, zoning sion to appeal is sought, or the appeal is filed,
appeals, teacher tenure appeals, tax appeals and only for delay or (2) the due administration of
unemployment compensation appeals. justice so requires, the judge may at any time,
(c) Stays in Family Matters upon motion or sua sponte, order that the stay be
Unless otherwise ordered, no automatic stay terminated. Whether acting on a motion of a party
shall apply to orders of relief from physical abuse or sua sponte, the judge shall hold a hearing prior
pursuant to General Statutes § 46b-15, to orders to terminating the stay.
433
(e) Motions to terminate stay such relief accompanied by an affidavit stating the
A motion to terminate a stay of execution filed basis for the plaintiff’s claim. In the event such a
before judgment is entered shall be filed with the motion to terminate stay is filed, it shall be set
trial court, and the judge who tried or presided down for argument and the taking of evidence,
over the matter may rule upon the motion when if necessary, on the second short calendar next
judgment is entered. If such a motion is filed after following the filing of the motion. There shall be
judgment but before an appeal is filed, the motion no automatic appellate stay in the event that the
shall be filed with the clerk of the trial court and court grants the motion to terminate the stay and,
may be ruled upon by the trial judge thereafter. if necessary, sets new law dates. There shall be
After an appeal is filed, such a motion shall be filed no automatic stay pending a motion for review of
with the appellate clerk and shall be forwarded by an order terminating a stay under this subsection.
the appellate clerk to the trial judge for a decision. (h) Foreclosure by Sale—Motion Rendering
If the judge who tried or presided over the case Ineffective a Judgment of Foreclosure by Sale
is unavailable, the motion shall be forwarded to In any action for foreclosure in which the owner
the clerk of the trial court in which the case was of the equity has filed a motion to open or other
tried, who shall assign the motion for a hearing similar motion, which motion was denied fewer
and decision to any judge of the superior court. than twenty days prior to the scheduled auction
Upon hearing and consideration of the motion, date, the auction shall proceed as scheduled not-
the trial court shall file with the clerk of the trial withstanding the court’s denial of the motion, but
court its written or oral memorandum of decision no motion for approval of the sale shall be filed
that shall include the factual and legal basis there- until the expiration of the appeal period following
for. If oral, the decision shall be transcribed by the denial of the motion without an appeal having
the court reporter and signed by the trial court. If been filed. The trial court shall not vacate the
an appeal has not been filed, the clerk shall enter automatic stay following its denial of the motion
the decision on the trial court docket and shall during such appeal period.
send notice of the decision to counsel of record. (P.B. 1978-1997, Sec. 4046.) (Amended July 23, 1998, to
If an appeal has been filed, the clerk of the trial take effect Jan. 1, 1999; amended July 21, 1999, to take effect
court shall enter the decision on the trial court Jan. 1, 2000; amended July 26, 2000, to take effect Jan. 1,
docket and send notice of the decision to the 2001; amended Oct. 10, 2001, to take effect Jan. 1, 2002;
appellate clerk, and the appellate clerk shall issue amended May 12, 2004, to take effect Jan. 1, 2005; amended
July 26, 2012, to take effect Jan. 1, 2013; amended July 11,
notice of the decision to all counsel of record. 2013, to take effect Oct. 1, 2013; amended Sept. 16, 2015,
(f) Motions to request stay to take effect Jan. 1, 2016.)
Requests for a stay pending appeal where there HISTORY—2016: In 2016, in subsection (a), ‘‘take’’ was
is no automatic stay shall be governed by Section deleted and ‘‘file’’ was added in the first sentence before ‘‘an
61-12. appeal.’’ Also in 2016, in five instances, ‘‘taken’’ was deleted
(For stays of execution in criminal cases, see and ‘‘filed’’ was substituted: twice in the final paragraph of
subsection (b) after ‘‘appeal’’ and ‘‘appeals,’’ respectively;
Section 61-13; for stays in death penalty cases, once in the second sentence of the first paragraph of subsec-
see Section 61-15.) tion (c) before ‘‘, until’’; once in the penultimate sentence of
(g) Strict Foreclosure—Motion Rendering subsection (c) before ‘‘only’’; and once in the second sentence
Ineffective a Judgment of Strict Foreclosure of subsection (d) before ‘‘, only.’’
In any action for foreclosure in which the owner Prior to 2016, subsection (e) read: ‘‘A motion to terminate
of the equity has filed, and the court has denied, a stay of execution may be filed before judgment; if it is, it
may be ruled upon when judgment is entered. If such a motion
at least two prior motions to open or other similar is filed before judgment, or after judgment but before an
motion, no automatic stay shall arise upon the appeal, it shall be filed in triplicate with the clerk of the superior
court’s denial of any subsequent contested motion court. If it is filed after an appeal is filed, an original and three
by that party, unless the party certifies under oath, copies shall be filed with the appellate clerk, who shall forward
in an affidavit accompanying the motion, that the the motion to the judge who tried the case. That judge shall
motion was filed for good cause arising after the file any ruling thereon with the appellate clerk and with the
court’s ruling on the party’s most recent motion. clerk of the trial court where the matter was tried. If the judge
who tried the case is unavailable, the motion shall be forwarded
Such affidavit shall recite the specific facts relied to the clerk of the court in the judicial district where the case
on in support of the moving party’s claim of good was tried, who shall assign the motion for a hearing and deci-
cause. If, notwithstanding the submission of such sion to any judge of the superior court.’’
an affidavit of good cause, the plaintiff contends
that there is no good cause to stay the court’s Sec. 61-12. Discretionary Stays
judgment of strict foreclosure pending resolution (Amended July 21, 1999, to take effect Jan. 1, 2000.)
of the appeal, the plaintiff may seek termination In noncriminal matters in which the automatic
of the automatic stay by filing a motion requesting stay provisions of Section 61-11 are not applicable
434
and in which there are no statutory stay provi- (a) Appeal by defendant arising from a
sions, any motion for a stay of the judgment or sentence
order of the superior court pending appeal shall (1) Sentence of imprisonment
be filed in the trial court. If the judge who tried the A sentence of imprisonment shall be stayed
case is unavailable, the motion may be decided automatically by an appeal, provided the defend-
by any judge of the superior court. Such a motion ant is released on bail.
may also be filed before judgment and may be (2) Sentence of probation or conditional dis-
ruled upon at the time judgment is rendered charge
unless the court concludes that a further hearing Upon motion by the defendant to the trial court,
or consideration of such motion is necessary. A a sentence of probation or conditional discharge
temporary stay may be ordered sua sponte or may be stayed if an appeal is filed. If the sentence
on written or oral motion, ex parte or otherwise, is stayed, the court shall fix the terms of the stay.
pending the filing or consideration of a motion for If the sentence on appeal is not stayed, the court
stay pending appeal. The motion shall be consid- shall specify when the term of probation shall com-
ered on an expedited basis and the granting of a mence. If the sentence is not stayed and a condi-
stay of an order for the payment of money may tion of the sentence is restitution or other payment
be conditional on the posting of suitable security. of money, the court shall order that such payments
In the absence of a motion filed under this sec- be made to the clerk of the trial court to be held
tion, the trial court may order, sua sponte, that by said clerk until ten days after final determination
proceedings to enforce or carry out the judgment of the appeal.
or order be stayed until the time to file an appeal (3) Sentence of a fine
has expired or, if an appeal has been filed, until A sentence to pay a fine shall be stayed auto-
the final determination of the cause. A party may matically by an appeal, and the stay shall not be
file a motion to terminate such a stay pursuant to subject to termination.
Section 61-11. (4) Sentencing sanctions of restitution and
In determining whether to impose a stay in a forfeiture
family matter, the court shall consider the factors The execution of a sanction of restitution or
set forth in Section 61-11 (c). forfeiture of property, which was imposed as part
(P.B. 1978-1997, Sec. 4047.) (Amended July 21, 1999, to of a sentence, shall be stayed automatically by
take effect Jan. 1, 2000; amended July 26, 2012, to take effect an appeal. Upon motion by the state or upon its
Jan. 1, 2013; amended Sept. 16, 2015, to take effect Jan. own motion, the trial court may issue orders rea-
1, 2016.) sonably necessary to ensure compliance with the
HISTORY—2016: What had been the first sentence of this
section is now two sentences. Prior to 2016, the first sentence
sanction upon final disposition of the appeal.
read: ‘‘In noncriminal matters in which the automatic stay provi- (5) Other sentencing sanctions
sions of Section 61-11 are not applicable and in which there Upon motion by the defendant, other sanctions
are no statutory stay provisions, any motion for a stay of the imposed as part of a sentence, including those
judgment or order of the superior court pending appeal shall imposed under General Statutes §§ 53a-40c,
be made to the judge who tried the case unless that judge is 53a-40e, 54-102b, 54-102g, and 54-260, may be
unavailable, in which case the motion may be made to any
judge of the superior court.’’ Also, in the first sentence of the
stayed by an appeal. If the sanction is stayed, the
second paragraph, ‘‘take’’ was deleted after ‘‘time to’’ and was trial court may issue orders reasonably necessary
replaced with ‘‘file.’’ to ensure compliance with the sanction upon final
disposition of the appeal.
Sec. 61-13. Stay of Execution in Criminal (b) Appeal by defendant from presentence
Case order
(Amended July 21, 1999, to take effect Jan. 1, 2000.) In an appeal from a presentence order where
Except as otherwise provided in this rule, a the defendant claims that an existing right, such
judgment in a criminal case shall be stayed from as a right not to be tried, will be irreparably lost if
the time of the judgment until the time to file an the order is not reviewed immediately, the appeal
appeal has expired, and then, if an appeal is filed, shall stay automatically further proceedings in the
until ten days after its final determination. The stay trial court.
provisions apply to an appeal from a judgment, (c) Appeal by the state from a judgment
to an appeal from a judgment on a petition for a In an appeal by the state, the appeal shall stay
new trial and to a writ of error, where those matters automatically further proceedings in the trial court
arise from a criminal conviction or sentence. until ten days after the final determination of the
Unless otherwise provided in this rule, all stays appeal. The defendant shall be released pending
are subject to termination under subsection (d). determination of an appeal by the state from any
435
judgment not resulting in a sentence, the effect therefor. If oral, the decision shall be transcribed by the court
of which is to terminate the entire prosecution. reporter and signed by the trial court. Pending the filing or
consideration of a motion for stay, a temporary stay may be
(d) Motion for stay or to terminate a stay ordered sua sponte or on written or oral motion.’’
A motion for stay or a motion to terminate a
stay filed before an appeal is filed shall be filed Sec. 61-14. Review of Order concerning
with the trial court. After an appeal is filed, such Stay; When Stay May Be Requested from
motions shall be filed with the appellate clerk and Court Having Appellate Jurisdiction
shall be forwarded by the appellate clerk to the (Amended July 23, 1998, to take effect Jan. 1, 1999.)
trial judge for a decision. If the judge who tried or The sole remedy of any party desiring the court
presided over the case is unavailable, the motion to review an order concerning a stay of execution
shall be forwarded to the clerk of the court in which shall be by motion for review under Section 66-
the case was tried and shall be assigned for a 6. Execution of an order of the court terminating
hearing and decision to any judge of the superior a stay of execution shall be stayed for ten days
court. Upon hearing and consideration of the from the issuance of notice of the order, and if a
motion, the trial court shall file with the clerk of motion for review is filed within that period, the
the trial court a written or oral memorandum of order shall be stayed pending decision of the
decision that shall include the factual and legal motion, unless the court having appellate jurisdic-
basis therefor. If oral, the decision shall be tran- tion rules otherwise.
scribed by the court reporter and signed by the A motion for extension of time to file a motion
trial court. The trial court shall send notice of the for review of a ruling concerning a stay of execu-
decision to the appellate clerk who shall issue tion must be filed in the trial court but shall not
notice of the decision to all counsel of record. If automatically stay the execution after the ten days
an appeal has not been filed, the clerk of the trial has expired, except that the trial judge may order
court shall enter the decision on the trial court a stay pending a ruling on the motion for extension
docket and shall send notice of the decision to of time.
counsel of record. Pending the filing or consider- A ruling concerning a stay is a judgment in a
ation of a motion for stay, a temporary stay may trial to the court for purposes of Section 64-1, and
be ordered sua sponte or on written or oral motion. the trial court making such a ruling shall state its
In appeals by the defendant from a presentence decision, either orally or in writing, in accordance
order and appeals by the state from a judgment, with the requirements of that section.
the judge who tried the case may terminate any In any case in which there is no automatic stay
stay, upon motion and hearing, if the judge is of of execution and in which the trial court denies, or
the opinion that (1) an extension to appeal is refuses to rule on, a motion for stay, an aggrieved
sought, or the appeal is filed only for delay, or (2) party may file a motion requesting a stay of execu-
the due administration of justice so requires. tion of the judgment from the court having appel-
(For stays of execution in death penalty cases, late jurisdiction pending the filing of and ruling
see Section 61-15.) upon a motion for review. The motion must be
(P.B. 1978-1997, Sec. 4048.) (Amended July 21, 1999, to filed with the appellate clerk.
take effect Jan. 1, 2000; amended Oct. 10, 2001, to take effect (P.B. 1978-1997, Sec. 4049. See also Secs. 66-2 and 66-3.)
Jan. 1, 2002; amended Sept. 16, 2015, to take effect Jan. (Amended July 23, 1998, to take effect Jan. 1, 1999; amended
1, 2016.) Sept. 16, 2015, to take effect Jan. 1, 2016.)
HISTORY—2016: In 2016, in the first sentence of this sec- HISTORY—2016: In 2016, in the first sentence of the final
tion, ‘‘take’’ was deleted after ‘‘time to’’ and was replaced with paragraph of this section, ‘‘request’’ was deleted after ‘‘may’’
‘‘file.’’ Also, ‘‘taken’’ was deleted after two instances of ‘‘appeal and was replaced with ‘‘file a motion requesting.’’ In the second
is’’ and was replaced with ‘‘filed’’: in the first sentence of sub- sentence of that paragraph, ‘‘request’’ was deleted before
section (a) (2) and in the last sentence of subsection (d). ‘‘must’’ and was replaced with ‘‘motion.’’
Prior to 2016, the first paragraph of subsection (d) read: "If
a motion for a stay or a motion to terminate a stay is filed Sec. 61-15. Stay of Execution in Death Pen-
before the appeal is taken, the original motion and three copies alty Case
shall be filed with the trial court. After the appeal is taken, the
motion and three copies shall be filed in the appellate court; If the defendant is sentenced to death, the sen-
motions filed in the appellate court shall be forwarded by the tence shall be stayed for the period within which
clerk of the appellate court to the trial court for a decision. If to file an appeal. If the defendant has taken an
the judge who tried or presided over the case is unavailable, appeal to the supreme or appellate court of this
the motion shall be forwarded to the clerk of the court in which state or to the United States supreme court or
the case was tried and shall be assigned for a hearing and
decision to any judge of the superior court. Upon hearing and
brought a writ of error, writ of certiorari, writ of
consideration of the motion, the trial court shall decide the habeas corpus, application for a pardon or petition
motion by filing with the court clerk a written or oral memoran- for a new trial, the taking of the appeal, the making
dum of decision that shall include the factual and legal basis of the application for a writ of certiorari or for a
436
pardon, or the return into court of the writ of error, court shall issue a warrant of execution, reciting
writ of habeas corpus, or petition for a new trial therein the original judgment, the fact of the stay
shall, unless, upon application by the state’s attor- of execution and the final order of the court, which
ney and after hearing, the supreme court other- warrant shall be forthwith served upon the warden
wise orders, stay the execution of the death or his deputy. (For stays of execution in other
penalty until the clerk of the court where the trial criminal cases, see Section 61-13.)
was had has received notification of the termina- (Adopted July 21, 1999, to take effect Jan. 1, 2000;
amended Sept. 16, 2015, to take effect Jan. 1, 2016.)
tion of any such proceeding by decision or other- HISTORY—2016: In 2016, in the first sentence, ‘‘take’’ was
wise, and for thirty days thereafter. Upon motion deleted before ‘‘an appeal’’ and was replaced with ‘‘file.’’ Also
by the defendant, filed with the appellate clerk, in 2016, in the third and fourth sentences, ‘‘application’’ was
the supreme court may grant a stay of execution deleted after ‘‘Upon’’ and was replaced with ‘‘motion.’’ Also in
to prepare a writ of error, a writ of certiorari, writ the third sentence, ‘‘filed with the appellate clerk,’’ was added
before ‘‘the supreme court.’’
of habeas corpus, application for a pardon or peti-
tion for a new trial. Upon motion by the defendant Sec. 61-16. Notice of (1) Bankruptcy Filing,
and after hearing, the supreme court may extend (2) Disposition of Bankruptcy Case and (3)
a stay of execution beyond the time limits stated Order of Bankruptcy Court Granting Relief
within this rule for good cause shown. No appel- from Automatic Stay
late procedure shall be deemed to have termi- (Amended Sept. 16, 2015, to take effect Jan. 1, 2016.)
nated until the end of the period allowed by law (a) If a party to an appeal files a bankruptcy
for the filing of a motion for reconsideration, or, if petition, that party shall immediately file a notice
such motion is filed, until the proceedings conse- with the appellate clerk. The notice shall set forth
quent thereon are finally determined. When exe- the date the bankruptcy petition was filed, the
cution is stayed under the provisions of this bankruptcy court in which the petition was filed,
section, the clerk of the court shall forthwith give the name of the bankruptcy debtor and the docket
notice thereof to the warden of the institution in number of the bankruptcy case.
(b) Upon resolution of the bankruptcy case, the
which such defendant is in custody. If the original
party who filed for bankruptcy protection shall
judgment of conviction has been affirmed or immediately file a notice with the appellate clerk
remains in full force at the time when the clerk that the case has been resolved in the bankruptcy
has received the notification of the termination of court. If the bankruptcy court grants relief from
any proceedings by appeal, writ of certiorari, writ the automatic bankruptcy stay, the party obtaining
of error, writ of habeas corpus, application for a such relief shall immediately file a notice with the
pardon or petition for a new trial, and the day appellate clerk of the termination of the auto-
designated for the infliction of the death penalty matic stay.
has then passed or will pass within thirty days (Adopted July 24, 2002, to take effect Oct. 1, 2002;
thereafter, the defendant shall, within said period amended Sept. 16, 2015, to take effect Jan. 1, 2016.)
of thirty days, upon an order of the court in which HISTORY—2016: Prior to 2016, this section was titled:
‘‘Notification of (1) Bankruptcy Filing, (2) Disposition of Bank-
the judgment was rendered at a regular or special ruptcy Case and (3) Order of Bankruptcy Court Granting Relief
criminal session thereof, be presented before said from Automatic Stay.’’ In 2016, in the first sentence of subsec-
court by the warden of the institution in which the tion (a) and in both sentences of subsection (b), ‘‘notify’’ was
defendant is in custody or his deputy, and the deleted after ‘‘immediately’’ and ‘‘file a notice with’’ was added;
also in the first sentence of both subsection (a) and (b), ‘‘in
court, with the judge assigned to hold the session writing’’ was deleted in each instance after ‘‘appellate clerk.’’
presiding, shall thereupon designate a day for the Also, in the second sentence of subsection (a), ‘‘notification’’
infliction of the death penalty and the clerk of the was deleted before ‘‘shall’’ and was replaced with ‘‘notice.’’
437
CHAPTER 62
CHIEF JUDGE, APPELLATE CLERK AND DOCKET: GENERAL
ADMINISTRATIVE MATTERS
Sec. Sec.
62-1. Chief Judge to Counsel of Record (Applicable to appeals filed
62-2. Clerk on or after July 1, 2013.)
62-3. Entry of Cases 62-8. Names of Counsel; Appearance
62-4. Case to Remain on Docket of Trial Court 62-8A. Attorneys of Other Jurisdictions Participating Pro
Hac Vice on Appeal
62-5. Changes in Parties
62-9. Withdrawal of Appearance
62-6. Signature on Papers 62-9A. Hybrid Representation; Removal or Substitution of
62-7. Matters of Form; Filings; Certification to Counsel Counsel in Criminal and Habeas Corpus Appeals
(Applicable to appeals filed before July 1, 2013.) 62-10. Files to Be Available to Parties
62-7. Matters of Form; Filings; Delivery and Certification 62-11. Files and Records Not to Be Removed
Sec. 62-1. Chief Judge of error, shall enter the case upon the docket of the court to
which the appeal was taken.’’
(a) The chief justice shall designate one of the
judges of the appellate court as chief judge of the Sec. 62-4. Case to Remain on Docket of
appellate court. Trial Court
(b) With the approval of the chief justice, the
chief judge shall (1) schedule such sessions as A case that has been appealed shall remain on
may be necessary, at such locations as the facili- the docket of the court where it was tried until the
tation of court business requires, (2) designate as appeal is decided or terminated.
many panels as may be necessary, and assign (P.B. 1978-1997, Sec. 4032.)
three judges to each panel, and (3) designate a
presiding judge for each panel on which the chief Sec. 62-5. Changes in Parties
judge does not sit. Any change in the parties to an action pending
(P.B. 1978-1997, Sec. 4028.) an appeal shall be made in the court in which the
appeal is pending. The appellate clerk shall notify
Sec. 62-2. Clerk
the clerk of the trial court of any change.
The justices of the supreme court shall appoint (P.B. 1978-1997, Sec. 4033.)
an appellate clerk who shall be the chief clerk of
the supreme court and of the appellate court, but Sec. 62-6. Signature on Papers
who shall not be the chief clerk of any judicial
All papers including original copies of briefs
district. As used in these rules, the clerk of any
trial court from which an appeal is filed shall be shall be signed by counsel of record. Each plead-
referred to as the clerk of the trial court. ing or other document filed shall set forth the sign-
(P.B. 1978-1997, Sec. 4029.) (Amended Sept. 16, 2015, er’s telephone and facsimile numbers, mailing
to take effect Jan. 1, 2016.) address, and, if applicable, the signer’s juris num-
HISTORY—2016: In the last sentence, ‘‘taken’’ was deleted ber. Attorneys shall sign electronically filed docu-
before ‘‘shall’’ and was replaced with ‘‘filed.’’ ments by entering their individual juris number
Sec. 62-3. Entry of Cases during the filing transaction. See Section 60-4.
(P.B. 1978-1997, Sec. 4030.) (Amended Sept. 16, 2015,
Appeals, reservations, writs of error, original to take effect Jan. 1, 2016.)
jurisdiction actions, and other matters filed in HISTORY—2016: In 2016, the third and fourth sentences
accordance with the procedures set forth in Sec- were added to this rule.
tions 60-7, 60-8, and 63-3, shall be docketed upon
filing subject to return by the appellate clerk or Sec. 62-7. Matters of Form; Filings; Certifi-
rejection by the court upon review for compliance cation to Counsel
with the rules of appellate procedure. (Applicable to appeals filed before July 1, 2013.)
to take effect Jan. 1, 2016.) It is the responsibility of counsel of record to
HISTORY—2016: Prior to 2016, this section read: ‘‘The submit papers for filing in a timely manner and in
appellate clerk, upon receipt of an appeal, reservation, or writ the proper form.
438
The appellate clerk may refuse to accept for Sec. 62-7. Matters of Form; Filings; Delivery
filing any papers presented in a form not in compli- and Certification to Counsel of Record
ance with these rules; in refusing, the appellate (Applicable to appeals filed on or after July 1, 2013.)
clerk shall indicate how the papers have failed to (Amended Sept. 16, 2015, to take effect Jan. 1, 2016.)
comply. The clerk shall stamp any papers refused (a) It is the responsibility of counsel of record
with the date on which they were received before to file papers in a timely manner and in the proper
returning them, and shall retain a copy thereof. form. The appellate clerk may return any papers
Any papers correcting a noncomplying filing shall filed in a form not in compliance with these rules;
be deemed to be timely filed if resubmitted to the in returning, the appellate clerk shall indicate how
appellate clerk within fifteen days. The time for the papers have failed to comply. The clerk shall
responding to any such paper shall not start to note the date on which they were received before
run until the correcting paper is filed. returning them, and shall retain an electronic copy
Except for the transcript of evidence or where thereof. Any papers correcting a noncomplying
otherwise indicated, an original and fifteen copies filing shall be deemed to be timely filed if a comply-
of all papers shall be filed with the appellate clerk. ing document is refiled with the appellate clerk
For copies of the initial appeal papers, see Sec- within fifteen days. The time for responding to any
tions 63-3 and 63-4; for copies of papers with- such paper shall not start to run until the correcting
drawing an appeal or writ of error, see Section paper is filed.
63-9; for copies of motions and opposition papers, (b) All papers except the transcript and regula-
see Section 66-3 (motions in general), Section tions filed pursuant to Section 81-6 shall contain:
66-1 (extension of time), Section 61-11 (termina- (1) certification that a copy has been delivered to
tion of stay of execution), and Section 66-5 (rectifi- each other counsel of record, including names,
cation); for copies of briefs, see Section 67-2; for addresses, e-mail addresses, and telephone and
copies of the record, see Section 68-7; for copies facsimile numbers; (2) certification that the docu-
of petitions for certification and opposition papers, ment has been redacted or does not contain any
see Sections 84-4 and 84-6; for copies of certified names or other personal identifying information
questions from courts of other jurisdictions, see that is prohibited from disclosure by rule, statute,
Section 82-4. court order or case law; and (3) certification that
All papers except the transcript and regulations the document complies with all applicable rules
filed pursuant to Section 81-6 shall contain a certi- of appellate procedure. Any request to deviate
fication that a copy has been served on each other from the requirement regarding personal identi-
counsel of record, including the names, fying information shall be filed with the appellate
addresses and telephone and facsimile numbers clerk pursuant to Section 67-2 (k). Additional certi-
of all counsel served. The certification concerning fication requirements may be required by the rules
briefs may be signed by counsel of record or the under which specific documents are filed.
printer on the last page of one of the briefs or on (c) Any counsel of record who files a document
a separate typewritten document filed with the electronically with the court must deliver it elec-
briefs. All service and filing by mail shall be by tronically to all other counsel of record, as defined
first class or express United States mail, postage by Section 60-4, unless the intended recipient has
prepaid, or by hand delivery. notified the appellate clerk and all other counsel
If a document must be filed by a certain date of record in writing that the recipient declines to
under these rules or under any statutory provision, accept electronic delivery of documents or the
the document must be received by the appellate intended recipient is exempt from the require-
clerk by the close of business on that date; it is ments of electronic filing pursuant to Section 60-
not sufficient that a document be mailed by that 8. Any counsel of record who has signed an elec-
date to the appellate clerk unless a rule or statu- tronically filed document shall be deemed to have
tory provision expressly so computes the time. consented to electronic delivery under this sec-
The signed original of documents filed pursuant tion. Delivery by e-mail is complete upon sending
to Sections 66-3, 67-2, 81-2, 81-3, 84-5 and 84- the electronic notice unless the party sending
6 shall bear an attached certificate indicating that notice learns that the attempted delivery did not
the document is in compliance with all of the reach the e-mail address of the intended recipient.
requirements of the rule under which it is being If the intended recipient has declined to accept
filed. electronic delivery or is exempt from the require-
take effect Jan. 1, 1999; amended July 24, 2002, to take effect ments of electronic filing, a document may be
Oct. 1, 2002; amended May 15, 2003, to take effect Jan. 1, delivered to counsel of record by hand or by first
2004; amended June 18, 2014, to take effect Sept. 1, 2014.) class or express mail delivered by the United
439
States Postal Service or an equivalent commer- permission to withdraw has been granted pursu-
cial service, postage prepaid, to the last known ant to Section 62-9 or unless an in lieu of appear-
address of the intended recipient. ance pursuant to Section 3-8 has been filed by
(P.B. 1978-1997, Sec. 4014.) (Amended July 23, 1998, to other counsel. Counsel who filed the appeal or
take effect Jan. 1, 1999; amended July 24, 2002, to take effect filed an appearance in the appellate court after
Oct. 1, 2002; amended May 15, 2003, to take effect Jan. 1,
2004; amended June 5, 2013, to take effect July 1, 2013; the appeal was filed shall be deemed to have
amended June 18, 2014, to take effect Sept. 1, 2014; amended appeared in the trial court for the limited purpose
Sept. 16, 2015, to take effect Jan. 1, 2016.) of prosecuting or defending the appeal. Unless
HISTORY—2016: Prior to 2016, this section was titled: otherwise provided by statute or rule, counsel who
‘‘Matters of Form; Filings; Certification to Counsel.’’ Prior to have so appeared shall be entitled to review all
2016, this section read:
‘‘It is the responsibility of counsel of record to submit papers trial court docket sheets and files, including sealed
for filing in a timely manner and in the proper form. files, and shall be entitled to participate in pro-
‘‘The appellate clerk may refuse to accept for filing any ceedings in the trial court on motions filed in the
papers presented in a form not in compliance with these rules; trial court pursuant to Section 66-1 and motions
in refusing, the appellate clerk shall indicate how the papers filed in the appellate court but referred to the trial
have failed to comply. The clerk shall stamp any papers
refused with the date on which they were received before
court for decision.
returning them, and shall retain a copy thereof. Any papers An appearance filed after the case is ready pur-
correcting a noncomplying filing shall be deemed to be timely suant to Section 69-2 requires permission of
filed if resubmitted to the appellate clerk within fifteen days. the court.
The time for responding to any such paper shall not start to This rule shall not be deemed to permit appel-
run until the correcting paper is filed.
‘‘Except for the transcript of evidence or where otherwise late counsel to review records that were sealed
indicated, an original and fifteen copies of all papers shall be as to trial counsel but retained in the trial court
filed with the appellate clerk. For copies of the initial appeal file for appellate review.
papers, see Sections 63-3 and 63-4; for copies of papers This rule shall not be deemed to excuse trial
withdrawing an appeal or writ of error, see Section 63-9; for counsel with respect to preserving a defendant’s
copies of motions and opposition papers, see Section 66-3
(motions in general), Section 66-1 (extension of time), Section right to appeal pursuant to Section 63-7; nor shall
61-11 (termination of stay of execution), and Section 66-5 this rule prevent trial counsel from moving for a
(rectification); for copies of briefs and appendices, see Section withdrawal of appearance pursuant to Section
67-2; for copies of petitions for certification and opposition 62-9.
papers, see Sections 84-4 and 84-6; for copies of certified (P.B. 1978-1997, Sec. 4034.) (Amended Sept. 8, 2004, to
questions from courts of other jurisdictions, see Section 82-4. take effect Jan. 1, 2005; amended May 4, 2006, to take effect
‘‘All papers except the transcript and regulations filed pursu- Jan. 1, 2007; amended Jan. 4, 2007, to take effect Jan. 1,
ant to Section 81-6 shall contain a certification that a copy 2008; amended Sept. 16, 2015, to take effect Jan. 1, 2016.)
has been served on each other counsel of record, including HISTORY—2016: In 2016, what is now the fourth sentence
the names, addresses and telephone and facsimile numbers was added as an independent paragraph and what had been
of all counsel served. The certification concerning briefs may
the fourth sentence was deleted. Prior to 2016, the fourth
be signed by counsel of record or the printer on the last page
sentence read: ‘‘Where counsel did not file the appeal but
of one of the briefs or on a separate typewritten document
have appeared in the appellate court, a copy of an appearance
filed with the briefs. All service and filing by mail shall be by
first class or express United States mail, postage prepaid, or form stamped by the appellate clerk’s office shall be satisfac-
by hand delivery. tory evidence of an appearance in an appeal.’’ Also in 2016,
‘‘If a document must be filed by a certain date under these what had been the final sentence was deleted. It read: ‘‘No
rules or under any statutory provision, the document must be change, substitution or withdrawal of counsel shall be permit-
received by the appellate clerk by the close of business on ted after the due date of the final reply brief without leave of
that date; it is not sufficient that a document be mailed by that the court.’’
date to the appellate clerk unless a rule or statutory provision
expressly so computes the time. Sec. 62-8A. Attorneys of Other Jurisdictions
‘‘The signed original of documents filed pursuant to Sec- Participating Pro Hac Vice on Appeal
tions 66-3, 67-2, 81-2, 81-3, 84-5 and 84-6 shall bear an
attached certificate indicating that the document is in compli-
(a) An attorney, who upon written application
ance with all of the requirements of the rule under which it is pursuant to Section 2-16 has been permitted by
being filed.’’ a judge of the superior court to participate in the
COMMENTARY—2016: Language concerning the compu- presentation of a cause or appeal pending in this
tation of time for filing has been transferred to Section 60-4. state, shall be allowed to participate in any appeal
It is counsel’s responsibility to notify the Statewide Grievance
Committee of any changes to contact information, including
of said cause without filing a written application
e-mail addresses. to the court having jurisdiction over the appeal.
All terms, conditions and obligations set forth in
Sec. 62-8. Names of Counsel; Appearance Section 2-16 shall remain in full effect. The chief
Counsel for all parties in the trial court shall be clerk of the superior court for the judicial district
deemed to have appeared in the appeal unless in which the cause originated shall continue to
440
serve as the agent upon whom process and notice be filed with the appellate clerk in accordance with
of service may be served. Sections 66-2 and 66-3 and all required fees shall
(b) Any attorney who is in good standing at the be paid in accordance with Sections 60-7 or 60-
bar of another state and who has not appeared 8. Good cause for according such privilege may
pro hac vice in the superior court to participate in include a showing that by reason of a long-stand-
the cause now pending on appeal, may for good ing attorney-client relationship, predating the
cause shown, upon written application presented cause of action or subject matter of the appeal,
by a member of the bar of this state, be permitted the attorney has acquired a specialized skill or
in the discretion of the court having jurisdiction knowledge with respect to issues on appeal or to
over the appeal to participate in the presentation the client’s affairs that are important to the appeal,
of the appeal, provided, however, that: or that the litigant is unable to secure the services
(1) such application shall be accompanied by of Connecticut counsel. Upon the granting of an
an affidavit application to appear pro hac vice, the clerk of
(A) stating whether an application was filed pur- the court in which the application is granted shall
suant to Section 2-16 in the superior court and, immediately notify the statewide grievance com-
if so, the disposition of said application; mittee of such action.
(B) certifying whether such applicant has a (c) No application to appear pro hac vice shall
grievance pending against him or her in any other be permitted after the due date of the final reply
jurisdiction, has ever been reprimanded, sus- brief as set forth in Section 67-3 without leave of
pended, placed on inactive status, disbarred or the court.
otherwise disciplined, or has resigned from the (Adopted May 4, 2006, to take effect Jan. 1, 2007; amended
Jan. 4, 2007, to take effect Jan. 1, 2008; amended June 27,
practice of law and, if so, setting forth the circum- 2013, to take effect Oct. 1, 2013; amended Sept. 16, 2015,
stances concerning such action; to take effect Jan. 1, 2016.)
(C) certifying that the applicant has paid to the COMMENTARY—October, 2013: The amendment is
clerk of the superior court any fee required by the intended to reconcile this rule with Section 2-16, which governs
General Statutes for admission pro hac vice; pro hac vice applications to the superior court. This section
(D) certifying that the applicant has paid the as amended also requires the applicant to certify that any
statutory fee for admission pro hac vice has been paid. As of
client security fund fee due for the calendar year the effective date of the amendment, General Statutes § 52-
in which the application is made; 259 (i) requires payment of a $600 fee with an application for
(E) designating the chief clerk of the superior admission pro hac vice.
court for the judicial district in which the cause HISTORY—2016: In 2016, ‘‘; and provided’’ was added to
originated as his or her agent upon whom process the end of subsection (b) (1) (H). Prior to 2016, the second
and notice of service may be served; and third sentences of subsection (b) (2) read: ‘‘Said applica-
tion shall be made to the court having jurisdiction over the
(F) certifying that the applicant agrees to regis- appeal. The application shall be filed in accordance with Sec-
ter with the statewide grievance committee in tions 66-2 and 66-3.’’ What is now the second sentence of
accordance with the provisions of chapter 2 of the subsection (b) (2) was added in their stead.
rules of practice while appearing in the appeal and COMMENTARY—2016: The amendment to subsection (b)
for two years after the completion of the matter (2) brings this section into accord with the electronic filing
in which the attorney appeared and to notify the requirements. Also, what had been the final sentence of the
October, 2013, commentary concerning the expiration of the
statewide grievance committee of the expiration fee for permission to appear pro hac vice has been deleted.
of the two year period;
(G) identifying the number of attorneys in his Sec. 62-9. Withdrawal of Appearance
or her firm who are appearing pro hac vice in the (a) An attorney or party whose appearance has
cause now on appeal or who have filed or intend been filed shall be deemed to have withdrawn
to file an application to appear pro hac vice in this such appearance upon failure to file a written
appeal; and objection within ten days after written notice has
(H) identifying the number of cases in which the been given or mailed to such attorney or party
attorney has appeared pro hac vice in any court that a new appearance has been filed in lieu of
of this state since the attorney first appeared pro the appearance of such attorney or party in
hac vice in this state; and provided accordance with Section 62-8.
(2) a member of the bar of this state must be (b) An attorney may, by motion, withdraw his
present at all proceedings and arguments and or her appearance for a party after an additional
must sign all motions, briefs and other papers filed appearance representing the same party has
with the court having jurisdiction over the appeal been entered on the docket. A motion to withdraw
and assume full responsibility for them and for the pursuant to this subsection shall state that an
conduct of the appeal and of the attorney to whom additional appearance has been entered on
such privilege is accorded. Said application shall appeal. The appellate clerk may as of course grant
441
the motion if the additional appearance has counsel or remove appointed counsel and appear
been entered. as a self-represented party, in lieu of such coun-
(c) Except as provided in subsections (a) and sel, the defendant or habeas petitioner shall file
(b), no attorney whose appearance has been a motion with the appellate clerk making such
entered on the docket shall withdraw his or her request and setting forth the reasons therefor. A
appearance without leave of the court. A motion copy of such motion shall be delivered, in accord-
for leave to withdraw shall be filed with the appel- ance with Section 62-7, to the attorney sought to
late clerk in accordance with Sections 66-2 and be removed or replaced and to the state.
66-3. The motion shall include the current address The appellate clerk shall forward the motion to
of the party as to whom the attorney seeks to the trial judge, who shall conduct a hearing and
withdraw. No motion for leave to withdraw shall be enter appropriate orders consistent with the rele-
granted until the court is satisfied that reasonable vant provisions of chapter 44 of these rules. The
notice has been given to the party being repre- trial court shall send notice of the order to all
sented and to other counsel of record. Reason- counsel of record and to the appellate clerk.
(Adopted Sept. 8, 2004, to take effect Jan. 1, 2005;
able notice to the party or parties may be satisfied amended Jan. 29, 2009, to take effect March 1, 2009;
by filing along with the motion, a certified or regis- amended Sept. 16, 2015, to take effect Jan. 1, 2016.)
tered mail return receipt signed by the individual HISTORY—2016: In 2016, what had been the third sen-
party or parties represented by the attorney. tence of this section was deleted. It read: ‘‘An original and
(d) A motion for leave to withdraw appearance three copies of the motion shall be filed.’’ Prior to 2016, what
is now the third sentence read: ‘‘A copy of such motion shall
of appointed appellate counsel pursuant to Sec- be served, in accordance with Section 62-7, upon the attorney
tion 43-34 shall be filed with the appellate clerk. sought to be removed or replaced and upon the state.’’ In
The form of the motion shall comply with Sections addition, prior to 2016, what is now the final sentence read:
66-2 and 66-3. The brief accompanying the ‘‘The decision on the motion shall be filed with the appellate
motion, as required under Section 43-35, shall clerk.’’
comply with Section 43-35 in form and substance. Sec. 62-10. Files to Be Available to Parties
The original of the brief and the transcript of the Subject to the provisions of Section 62-11, the
pertinent proceedings shall be filed with the appel- clerk of the trial court and the appellate clerk or
late clerk with the motion to withdraw. The motion, the appellate messenger having custody of the
brief and transcript shall be referred to the trial files, evidence and exhibits in any case shall make
court for decision. That decision may be reviewed them available for the use of any party or counsel
pursuant to Section 66-6. to that party, whether or not the file is sealed. This
(P.B. 1978-1997, Sec. 4035.) (Amended Jan. 29, 2009, to provision applies to counsel who have appeared
take effect March 1, 2009; amended Sept. 16, 2015, to take in either the trial court or the appellate court. This
HISTORY—2016: In 2016, in the fourth sentence of subsec-
rule shall not be deemed to permit appellate coun-
tion (c), ‘‘and self-represented parties’’ was deleted after sel to review records that were sealed as to trial
‘‘counsel.’’ Also in 2016, in the second sentence of subsection counsel but retained in the trial court file for appel-
(d), ‘‘, except that only an original and one copy shall be filed’’ late review.
was deleted after ‘‘66-3.’’ (P.B. 1978-1997, Sec. 4036.) (Amended Sept. 8, 2004, to
Sec. 62-9A. Hybrid Representation; Remov- Sec. 62-11. Files and Records Not to Be
al or Substitution of Counsel in Criminal and Removed
Habeas Corpus Appeals
No files, records or exhibits in the custody of
(Amended Jan. 29, 2009, to take effect March 1, 2009.) officers of the court shall be removed from the
On appeal, a defendant or habeas petitioner court except by the appellate clerk, the reporter
has no right to self-representation while repre- of judicial decisions or by order or permission of
sented by counsel. If an indigent defendant or an appellate jurist.
habeas petitioner wishes to replace appointed (P.B. 1978-1997, Sec. 4037.)
442
CHAPTER 63
FILING THE APPEAL; WITHDRAWALS
Sec. Sec.
63-1. Time to Appeal Appellee when Filing Appeal (Applicable to
63-2. Expiration of Time Limitations; Counting Days appeals filed on or after July 1, 2013.)
63-5. Fees [Repealed]
63-3. Filing of Appeal 63-6. Waiver of Fees, Costs and Security—Civil Cases
63-3A. Appeals in E-Filed Cases [Repealed] 63-7. Waiver of Fees, Costs and Security—Criminal
63-4. Additional Papers to Be Filed by Appellant and Cases
Appellee when Filing Appeal (Applicable to 63-8. Ordering and Filing of Papers Transcripts
63-8A. Electronic Copies of Transcripts
appeals filed before July 1, 2013.) 63-9. Filing Withdrawals of Appeals or Writs of Error
63-4. Additional Papers to Be Filed by Appellant and 63-10. Preargument Conferences
Sec. 63-1. Time to Appeal new twenty day period or applicable statutory time
(a) General provisions period for filing the appeal shall begin on the day
Unless a different time period is provided by that notice of the ruling is given on the last such
statute, an appeal must be filed within twenty days outstanding motion, except as provided for additur
of the date notice of the judgment or decision or remittitur in the next paragraph.
is given. The appeal period may be extended if If a motion for additur or remittitur is filed within
permitted by Section 66-1 (a). If circumstances the appeal period and granted, a new twenty day
give rise to a new appeal period as provided in appeal period shall begin upon the earlier of (A)
subsection (c) of this rule, such new period may acceptance of the additur or remittitur or (B) expi-
be similarly extended as long as no extension of ration of the time set for the acceptance. If the
the original appeal period was obtained. motion is denied, the new appeal period shall
If a motion is filed within the appeal period that begin on the day that notice of the ruling is given.
might give rise to a new appeal period as provided Motions that, if granted, would render a judg-
in subsection (c) of this rule, the appeal may be ment, decision or acceptance of the verdict inef-
filed either in the original appeal period, which fective include, but are not limited to, motions that
continues to run, or in the new appeal period. seek: the opening or setting aside of the judgment;
a new trial; the setting aside of the verdict; judg-
As used in this rule, ‘‘appeal period’’ includes
ment notwithstanding the verdict; reargument of
any extension of such period obtained pursuant
the judgment or decision; collateral source reduc-
to Section 66-1 (a). tion; additur; remittitur; or any alteration of the
(b) When appeal period begins terms of the judgment.
If notice of the judgment or decision is given in Motions that do not give rise to a new appeal
open court, the appeal period shall begin on that period include those that seek: clarification or
day. If notice is given only by mail, the appeal articulation, as opposed to alteration, of the terms
period shall begin on the day that notice was of the judgment or decision; a written or tran-
mailed to counsel of record by the clerk of the trial scribed statement of the trial court’s decision; or
court. The failure to give notice of judgment to a reargument of a motion listed in the previous
nonappearing party shall not affect the running of paragraph.
the appeal period. If, within the appeal period, any motion is filed,
In criminal cases where the appeal is from a pursuant to Section 63-6 or 63-7, seeking waiver
judgment of conviction, the appeal period shall of fees, costs and security or appointment of coun-
begin when sentence is pronounced in open court. sel, a new twenty day appeal period or statutory
In civil jury cases, the appeal period shall begin period for filing the appeal shall begin on the day
when the verdict is accepted. that notice of the ruling is given on the last such
(c) New appeal period outstanding motion. If a party files, pursuant to
(1) How new appeal period is created Section 66-6, a motion for review of any such
If a motion is filed within the appeal period that, motion, the new appeal period shall begin on the
if granted, would render the judgment, decision day that notice of the ruling is given on the motion
or acceptance of the verdict ineffective, either a for review.
443
(2) Who may appeal during new appeal counted. Time shall be counted by calendar, not
period working, days.
If a new appeal period arises due to the filing of The appellate clerk’s office shall be open from
a motion that, if granted, would render a judgment, 9 a.m. until 5 p.m. on weekdays, with the excep-
decision or acceptance of the verdict ineffective, tion of legal holidays and closures for exigent cir-
any party may file an appeal during the new cumstances. When the last day of any limitation
appeal period regardless of who filed or prevailed of time for filing any paper under these rules or
upon such motion. If, however, a new appeal an order of the court falls on a day when the office
period arises due to the filing of a motion for waiver of the clerk of the trial court or of the appellate
of fees, costs and security or a motion for appoint- clerk is closed, the paper may be filed on the next
ment of counsel, only the party who filed such day when such office is open.
motion may file an appeal during the new A document that is electronically received by
appeal period. the appellate clerk’s office for filing after 5 p.m.
(3) What may be appealed during new on a day in which that office was open or is elec-
appeal period tronically received by that office for filing at any
The new appeal period may be used for appeal- time on a day in which that office is closed, shall
ing the original judgment or decision and/or for be deemed filed on the next business day that
appealing any order that gave rise to the new office is open. If a party is unable to electronically
appeal period. Such period may also be used for file a document because the court’s electronic
amending an existing appeal pursuant to Section filing system is nonoperational for thirty consecu-
61-9 to challenge the ruling that gave rise to the tive minutes from 9 a.m. to 3 p.m. or for any period
new appeal period. Rulings on motions for waiver of time from 3 p.m. to 5 p.m. on the day on which
of fees, costs and security or motions for appoint- the electronic filing is attempted, and such day is
ment of counsel may not be appealed during the the last day for filing the document, the document
new appeal period but may be challenged by shall be deemed to be timely filed if received by
motion for review in accordance with Section 66-6. the appellate clerk’s office on the next business
day the electronic filing system is operational.
(d) When motion to stay briefing obligations (P.B. 1978-1997, Sec. 4010.) (Amended Sept. 16, 2015,
may be filed to take effect Jan. 1, 2016.)
If, after an appeal has been filed but before the HISTORY—2016: Prior to 2016, this section read: ‘‘In
appeal period has expired, any motion is filed that, determining the last day for filing any papers, the last day
if granted, would render the judgment, decision shall, and the first day shall not, be counted. Time shall be
counted by calendar, not working, days.
or acceptance of the verdict ineffective, any party ‘‘When the last day of any limitation of time for filing any
may move to stay the briefing obligations of the paper under these rules or an order of the court falls on a day
parties in accordance with Section 67-12. when the office of the trial court or of the appellate clerk is
(e) Simultaneous filing of motions not required to be open, the paper may be filed on the next
Any party filing more than one motion that, if day when such office is required so to be open.’’
COMMENTARY—2016: This section incorporates a safe
granted, would render the judgment, decision or harbor provision similar to the one that is employed by the
acceptance of the verdict ineffective, shall file trial court for the timely filing of electronic documents when
such motions simultaneously insofar as simulta- the court’s electronic filing system is not operational. See Sec-
neous filing is possible. tion 7-17.
take effect Jan. 1, 2000; amended Sept. 22, 2004, to take Sec. 63-3. Filing of Appeal
effect Jan. 1, 2005; amended June 17, 2008, to take effect (Amended July 30, 2009, to take effect Jan. 1, 2010;
Jan. 1, 2009; amended Sept. 16, 2015, to take effect Jan. amended Sept. 16, 2015, to take effect Jan. 1, 2016.)
1, 2016.) All appeals shall be filed and all fees paid in
HISTORY—2016: Prior to 2016, the second sentence of accordance with the provisions of Sections 60-7
subsection (b) read: ‘‘If notice is given only by mail, the appeal or 60-8. The appeal will be docketed upon filing
period shall begin on the day that notice was mailed to counsel
and self-represented parties of record by the trial court clerk.’’
but may be returned by the appellate clerk or
Also in 2016, in subsection (c) (2), ‘‘take’’ was deleted before rejected by the court upon review for compliance
each instance of ‘‘an appeal’’ and was replaced with ‘‘file.’’ In with the rules of appellate procedure.
addition, in subsection (d), ‘‘taken’’ was deleted after ‘‘has The appellant must certify that a copy of the
been’’ and was replaced with ‘‘filed.’’ appeal form generated at the time of electronic
filing and bearing the assigned docket number
Sec. 63-2. Expiration of Time Limitations; and electronic signature of the filer will immedi-
Counting Days ately be delivered pursuant to Section 62-7 (c) to
In determining the last day for filing any papers, all counsel of record and, in criminal and habeas
the last day shall, and the first day shall not, be corpus matters, to the office of the chief state’s
444
attorney, appellate bureau. The appellate clerk, in Section 62-7; and (2) in criminal and habeas corpus matters,
upon receipt of the foregoing, shall deliver a copy the office of the chief state’s attorney, appellate bureau.
‘‘The appellate clerk, upon receipt of the foregoing, shall
of the appeal form to the clerk of the original trial docket the appeal, affix to the endorsed appeal form the docket
court, to the clerk of any trial courts to which the number assigned to the appeal and send one copy to the trial
matter was transferred, and to each party to the judge and one copy to each party to the appeal and, in criminal
appeal. In criminal and habeas corpus matters, and habeas corpus matters, to the office of the chief state’s
the appellate clerk shall deliver a copy of the attorney, appellate bureau.’’
appeal form to the office of the chief state’s attor- COMMENTARY—2016: This section has been rewritten to
ney, appellate bureau, or to the attorney general, reflect the requirement that all appeals shall be electronically
filed unless the electronic filing requirements do not apply to
as appropriate. the filer or unless an exemption to the electronic filing require-
(P.B. 1978-1997, Sec. 4012.) (Amended July 30, 2009, to ments has been granted. The electronic filing requirements
take effect Jan. 1, 2010; amended March 25, 2010, to take do not apply to self-represented parties at this time.
effect May 1, 2010; amended June 27, 2013, to take effect
Oct. 1, 2013; amended Sept. 16, 2015, to take effect Jan. Sec. 63-3A. Appeals in E-Filed Cases
1, 2016.)
HISTORY—2016: Prior to 2016, this section was titled: [Repealed as of Jan. 1, 2016.]
‘‘Filing of Appeal; Number of Copies.’’ HISTORY—2016: Prior to 2016, this section read: "An
Prior to 2016, this section read: ‘‘Any appeal may be filed appeal may be e-filed in any case in which e-filing is permitted
in the original trial court or the court to which the case was in the trial court. The appeal form shall be e-filed in accordance
transferred or in any judicial district court in the state, except with Section 4-4 and shall contain a certification that a copy
that juvenile appeals and appeals from interlocutory orders, has been served on each counsel of record, as defined in
if permitted by law, must be filed with the clerk of the original Section 60-4, in accordance with the provisions of Section
trial court or the court to which the case was transferred. 62-7.
Procedures for appeals in e-filed cases are governed by Sec- ‘‘All required fees shall be paid at the time of e-filing by any
tion 63-3A. An application for a fee waiver pursuant to Sections method specified by Judicial Branch E-Services. The appellant
63-6 or 63-7 must be filed with the clerk of the court in which shall print a copy of the confirmation of e-filing and affix it to
the case was tried or otherwise resolved. the original appeal form. The original appeal form and the
‘‘The original appeal form shall be accompanied by a certifi- confirmation of e-filing together are deemed to be the endorsed
cation that a copy thereof has been served on each counsel appeal form.
of record, as defined in Section 60-4, in accordance with the ‘‘Within ten days of e-filing the appeal, the appellant shall
provisions of Section 62-7. At the time the appeal is filed, the file with the appellate clerk the original and one copy of the
appellant shall, as set forth in Section 63-5, pay to the clerk endorsed appeal form, with a certification that a copy was
of the trial court all required fees. The clerk shall: (1) endorse served on each party as required by Section 63-3; two print
on the original appeal form the date and time of filing and the copies of the electronic docket sheet for the case as it appears
receipt or waiver of fees; (2) return the original endorsed on the Judicial Branch website; and the papers required by
appeal form to the appellant; and (3) immediately notify the Section 63-4.
clerk of the original trial court that an appeal has been filed. ‘‘Upon receipt of the foregoing, the appellate clerk shall
In addition, in noncriminal matters, the clerk shall, without cost, docket the appeal and proceed in accordance with Section
provide the appellant with a copy of the docket sheet (DS1) 63-3.
listing the counsel for all parties. In criminal and habeas corpus ‘‘(Adopted June 27, 2013, to take effect Oct. 1, 2013.)’’
matters, the clerk shall also send a copy of the endorsed COMMENTARY—2016: This section has been repealed in
appeal form to the office of the chief state’s attorney, appel- light of the revision to Section 63-3.
late bureau.
‘‘On the same day on which the original appeal form is Sec. 63-4. Additional Papers to Be Filed by
endorsed by the trial court clerk, the appellant shall deliver a Appellant and Appellee when Filing Appeal
copy of the endorsed appeal form to the clerk of the trial court (Applicable to appeals filed before July 1, 2013.)
in which the case was originally filed and the clerk of any trial
court to which the case was subsequently transferred. The
(a) At the time the appellant sends a copy of
copy may be delivered by hand, fax or any other electronic the endorsed appeal form and the docket sheet
means permitted by Section 4-4. The appellant shall obtain to the appellate clerk, the appellant shall also send
proof that the original trial court and any subsequent trial court the appellate clerk an original and one copy of
received the copy on the same day on which it was delivered. the following:
‘‘Within ten days of filing the appeal, the appellant shall file (1) A preliminary statement of the issues
with the appellate clerk the original of the endorsed appeal
form; the docket sheet, if any; the papers required by Section
intended for presentation on appeal. If any appel-
63-4; and proof that a copy of the endorsed appeal form was lee wishes to (A) present for review alternative
transmitted to the original trial court and to any trial court to grounds upon which the judgment may be
which the case subsequently was transferred. The appellant affirmed, (B) present for review adverse rulings
shall certify that a copy of the endorsed appeal form was or decisions of the court which should be consid-
served on: (1) the clerk of the original trial court; (2) the clerk ered on appeal in the event the appellant is
of any other trial court to which the case was transferred; and
(3) any trial court whose decision is the subject of the appeal.
awarded a new trial, or (C) claim that a new trial
The appellant shall also certify that a copy of the endorsed rather than a directed judgment should be ordered
appeal form and all other papers required by Section 63-4 if the appellant is successful on the appeal, that
was served on: (1) every other party in the manner set forth appellee shall file a preliminary statement of
445
issues within twenty days from the filing of the addresses of all persons having a legal interest
appellant’s preliminary statement of the issues. in the cause on appeal sufficient to raise a sub-
Whenever the failure to identify an issue in a stantial question whether a judge should be dis-
preliminary statement of issues prejudices an qualified from participating in the decision on the
opposing party, the court may refuse to consider case by virtue of that judge’s personal or financial
such issue. interest in any such persons; (B) the case names
(2) A preliminary designation of the specific and docket numbers of all pending appeals to the
pleadings in the trial court case file which the supreme court or appellate court which arise from
appellant deems necessary to include in the substantially the same controversy as the cause
record including their dates of filing in the trial on appeal, or involve issues closely related to
court, and, if applicable, their number as listed on those presented by the appeal; (C) whether there
the docket sheet. If any other party objects to the were exhibits in the trial court; and (D) in criminal
inclusion of any pleadings in the trial court case cases, whether the defendant is incarcerated as
file designated by the appellant or deems it neces- a result of the proceedings in which the appeal is
sary to include other pleadings in the record, that being taken. If additional information is or
party may, within twenty days from the filing of becomes known to, or is reasonably ascertainable
the appellant’s designation of the record, file an by the appellee, the appellee shall file a docketing
objection to the designation of the appellant, or statement supplementing the information required
file a designation of those other pleadings deemed to be provided by the appellant.
necessary. No portion of the transcript of evidence (5) In all noncriminal matters, except for matters
shall be designated for inclusion in the record. Any exempt from a preargument conference pursuant
objection or proposed supplemental designation to Section 63-10, a preargument conference
shall be reviewed by the appellate clerk pursuant statement.
to Section 68-3. The appellant shall file a revised
(6) Except for (A) habeas corpus matters based
designation of the specific pleadings at the time
on criminal convictions, (B) pre- and postjudgment
the brief of the appellant is filed.
orders in matters claiming dissolution of marriage,
(3) A certificate stating that no transcript is
legal separation or annulment, (C) prejudgment
deemed necessary, or a copy of the transcript
remedies under chapter 903a of the General Stat-
order acknowledgment form (JD-ES-38) with sec-
utes and (D) actions of foreclosure of title to real
tion I thereof completed, filed with the official
reporter pursuant to Section 63-8. If any other property, in all noncriminal cases, a draft judgment
party deems any other parts of the transcript nec- file prepared in the form prescribed by Section 6-
essary, that party shall, within twenty days from 2 et seq. If any appellee disagrees in any respect
the filing of the appellant’s transcript papers, file with the draft judgment file, that appellee shall file
a copy of the order form (JD-ES-38), which that either a statement specifying the disagreement or
party has placed in compliance with Section 63-8. a separate draft judgment file within twenty days
If the appellant is to rely on transcript delivered of the filing of the appellant’s draft. The appellate
prior to the taking of the appeal, an order form clerk shall transmit the appellant’s draft judgment
(JD-ES-38) shall be filed stating that an electronic file and any disagreeing statements or other drafts
version of a previously delivered transcript has to the trial court clerk. The trial court clerk shall,
been ordered. The detailed statement of the tran- within twenty days of receipt of such documents
script to be relied on required by Section 63-8 and, if necessary, after consultation with the judge
also must be filed. If any other party deems any who tried the case, file the original judgment file,
other parts of the transcript necessary, and those sending copies, in the manner prescribed by Sec-
parts have not been delivered at the time of the tion 68-1, to the appellate clerk. The appellate
taking of the appeal, that party shall have twenty clerk shall send copies to all counsel of record
days to order those additional parts. If any other on the appeal. Any objections to the form of the
party is to rely on transcript delivered prior to the judgment file may thereafter be raised only by a
taking of the appeal, an order form (JD-ES-38) motion for rectification under Section 66-5.
shall be filed within twenty days, stating that an If the trial court clerk fails to file the original
electronic version of a previously delivered tran- judgment file within twenty days as required, the
script has been ordered. appellant may file with the appellate clerk a notice
(4) A docketing statement containing the follow- that the judgment file has not been so filed. The
ing information to the extent known or reasonably appellate clerk shall notify the trial court clerk and
ascertainable by the appellant: (A) the names and the trial judge of the pending appeal and the fact
addresses of all parties to the appeal and their that the disagreement over the judgment file has
trial and appellate counsel and the names and not been resolved, after which the trial court clerk
446
shall promptly file the judgment file as pre- if the appellant is successful on the appeal, that
scribed above. appellee shall file a preliminary statement of
(7) Except for habeas corpus matters based on issues within twenty days from the filing of the
criminal convictions and all cases in which the appellant’s preliminary statement of the issues.
attorney general is a party, has appeared on Whenever the failure to identify an issue in a
behalf of a party or has filed an amicus brief in preliminary statement of issues prejudices an
proceedings prior to the appeal, in all noncriminal opposing party, the court may refuse to consider
cases where the constitutionality of a state statute such issue.
has been challenged, a notice identifying the stat- (2) A certificate stating that no transcript is
ute, the name and address of the party challeng- deemed necessary, or a copy of the transcript
ing it, and whether the statute’s constitutionality order acknowledgment form (JD-ES-38) with sec-
was upheld by the trial court. The appellate clerk tion I thereof completed, filed with the official
shall send a copy of such notice to the attorney reporter pursuant to Section 63-8. If any other
general. party deems any other parts of the transcript nec-
(8) In matters in which documents are under essary, that party shall, within twenty days from
seal, conditionally or otherwise, or limited as to the filing of the appellant’s transcript papers, file
disclosure, a copy of the time, date, scope and a copy of the order form (JD-ES-38), which that
duration of sealing order form (JD-CL-76) shall be party has placed in compliance with Section 63-8.
attached to the appeal form. (See Section 77-2.) If the appellant is to rely on transcript delivered
(b) Except as otherwise provided, a party may prior to the taking of the appeal, an order form
as of right file amendments to the preliminary (JD-ES-38) shall be filed stating that an electronic
statement of issues or the designation of the version of a previously delivered transcript has
pleadings in the trial court case file at any time
been ordered. The detailed statement of the tran-
until that party’s brief is filed. Amendments to the
script to be relied on required by Section 63-8
docketing statement may be filed at any time.
also must be filed. If any other party deems any
Amendments to the transcript statement may be
made only with leave of the court. If leave to file other parts of the transcript necessary, and those
such an amendment is granted, the adverse party parts have not been delivered at the time of the
shall have the right to move for permission to file taking of the appeal, that party shall have twenty
a supplemental brief and for an extension of time. days to order those additional parts. If any other
Amendments to the preargument conference party is to rely on transcript delivered prior to the
statement shall not be presented in writing but taking of the appeal, an order form (JD-ES-38)
may be presented orally at the preargument con- shall be filed within twenty days, stating that an
ference, if one is held. electronic version of a previously delivered tran-
(c) Failure to comply with this rule shall be script has been ordered.
deemed as sufficient reason to schedule a case (3) A docketing statement containing the follow-
for sanctions under Section 85-3 or for dismissal ing information to the extent known or reasonably
under Section 85-1. ascertainable by the appellant: (A) the names and
(P.B. 1978-1997, Sec. 4013.) (Amended April 3, 2002, to addresses of all parties to the appeal, the names,
take effect Nov.1, 2002; amended Oct. 14, 2003, to take effect addresses, and e-mail addresses of trial and
Jan. 1, 2004; amended Jan. 4, 2007, to take effect Jan. 1, appellate counsel of record, and the names and
2008; amended April 6, 2011, to take effect Jan. 1, 2012.)
addresses of all persons having a legal interest
Sec. 63-4. Additional Papers to Be Filed by in the cause on appeal sufficient to raise a sub-
Appellant and Appellee when Filing Appeal stantial question whether a judge should be dis-
(Applicable to appeals filed on or after July 1, 2013.) qualified from participating in the decision on the
(a) Within ten days of filing an appeal, the appel- case by virtue of that judge’s personal or financial
lant shall also file with the appellate clerk the fol- interest in any such persons; (B) the case names
lowing: and docket numbers of all pending appeals to the
(1) A preliminary statement of the issues supreme court or appellate court which arise from
intended for presentation on appeal. If any appel- substantially the same controversy as the cause
lee wishes to: (A) present for review alternative on appeal, or involve issues closely related to
grounds upon which the judgment may be those presented by the appeal; (C) whether there
affirmed; (B) present for review adverse rulings were exhibits in the trial court; and (D) in criminal
or decisions of the court which should be consid- cases, whether the defendant is incarcerated as
ered on appeal in the event the appellant is a result of the proceedings in which the appeal is
awarded a new trial; or (C) claim that a new trial being filed. If additional information is or becomes
rather than a directed judgment should be ordered known to, or is reasonably ascertainable by the
447
appellee, the appellee shall file a docketing state- raise a substantial question whether a judge should be disqual-
ment supplementing the information required to ified from participating in the decision on the case by virtue of
that judge’s personal or financial interest in any such persons.’’
be provided by the appellant. Also in 2016, in subsection (a) (3) (D), ‘‘taken’’ was deleted
(4) In all noncriminal matters, except for matters after ‘‘being’’ and was replaced with ‘‘filed.’’
exempt from a preargument conference pursuant Also in 2016, what had been subsection (a) (5) was deleted.
to Section 63-10, a preargument conference Prior to 2016, what had been subsection (a) (5) read: ‘‘In
statement. all noncriminal cases, except for: (A) habeas corpus matters
based on criminal convictions; (B) pre- and postjudgment
(5) A constitutionality notice, in all noncriminal orders in matters claiming dissolution of marriage, legal sepa-
cases where the constitutionality of a statute has ration or annulment; (C) prejudgment remedies under chapter
been challenged. Said notice shall identify the 903a of the General Statutes; and (D) actions of foreclosure
statute, the name and address of the party chal- of title to real property, a draft judgment file prepared in the form
lenging it, and whether the statute’s constitutional- prescribed by Section 6-2 et seq. If any appellee disagrees in
any respect with the draft judgment file, that appellee shall
ity was upheld by the trial court. The appellate file either a statement specifying the disagreement or a sepa-
clerk shall deliver a copy of such notice to the rate draft judgment file within twenty days of the filing of the
attorney general. This section does not apply to appellant’s draft. The appellate clerk shall transmit the appel-
habeas corpus matters based on criminal convic- lant’s draft judgment file and any disagreeing statements or
tions, or to any case in which the attorney general other drafts to the trial court clerk. The trial court clerk shall,
within twenty days of receipt of such documents and, if neces-
is a party, has appeared on behalf of a party, or sary, after consultation with the judge who tried the case, file
has filed an amicus brief in proceedings prior to the original judgment file, sending copies to the appellate clerk.
the appeal. The appellate clerk shall send copies to all counsel of record
(6) In matters in which documents are under on the appeal. Any objections to the form of the judgment file
seal, conditionally or otherwise, or limited as to may thereafter be raised only by a motion for rectification
under Section 66-5.
disclosure, a copy of the time, date, scope and ‘‘If the trial court clerk fails to file the original judgment file
duration of sealing order form (JD-CL-76). (See within twenty days as required, the appellant may file with the
Section 77-2.) appellate clerk a notice that the judgment file has not been
(b) Except as otherwise provided, a party may so filed. The appellate clerk shall notify the trial court clerk
as of right file amendments to the preliminary and the trial judge of the pending appeal and the fact that the
disagreement over the judgment file has not been resolved,
statement of issues at any time until that party’s after which the trial court clerk shall promptly file the judgment
brief is filed. Amendments to the docketing state- file as prescribed above.’’
ment may be filed at any time. Amendments to Prior to 2016, what had been subsection (a) (6) (now [a]
the transcript statement may be made only with [5]) read: ‘‘Except for habeas corpus matters based on criminal
leave of the court. If leave to file such an amend- convictions and all cases in which the attorney general is a
ment is granted, the adverse party shall have the party, has appeared on behalf of a party or has filed an amicus
brief in proceedings prior to the appeal, in all noncriminal
right to move for permission to file a supplemental cases where the constitutionality of a state statute has been
brief and for an extension of time. Amendments challenged, a notice identifying the statute, the name and
to the preargument conference statement shall address of the party challenging it, and whether the statute’s
not be presented in writing but may be presented constitutionality was upheld by the trial court. The appellate
orally at the preargument conference, if one is clerk shall send a copy of such notice to the attorney general.’’
Also in 2016, what had been subsection (a) (7) was desig-
held. nated subsection (a) (6), and in what is now subsection (a)
(c) Failure to comply with this rule shall be (6), ‘‘shall be attached to the appeal form’’ was deleted after
deemed as sufficient reason to schedule a case ‘‘(JD-CL-76).’’
for sanctions under Section 85-3 or for dismissal COMMENTARY—2016: Counsel of record should no
under Section 85-1. longer file a draft judgment file with the appellate clerk; instead,
a draft judgment file should be filed with the trial court clerk.
(P.B. 1978-1997, Sec. 4013.) (Amended April 3, 2002, to
Counsel should prepare a draft judgment file in accordance
take effect Nov. 1, 2002; amended Oct. 14, 2003, to take
with Sections 6-2 and 6-3, file it with the trial court clerk, and
effect Jan. 1, 2004; amended Jan. 4, 2007, to take effect Jan.
deliver a copy to opposing counsel. Opposing counsel may
1, 2008; amended April 6, 2011, to take effect Jan. 1, 2012;
submit any response or opposition to the trial court clerk. The
amended June 5, 2013, to take effect July 1, 2013; amended trial court clerk then signs the judgment file, places it in the
Sept. 16, 2015, to take effect Jan. 1, 2016.) trial court file and provides a copy to counsel of record for
HISTORY—2016: Prior to 2016, the first clause of subsec- inclusion in part one of the appendix to the appellant’s brief.
tion (a) read: ‘‘At the time the appellant sends a copy of the Subsequently, any objections to the form of the judgment file
endorsed appeal form and the docket sheet to the appellate may be raised only by a motion for rectification pursuant to
clerk, the appellant shall also send the appellate clerk an Section 66-5.
original of the following:.’’
Prior to 2016, subsection (a) (3) (A) read: ‘‘the names and Sec. 63-5. Fees
addresses of all parties to the appeal and their trial and appel- [Repealed as of Jan. 1, 2016.]
late counsel and the names and addresses of all persons HISTORY—2016: Prior to 2016, this section read: ‘‘At the
having a legal interest in the cause on appeal sufficient to time of filing the appeal, the appellant, or one of the appellants,
448
shall, unless the appeal is taken by the state, or the costs of the portions of testimony or proceedings which
have been waived pursuant to Section 63-6 or 63-7, pay to may be pertinent to the issues on appeal.
the clerk of the trial court the fees provided by statute. Security
for costs is not required to take an appeal, but security may
The sole remedy of any party desiring the court
at anytime, on motion and notice to the appellant, be ordered to review an order concerning the waiver of fees,
by the court. Such security shall be filed with the trial court. costs and security shall be by motion for review
‘‘(P.B. 1978-1997, Sec. 4015.)’’ under Section 66-6.
COMMENTARY—2016: This section has been repealed in (P.B. 1978-1997, Sec. 4017.) (Amended July 21, 1999, to
light of the adoption of Sections 60-7, 60-8, and 60-9. take effect Jan. 1, 2000; amended June 2, 2005, to take effect
Jan. 1, 2006; amended June 18, 2014, to take effect Sept. 1,
Sec. 63-6. Waiver of Fees, Costs and Secu- 2014; amended Sept. 16, 2015, to take effect Jan. 1, 2016.)
rity—Civil Cases HISTORY—2016: Prior to 2016, the first sentence of the
first paragraph read: ‘‘If a party in any case where fees and
If a party in any case where fees and costs costs may lawfully be waived is indigent and desires to appeal,
may lawfully be waived is indigent and desires to that party may, within the time provided by the rules for taking
appeal, that party may, within the time provided an appeal, make written application, to the court to which the
fees required by statute or rule are to be paid, for relief from
by the rules for taking an appeal, make written payment of fees, costs and expenses.’’ In 2016, in the final
application to the trial court for relief from payment sentence of the second paragraph, ‘‘clerk of the trial’’ was
of fees, costs and expenses. The application must added before ‘‘court’’ and ‘‘clerk’’ was deleted thereafter. Also
be under oath and recite, or it must be accompa- in 2016, in item (1) in the fourth paragraph, ‘‘and waive the
nied by an affidavit reciting, the grounds upon requirement of Section 63-5 concerning the furnishing of secu-
rity for costs upon appeal,’’ was deleted after ‘‘costs.’’
which the applicant proposes to appeal and the COMMENTARY—2016: This section has been amended
facts concerning the applicant’s financial status. to bring it into accord with Section 60-9. Security for costs is
Where an application arises out of a habeas cor- not required to take an appeal unless ordered by the trial court.
pus proceeding, the application shall be handled
pursuant to Section 63-7. Where an application Sec. 63-7. Waiver of Fees, Costs and Secu-
arises out of a child protection matter, the applica- rity—Criminal Cases
tion shall be handled pursuant to Section 79a-4. Any defendant in a criminal case who is indigent
The judicial authority shall act promptly on the and desires to appeal, and has not previously
application for waiver of fees, costs and expenses. been determined to be indigent, may, within the
If the application is denied in whole or in part, and time provided by the rules for taking an appeal,
the applicant wishes to challenge that denial, the make written application to the trial court for relief
applicant shall file a written request for a hearing, from payment of fees, costs and expenses. The
pursuant to Section 8-2, within ten days of the application must be under oath and recite, or it
issuance of notice of the denial of the application. must be accompanied by an affidavit reciting, the
The clerk of the trial court shall assign the applica- grounds upon which the applicant proposes to
tion for a hearing within twenty days of the filing appeal and the facts concerning the applicant’s
of the request and the judicial authority shall act financial status.
promptly on the application following the hearing. The application must be sent to the public
defender’s office for investigation. The judicial
If the court is satisfied that the applicant is indi- authority shall assign the request for waiver of
gent and has a statutory or constitutional right to fees, costs and expenses for hearing within twenty
court appointed counsel or a statutory right to days after filing, and the trial counsel, the trial
appeal without payment of fees, costs and public defender’s office to which the application
expenses, the court may (1) waive payment by had been sent for investigation and the chief of
the applicant of fees specified by statute and of legal services of the public defender’s office shall
taxable costs, and (2) order that the necessary be notified in writing by the clerk’s office of the
expenses of prosecuting the appeal be paid by date of such hearing.
the state. The court may not consider the relative The judicial authority shall act promptly on the
merits of a proposed appeal in acting upon an application following the hearing. Upon determi-
application pursuant to this section except that nation by the judicial authority that a defendant in
the court may consider the criteria contained in a criminal case is indigent, the trial court may (1)
General Statutes § 52-259b. waive payment by the defendant of fees specified
Before incurring any expense in excess of $100, by statute and of taxable costs, (2) order that the
including the expense of obtaining a transcript necessary expenses of prosecuting the appeal be
of the necessary proceedings or testimony, the paid by the state, and (3) appoint appellate coun-
applicant shall obtain the permission of the judge sel and permit the withdrawal of the trial attorney’s
who presided at the applicant’s trial. The judge appearance provided the judicial authority is satis-
shall authorize a transcript at state expense only fied that that attorney has cooperated fully with
449
appellate counsel in the preparation of the defend- acknowledgment of the order, with an estimated
ant’s appeal as set forth in Section 43-33. date of delivery and the number of pages in the
When the judicial authority has appointed an transcript. The ordering party shall file it with the
attorney in private practice to represent the appellate clerk with certification pursuant to Sec-
defendant upon appeal, the attorney shall obtain tion 62-7. The official reporter shall also immedi-
the approval of the judicial authority who presided ately deliver copies of the acknowledgment to the
at the trial before incurring any expense in excess chief court administrator and the appellate clerk.
of $100, including the expense of obtaining a tran- If the final portion of the transcript cannot be deliv-
script of the necessary proceedings or testimony. ered on or before the estimated delivery date on
The judicial authority shall authorize a transcript the acknowledgment, the official reporter will, not
at state expense only of the portions of proceed- later than the next business day, issue to the
ings or testimony which may be pertinent to the ordering party an amended transcript order
issues on appeal. acknowledgment form (JD-ES-38A) with a revised
The sole remedy of any defendant desiring the estimated delivery date and shall also immedi-
court to review an order concerning the waiver of ately deliver copies of the amended acknowledg-
fees, costs and security or the appointment of ment form to the chief court administrator and the
counsel shall be by motion for review under Sec- appellate clerk. The ordering party shall file the
tion 66-6. amended acknowledgment form forthwith with the
(P.B. 1978-1997, Sec. 4018.) (Amended July 21, 1999, to appellate clerk with certification pursuant to Sec-
take effect Jan. 1, 2000; amended Sept. 16, 2015, to take tion 62-7.
HISTORY—2016: In 2016, in the first sentence of the first
(c) The official reporter shall cause each court
paragraph, ‘‘trial’’ was added before ‘‘court’’ and ‘‘to which the reporter involved in the production of the transcript
fees required by statute or rule are to be paid,’’ was deleted to prepare a certificate of delivery stating the num-
thereafter. ber of pages in the transcript and the date of its
Also in 2016, in the second sentence of the third paragraph, delivery to the party who ordered it. If delivery is
‘‘trial’’ was added before ‘‘court’’ and ‘‘to which the fees by mail, the transcript shall be mailed first class
required by statute or rule are to be paid’’ was deleted there-
after and, in item (1) of that sentence, ‘‘and waive the require- certified, return receipt requested. The date of
ment of Section 63-5 concerning the furnishing of security for mailing is the date of delivery. If delivery is by
costs upon appeal,’’ was deleted after ‘‘costs.’’ hand, the court reporter shall obtain a receipt
COMMENTARY—2016: This section has been amended acknowledging delivery. The date of the receipt
to bring it into accord with Section 60-9. Security for costs is is the date of delivery. Each court reporter shall
not required to take an appeal unless ordered by the trial court.
forward the certificates of delivery to the official
Sec. 63-8. Ordering and Filing of Paper Tran- reporter with a copy to the chief court administra-
scripts tor. Upon receipt of all the certificates of delivery,
(Amended Sept. 16, 2015, to take effect Jan. 1, 2016.) the official reporter shall forward to the appellate
(a) On or before the date of the filing of the clerk, with copies to the chief court administrator
Section 63-4 papers, the appellant shall, subject and the party who ordered the transcript, a certifi-
to Section 63-6 or 63-7 if applicable, order, using cate of completion stating the total number of
form JD-ES-38, from the official reporter a tran- pages in the entire transcript and the date of final
script of the parts of the proceedings not already delivery of the transcript.
on file which the appellant deems necessary for (d) Upon receipt of the certificate of completion
the proper presentation of the appeal. Such order from the official reporter, counsel who ordered the
shall specify the case name, docket number, transcript shall file a certification that a paper copy
judge’s name(s), and hearing date(s), and include of the certificate of completion has been sent to
a brief, detailed statement describing the parts of all counsel of record in accordance with Section
the proceedings of which a transcript has been 62-7.
ordered. If any other party deems other parts of (e) (1) The appellant is required, either before
the transcript necessary, that party shall, within or simultaneously with the filing of the appellant’s
twenty days from the filing of the appellant’s tran- brief, to file with the appellate clerk one unmarked,
script papers, similarly order those parts in writing nonreturnable copy of the transcript, including a
from the official reporter. copy of the court reporter’s certification page,
(b) A party shall promptly make satisfactory ordered pursuant to subsection (a).
arrangements for payment of the costs of the tran- (2) All other parties are likewise required, either
script, pursuant to guidelines established by the before or simultaneously with the filing of their
chief court administrator. After those arrange- briefs, to file those additional portions ordered pur-
ments have been made, the official reporter shall suant to subsection (a) but shall not include the
send the party who ordered the transcript a written portions already filed by the appellant.
450
(3) The party filing the transcript shall provide (b) Whenever an electronic transcript is ordered
the appellate clerk and all opposing counsel with in accordance with this section, the court reporter
a list of the number, and inclusive dates, of the shall produce an electronic version of the tran-
volumes being filed. Form JD-CL-62, or one simi- script, deliver it to the ordering party, and file it
lar to it, should be used to satisfy this subsection. with the appellate clerk, together with a certifica-
(P.B. 1978-1997, Sec. 4019.) (Amended April 3, 2002, to tion that the electronic version of the transcript is
take effect Nov. 1, 2002; amended July 11, 2012, to take effect accurate and a certificate of delivery.
Jan. 1, 2013; amended Sept. 16, 2015, to take effect Jan.
(Adopted Sept. 12, 2002, to take effect Nov. 1, 2002;
1, 2016.)
HISTORY—2016: Prior to 2016, this section was titled:
HISTORY—2016: Prior to 2016, this section read: ‘‘(a) Any
‘‘Ordering and Filing of Transcripts.’’
party ordering a transcript of evidence as part of an appeal,
Prior to 2016, subsection (a) read: ‘‘On or before the date
a writ of error, or a motion for review shall, at the same time,
of the filing of the Section 63-4 papers, the appellant shall,
order from the court reporter an electronic version of the tran-
subject to Section 63-6 or 63-7 if applicable, order, using
script. If the party already has the transcript to be submitted
Form JD-ES-38, from the official reporter a transcript and an
to the court, the party shall order an electronic version of the
electronic version of a transcript of the parts of the proceedings
transcript within the period specified by these rules for the
not already on file which the appellant deems necessary for
ordering of a transcript.
the proper presentation of the appeal. Such order shall specify
the case name, docket number, judge’s name(s), and hearing ‘‘(b) Whenever an electronic transcript is ordered in accord-
date(s), and include a detailed statement describing the parts ance with this section, the court reporter shall produce, on
of the proceedings of which a transcript has been ordered, disks provided by the official court reporter, an electronic ver-
for example, ‘the voir dire on Monday, May 25, 1995,’ or ‘the sion of the transcript in Rich Text File (rtf) format.
entire sentencing proceeding before Smith, J., on June 4, ‘‘(c) The court reporter shall file a disk containing the elec-
1995.’ If any other party deems other parts of the transcript tronic version of the transcript with the appropriate court and
necessary, that party shall, within twenty days from the filing with the ordering party, together with a certification that the
of the appellant’s transcript papers, similarly order those parts, electronic version of the transcript is accurate and a certificate
and an electronic version of those parts, in writing from the of delivery.
official reporter.’’ ‘‘(d) The electronic version of the transcript shall be filed
In 2016, subsection (b) was amended. In the first sentence, with the court and delivered to the ordering party at the same
‘‘must’’ was deleted after ‘‘party’’ and ‘‘shall promptly’’ was time as the paper copy is delivered to the ordering party,
added. Prior to 2016, the second sentence read: ‘‘After those provided that if only an electronic version of the transcript is
arrangements have been made, the official reporter shall send ordered, the electronic version shall be filed and delivered
the party who ordered the transcript a written acknowledgment within ten days of its order unless a different time period is
of the order, including an estimate of the date of delivery of, and specified by the court.’’
the number of pages in, the transcript.’’ In the third sentence,
‘‘forthwith’’ was deleted after ‘‘it’’ and ‘‘to all counsel of record’’ Sec. 63-9. Filing Withdrawals of Appeals or
was deleted after ‘‘Section 62-7.’’ In the fourth and fifth senten- Writs of Error
ces, ‘‘send’’ was deleted after ‘‘immediately’’ and ‘‘deliver’’ was
added. In the final sentence, ‘‘to all counsel of record’’ was Prior to oral argument, an appeal or writ of error
deleted after ‘‘Section 62-7.’’ may be withdrawn as of right by filing form JD-
Also in 2016, subsection (c) was amended. In the first sen- AC-008 with the appellate clerk. The appellate
tence, ‘‘, and a certificate stating that an electronic version of clerk shall forward a copy to the trial judge and
the transcript has been produced and delivered in accordance the clerk of the trial court.
with Section 63-8A’’ was deleted after ‘‘it.’’ In the second sen-
tence, ‘‘, including the electronic version of the transcript,’’
After oral argument, an appeal or writ of error
was deleted before ‘‘shall.’’ In the third sentence, ‘‘manual’’ may be withdrawn only on the granting of a motion
was deleted after ‘‘is’’ and ‘‘by hand’’ was added. In the final to the court in which the matter is pending.
sentence, ‘‘including an electronic transcript,’’ was deleted Unless an appeal or writ of error is withdrawn
before ‘‘a certificate.’’ on the consent of the appellee without costs, costs
Sec. 63-8A. Electronic Copies of Tran- shall be taxed as if the trial court judgment had
scripts been affirmed.
In addition to the requirements of Section 63-8: to take effect Jan. 1, 2016.)
(a) Any party ordering a transcript of evidence HISTORY—2016: Prior to 2016, this section read: ‘‘A with-
as part of an appeal, a writ of error, or a motion drawal of an appeal or writ of error shall be filed with the
for review shall, at the same time, order from the appellate clerk, who shall send a copy to the trial judge and
the clerk of the trial court.
court reporter an electronic version of the tran-
‘‘Prior to oral argument, an appeal or writ of error may be
script. If the party received the paper transcript withdrawn as of right; thereafter it may be withdrawn only on
prior to the filing of the appeal, the party shall motion to the court in which the appeal is pending.
order an electronic version of the transcript within ‘‘Unless an appeal or writ of error is withdrawn on the con-
the period specified by these rules for the ordering sent of the appellee without costs, costs shall be taxed as if
of a transcript. the trial court judgment had been affirmed.’’
451
Sec. 63-10. Preargument Conferences adjuster at the conference. The conference pro-
The chief justice or the chief judge or a designee ceedings shall not be brought to the attention of
may, in cases deemed appropriate, direct that the court by the presiding officer or any of the
conferences of the parties be scheduled in parties unless the conference results in a final
disposition of the appeal.
advance of oral argument. All civil cases are eligi- (1) Possibility of settlement;
ble for preargument conferences except habeas (2) Simplification of issues;
corpus appeals; appeals involving juveniles, such (3) Amendments to the preliminary statement
as delinquency and termination of parental rights of issues;
cases; and appeals from the suspension of a (4) Transfer to the supreme court;
motor vehicle license due to operating under the (5) Timetable for the filing of briefs;
influence of liquor or drugs. A party in an exempt (6) En banc review; and
case may file a request for a preargument confer- (7) Such other matters as the conference judge
ence with the appellate clerk explaining why the shall consider appropriate.
case should not be exempt. The chief justice may All matters scheduled for a preargument confer-
designate a judge trial referee or senior judge to ence before a judge trial referee are referred to
preside at a conference. The scheduling of or that official by the chief court administrator pursu-
attendance at a preargument conference shall not ant to General Statutes § 52-434a, which vests
affect the duty of the parties to adhere to the times judge trial referees with the same powers and
set for the filing of briefs. Failure of counsel to jurisdiction as superior court judges and senior
attend a preargument conference may result in judges, including the power to implement settle-
ments by opening and modifying judgments.
the imposition of sanctions under Section 85-2. (P.B. 1978-1997, Sec. 4103.) (Amended July 21, 1999, to
Unless other arrangements have been approved take effect Jan. 1, 2000; amended April 6, 2011, to take effect
in advance by the conference judge, parties shall Jan. 1, 2012; amended July 8, 2015, to take effect Jan. 1,
be present at the conference site and available 2016.)
HISTORY—2016: In 2016, in the second sentence,
for consultation. When a party against whom a ‘‘appeals where a party is self-represented;’’ was deleted after
claim is made is insured, an insurance adjuster ‘‘habeas corpus appeals.’’ Prior to 2016, the third sentence
for such insurance company shall be available read: ‘‘A party in an exempt case may request a preargument
conference by writing a letter, certified to all parties, to the
by telephone at the time of such preargument appellate clerk explaining why the case should not be exempt.’’
conference unless the conference judge, in his COMMENTARY—2016: Civil appeals involving self-repre-
or her discretion, requires the attendance of the sented parties are now eligible for preargument conferences.
452
CHAPTER 64
PROCEDURE CONCERNING MEMORANDUM OF DECISION
Sec. Sec.
64-1. Statement of Decision by Trial Court; When 64-2. Exceptions to Section 64-1
Required; How Stated; Contents
Sec. 64-1. Statement of Decision by Trial judge involved and the date of the ruling for which
Court; When Required; How Stated; no memorandum of decision was filed. The appel-
Contents late clerk shall promptly notify the trial judge of
(Amended July 23, 1998, to take effect Jan. 1, 1999.) the filing of the appeal and the notice. The trial
(a) The trial court shall state its decision either court shall thereafter comply with subsection (a).
orally or in writing, in all of the following: (1) in (P.B. 1978-1997, Sec. 4059.) (Amended July 23, 1998, to
take effect Jan. 1, 1999; amended June 2, 2010, to take effect
rendering judgments in trials to the court in civil Jan. 1, 2011; amended Sept. 16, 2015, to take effect Jan.
and criminal matters, including rulings regarding 1, 2016.)
motions for stay of executions, (2) in ruling on HISTORY—2016: In 2016, in the first clause of subsection
aggravating and mitigating factors in capital pen- (a), ‘‘trial’’ was added before ‘‘court.’’ Prior to 2016, the penulti-
alty hearings conducted to the court, (3) in ruling mate sentence of subsection (a) read: ‘‘The transcript of the
on motions to dismiss under Section 41-8, (4) in decision shall be signed by the trial judge and filed in the trial
court clerk’s office.’’ Also in 2016, in subsection (b), ‘‘an original
ruling on motions to suppress under Section 41- and three copies of’’ was deleted after ‘‘appellate clerk.’’
12, (5) in granting a motion to set aside a verdict
under Section 16-35, and (6) in making any other Sec. 64-2. Exceptions to Section 64-1
rulings that constitute a final judgment for pur- (a) In any uncontested matter where no aspect
poses of appeal under Section 61-1, including of the matter is in dispute, in any pendente lite
those that do not terminate the proceedings. The family relations matter whether contested or
court’s decision shall encompass its conclusion uncontested, or in any dismissal under Section
as to each claim of law raised by the parties and 14-3, the oral or written decision as provided in
the factual basis therefor. If oral, the decision shall Section 64-1 is not required. The trial clerk shall,
be recorded by a court reporter, and, if there is however, promptly notify the trial judge of the filing
an appeal, the trial court shall create a memoran- of the appeal.
dum of decision for use in the appeal by ordering (b) Within twenty days from the filing of an
a transcript of the portion of the proceedings in appeal from a contested pendente lite order or
which it stated its oral decision. The transcript of from a dismissal under Section 14-3 in which an
the decision shall be signed by the trial judge and oral or written decision has not been made pursu-
filed with the clerk of the trial court. This section ant to subsection (a), each party to the appeal
does not apply in small claims actions and to mat- shall file a brief with the trial court discussing the
ters listed in Section 64-2. legal and factual issues in the matter. Within
(b) If the trial judge fails to file a memorandum twenty days after the briefs have been filed by
of decision or sign a transcript of the oral decision the parties, the court shall file a written memoran-
in any case covered by subsection (a), the appel- dum of decision stating the factual basis for its
lant may file with the appellate clerk a notice that decision on the issues in the matter and its conclu-
the decision has not been filed in compliance with sion as to each claim of law raised by the parties.
subsection (a). The notice shall specify the trial (P.B. 1978-1997, Sec. 4060.)
453
CHAPTER 65
TRANSFER OF CASES
Sec. Sec.
65-1. Transfer of Cases by Supreme Court (Applicable 65-2. Motion for Transfer from Appellate Court to
to appeals filed before July 1, 2013.) Supreme Court
65-3. Transfer of Petitions for Review of Bail Orders from
65-1. Transfer of Cases by Supreme Court (Applicable Appellate Court to Supreme Court
to appeals filed on or after July 1, 2013.) 65-4. Transfer of Matters Brought to Wrong Court
Sec. 65-1. Transfer of Cases by Supreme assigned for hearing, any party may move for
Court transfer to the supreme court. The motion,
(Applicable to appeals filed before July 1, 2013.) addressed to the supreme court, shall specify, in
When, pursuant to General Statutes § 51-199 accordance with provisions of Section 66-2, the
(c), the supreme court (1) transfers to itself a reasons why the party believes that the supreme
cause in the appellate court, or (2) transfers a court should hear the appeal directly. A copy of
cause or a class of causes from itself to the appel- the memorandum of decision of the trial court, if
late court, the appellate clerk shall notify all parties any, shall be attached to the motion. The filing of
and the clerk of the trial court that the appeal has
been transferred. A case so transferred shall be a motion for transfer shall not stay proceedings
entered upon the docket of the court to which it in the appellate court.
has been transferred. There shall be no fee on If, at any time before the final determination of
such transfer. The appellate clerk may require the an appeal, the appellate court is of the opinion
parties to take such steps as may be necessary that the appeal is appropriate for supreme court
to make the appeal conform to the rules of the review, the appellate court may notify the supreme
court to which it has been transferred, for exam- court of the reasons why transfer is appropriate.
ple, supply the court with additional copies of the If the supreme court transfers the case to itself,
record and the briefs. the appellate clerk shall promptly notify the par-
(P.B. 1978-1997, Sec. 4023.) ties. The appellate clerk may require the parties
Sec. 65-1. Transfer of Cases by Supreme to take such steps as may be necessary to make
Court the appeal conform to the rules of the court to
(Applicable to appeals filed on or after July 1, 2013.) which it has been transferred.
When, pursuant to General Statutes § 51-199 (P.B. 1978-1997, Secs. 4024; 4135.) (Amended Sept. 16,
(c), the supreme court (1) transfers to itself a 2015, to take effect Jan. 1, 2016.)
cause in the appellate court, or (2) transfers a HISTORY—2016: Prior to 2016, the second paragraph of
cause or a class of causes from itself to the appel- this rule read: ‘‘If, at any time before the final determination
late court, the appellate clerk shall notify all parties of an appeal, the appellate court is of the opinion that the
and the clerk of the trial court that the appeal has appeal is appropriate for supreme court review, the appellate
been transferred. A case so transferred shall be court may file a brief statement of the reasons why transfer
is appropriate. The supreme court shall treat the statement
entered upon the docket of the court to which it
as a motion to transfer and shall promptly decide whether to
has been transferred. There shall be no fee on transfer the case to itself.’’
such transfer. The appellate clerk may require the
parties to take such steps as may be necessary Sec. 65-3. Transfer of Petitions for Review
to make the appeal conform to the rules of the of Bail Orders from Appellate Court to
court to which it has been transferred, for exam-
Supreme Court
ple, supply the court with additional copies of the
briefs and appendices. Whenever a petition for review of an order of
(P.B. 1978-1997, Sec. 4023.) (Amended June 5, 2013, to the superior court concerning release is filed in
take effect July 1, 2013.) the appellate court pursuant to General Statutes
Sec. 65-2. Motion for Transfer from Appel- § 54-63g in any case on appeal to the supreme
late Court to Supreme Court court or where the defendant could appeal to the
After the filing of an appeal in the appellate supreme court if convicted, such petition shall be
court, but in no event after the case has been transferred to the supreme court pursuant to the
454
exercise of the supreme court’s transfer jurisdic- it was brought to the wrong court but shall be
tion under General Statutes § 51-199 (c) for transferred by the appellate clerk to the court with
review of such order. jurisdiction and entered on its docket. Any timely
(P.B. 1978-1997, Sec. 4025.) filed appeal or cause transferred shall be consid-
ered timely filed in the appropriate court. The
Sec. 65-4. Transfer of Matters Brought to appellate clerk shall notify all parties and the clerk
Wrong Court of the trial court that the appeal or cause has been
transferred. In the event that an appeal or cause
Any appeal or cause brought to the supreme is so transferred, no additional fees will be due.
court or the appellate court which is not properly (P.B. 1978-1997, Sec. 4027.) (Amended Sept. 16, 2015,
within the jurisdiction of the court to which it is HISTORY—2016: In 2016, in the last sentence of this rule,
brought shall not be dismissed for the reason that ‘‘or security for costs’’ was deleted after ‘‘fees.’’
455
CHAPTER 66
MOTIONS AND OTHER PROCEDURES
Sec. Sec.
66-1. Extension of Time (Applicable to appeals filed on or after July 1,
66-2. Motions, Petitions and Applications; Supporting 2013.)
Memoranda 66-6. Motion for Review; In General
66-2A. Supreme Court Briefs on Compact Disc; Hyperlink- 66-7. Motion for Review of Motion for Rectification of
ing [Repealed] Appeal or Articulation (Applicable to appeals filed
66-3. Motion Procedures and Filing before July 1, 2013.)
66-4. Hearings on Motions 66-7. Motion for Review of Motion for Rectification of
66-5. Motion for Rectification; Motion for Articulation Appeal or Articulation (Applicable to appeals filed
(Applicable to appeals filed before July 1, 2013.) on or after July 1, 2013.)
66-5. Motion for Rectification; Motion for Articulation 66-8. Motion to Dismiss
Sec. 66-1. Extension of Time cases, state whether the defendant is incarcer-
(a) Motions to extend the time limit for filing an ated as a result of the proceeding in which the
appeal shall be filed with the clerk of the trial court. appeal has been filed.
Except as otherwise provided in these rules, the (c) The appellate clerk is authorized to grant or
to deny motions for extension of time promptly
judge who tried the case may, for good cause
upon their filing. Motions for extension of time to
shown, extend the time limit provided for filing the complete any step necessary to prosecute or to
appeal, except that such extension shall be of no defend the appeal, to move for or to oppose a
effect if the time within which the appeal must be motion for reconsideration, or to petition for or to
filed is set by statute and is a time limit that the oppose a petition for certification will not be
legislature intended as a limit on the subject mat- granted except for good cause. Claims of good
ter jurisdiction of the court in which the appeal is cause shall be raised promptly after the cause
filed. In no event shall the trial judge extend the arises.
time for filing the appeal to a date which is more (d) An opposing party who objects to a motion
than twenty days from the expiration date of the for extension of time filed pursuant to subsection
appeal period. Where a motion for extension of (b) of this section shall file an objection with rea-
the period of time within which to appeal has been sons in support thereof with the appellate clerk
filed at least ten days before expiration of the time within five days from the filing of the motion.
limit sought to be extended, the party seeking (e) A motion for extension of time shall be filed
to appeal shall have no less than ten days from at least ten days before the expiration of the time
issuance of notice of denial of the motion to file limit sought to be extended or, if the cause for
the appeal. such extension arises during the ten day period,
(b) Motions to extend the time limit for filing any as soon as reasonably possible after such cause
appellate document, other than the appeal, shall has arisen. No motion under this rule shall be
be filed with the appellate clerk. The motion shall granted unless it is filed before the time limit
set forth the reason for the requested extension sought to be extended by such motion has
expired.
and shall be accompanied by a certification that
(f) Any action by the trial judge pursuant to sub-
complies with Section 62-7. An attorney filing such
section (a) of this section or the appellate clerk
a motion on a client’s behalf shall also indicate pursuant to subsection (c) of this section is review-
that a copy of the motion has been delivered to able pursuant to Section 66-6.
each of his or her clients who are parties to the (P.B. 1978-1997, Sec. 4040.) (Amended July 21, 1999, to
appeal. The moving party shall also include a take effect Jan. 1, 2000; amended Feb. 1, 2005, to take effect
statement as to whether the other parties consent Jan. 1, 2006; amended Jan. 29, 2009, to take effect March
or object to the motion. A motion for extension of 1, 2009; amended July 30, 2009, to take effect Jan. 1, 2010;
time to file a brief must specify the current status HISTORY—2016: In 2016, what is now the first sentence
of the brief or preparations therefor, indicate the was added to subsection (a). In what is now the second sen-
estimated date of completion, and, in criminal tence of subsection (a), ‘‘taken’’ was replaced with ‘‘filed’’
456
RULES OF APPELLATE PROCEDURE Sec. 66-2A
twice–after ‘‘appeal must be’’ and ‘‘appeal is’’– and ‘‘to’’ was and legal grounds for opposition within ten days
replaced with ‘‘in’’ after ‘‘court.’’ Also, what had been the final after the filing of the motion, petition or application.
sentence of subsection (a) was deleted. It read: ‘‘For exten-
sions of time to file a cross appeal, see Section 61-8; to file
If an opposing party chooses to file a memoran-
a petition for certification to the supreme court, see Section dum of law in opposition to a motion, petition or
84-7; to file a petition for certification to the appellate court, application, that party shall do so within ten days
see Section 81-5.’’ after the filing of the motion, petition or application.
In addition, what had been subsection (b) was deleted. Responses to oppositions are not permitted.
Prior to 2016, subsection (b) read: ‘‘If an appeal has been filed, Except as provided in subsection (e) below, no
the time provided for taking any step necessary to prosecute or proposed order is required.
to defend the appeal may be extended by the court in which
the appeal is pending.’’ (b) Except with special permission of the appel-
Also in 2016, what had been subsection (c) (1) was desig- late clerk, the motion, petition or application and
nated subsection (b). Prior to 2016, what is now subsection memorandum of law filed together shall not
(b) read: ‘‘Extensions shall be granted only upon a written exceed ten pages, and the memorandum of law
motion filed with the clerk of the trial court, in the case of a in opposition thereto shall not exceed ten pages.
preappeal motion, and with the appellate clerk, in the case of (c) Where counsel for the moving party certifies
a postappeal motion. The motion, only an original of which
need be filed, should set forth the reason for the requested
that all other parties to the appeal have consented
extension and shall be accompanied by a certification that to the granting of the motion, petition or applica-
complies with Section 62-7. An attorney filing such a motion tion, the motion, petition or application may be
on a client’s behalf shall also indicate that a copy of the motion submitted to the court immediately upon filing and
has been mailed to each of his or her clients who are parties may be acted upon without awaiting expiration of
to the appeal. The moving party shall also include a statement the time for filing opposition papers. Notice of such
as to whether the other parties consent or object to the motion. consent certification shall be indicated on the first
A motion for extension of time to file a brief must specify the
current status of the brief or preparations therefor, indicate
page of the document.
the estimated date of completion, and, in criminal cases, state (d) Motions which are not dispositive of the
whether the defendant is incarcerated as a result of the pro- appeal may be ruled upon by one or more mem-
ceeding in which the appeal has been taken.’’ bers of the court subject to review by a full panel
In addition, in 2016, what had been subdivisions (2) through upon a motion for reconsideration pursuant to
(5) of what had been subsection (c) were designated subsec- Section 71-5.
tions (c) through (f). Also, in what is now subsection (f), ‘‘court’’
was deleted after ‘‘trial’’ and what had been a reference to
(e) Motions that are directed to the trial court,
subsection (c) (2) now refers to subsection (c). such as motions to terminate stay pursuant to
Also in 2016, what had been subsection (c) (6) was deleted. Section 61-11 or motions for rectification or articu-
It read: ‘‘Postappeal motions for extension of time may be lation pursuant to Section 66-5, shall: (1) include
filed, signed or verified by electronic means that comply with both the trial court and the appellate court docket
procedures and technical standards set forth on the Judicial numbers in the caption of the case; (2) state in
Branch website. A paper filed by electronic means in compli-
ance with such procedures and standards constitutes a written
the first paragraph the name of the trial judge, or
paper for the purpose of applying these rules. Service and panel of judges, who issued the order or orders
proof of service shall be made pursuant to Sections 10-13, to be reviewed; (3) include a proper order for the
10-14 and 62-7.’’ trial court if required by Section 11-1; and (4) com-
ply with the requirements of Section 66-3. Such
Sec. 66-2. Motions, Petitions and Applica- motions will be forwarded to the trial court by the
tions; Supporting Memoranda appellate clerk.
(a) Motions, petitions and applications shall be (P.B. 1978-1997, Sec. 4041.) (Amended June 2, 2010, to
specific. No motion, petition or application will be take effect Jan. 1, 2011; amended July 26, 2012, to take effect
Jan. 1, 2013; amended Sept. 16, 2015, to take effect Jan.
considered unless it clearly sets forth in separate
1, 2016.)
paragraphs appropriately captioned: (1) a brief HISTORY—2016: In 2016, in the third sentence of subsec-
history of the case; (2) the specific facts upon tion (a), ‘‘with’’ was deleted after ‘‘filed’’ and ‘‘either as an
which the moving party relies; and (3) the legal appendix to or as a part of’’ was added. Also, prior to 2016,
grounds upon which the moving party relies. A the penultimate sentence of subsection (a) read: ‘‘Responses
separate memorandum of law may but need not to memoranda in opposition are not permitted.’’ In addition,
be filed. If the moving party intends to file a memo- in subsection (b) ‘‘taken’’ was deleted after ‘‘law’’ and was
replaced with ‘‘filed.’’ Also in 2016, ‘‘court’’ was deleted from
randum of law in support of the motion, petition item (2) in subsection (e) after ‘‘trial.’’
or application, however, such memorandum shall
be filed either as an appendix to or as a part of the Sec. 66-2A. Supreme Court Briefs on Com-
motion, petition or application. A party intending to pact Disc; Hyperlinking
oppose a motion, petition or application shall file [Repealed as of Jan. 1, 2016.]
a brief statement clearly setting forth in separate HISTORY—2016: Prior to 2016, this section read: ‘‘In addi-
paragraphs appropriately captioned the factual tion to the filing of the requisite number of printed briefs and
457
Sec. 66-2A RULES OF APPELLATE PROCEDURE
the submission of the electronic version of briefs as required the appellate clerk.’’ Also in 2016, what is now the second
by Section 67-2, the supreme court will accept all briefs in an sentence and the paragraph break thereafter were added. In
appeal on a single compact disc, read-only memory (CD- addition, in what is now the third sentence, ‘‘served on’’ were
ROM). Counsel who wish to file such a CD-ROM should con- deleted before ‘‘each other counsel’’ and ‘‘delivered to’’ was
sult with opposing counsel and self-represented litigants who added. Also in 2016, what had been the final sentence of this
should cooperate in its preparation. If only one party wishes section was deleted. It read: ‘‘A certificate shall be attached
to participate in the preparation of the CD-ROM, that party to the signed original paper, indicating that it is in compliance
may prepare the CD-ROM with briefs provided by all parties, with all the provisions of this section.’’
as long as (1) those parties consent, (2) all briefs are hyper-
linked as described below and (3) all parties who have filed Sec. 66-4. Hearings on Motions
briefs are afforded an opportunity to review the CD-ROM Hearings on motions will be assigned only upon
before it is filed.
‘‘The CD-ROM briefs shall comply with the current technical
order of the court and only in exceptional cases. In
specifications available on the Judicial Branch website and cases involving parties who are self-represented
shall be identical in content and format to the printed version. and incarcerated, hearings on motions may be
The CD-ROM briefs shall be word-searchable and hyperlinked conducted by videoconference upon direction of
to each other and to the full text of all cases, statutes, rules the court.
and treatises cited therein. The disc and its paper sleeve shall (P.B. 1978-1997, Sec. 4043.) (Amended April 6, 2011, to
be labeled with the title of the case, the docket number and take effect Jan. 1, 2012.)
the documents reproduced on the disc.
‘‘Twenty copies of the CD-ROM shall be filed in the office Sec. 66-5. Motion for Rectification; Motion
of the appellate clerk no later than thirty days after the last for Articulation
paper brief is filed, accompanied by proof of service of at least
one disc on each other party. (Applicable to appeals filed before July 1, 2013.)
‘‘(Adopted July 30, 2009, to take effect Jan. 1, 2010.)’’ A motion seeking corrections in the transcript
COMMENTARY—2016: This section was eliminated upon or the trial court record or seeking an articulation
the implementation of electronic filing of briefs. or further articulation of the decision of the trial
court shall be called a motion for rectification or
Sec. 66-3. Motion Procedures and Filing a motion for articulation, whichever is applicable.
All motions, petitions, applications, memoranda Any motion filed pursuant to this section shall state
of law and stipulations shall be filed with the appel- with particularity the relief sought.
late clerk in accordance with the provisions of Except in cases where the trial court was a
Sections 60-7 and 60-8 and docketed upon filing. three judge court, an original and three copies of
The submission may be returned by the appellate such motion shall be filed with the appellate clerk.
clerk or rejected by the court upon review for com- Where the trial court was a three judge court, an
pliance with the rules of appellate procedure. original and five copies of such motion shall be
All papers shall contain a certification that a filed. Any other party may oppose the motion by
copy has been delivered to each other counsel filing an original and three or five copies of an
of record in accordance with the provisions of opposition with the appellate clerk within ten days
Section 62-7. No motion or other paper mentioned of the filing of the motion for rectification or articu-
above shall be filed after expiration of the time for lation.
its filing, and no amendment to any of these filings The appellate clerk shall forward the motion for
shall be filed, except on written motion and by rectification or articulation and the opposition, if
consent of the court. Motions shall be typewritten any, to the trial judge who decided, or presided
and fully double spaced, and shall not exceed over, the subject matter of the motion for rectifica-
three lines to the vertical inch or twenty-seven tion or articulation for a decision on the motion. If
lines to the page. Footnotes and block quotations any party requests it and it is deemed necessary
may be single spaced. Only the following two type- by the trial court, the trial court shall hold a hearing
faces, of 12 point or larger size, are approved for at which arguments may be heard, evidence taken
use in motions: arial and univers. Each page of or a stipulation of counsel received and approved.
a motion, petition, application, memorandum of The trial court may make such corrections or addi-
law, stipulation and opposition shall have as a tions as are necessary for the proper presentation
minimum the following margins: top, 1 inch; left, of the issues raised or for the proper presentation
1 and 1/4 inch; right, 1/2 inch; and bottom, 1 inch. of questions reserved. The trial judge shall file the
(P.B. 1978-1997, Sec. 4042.) (Amended Oct. 16, 2002, to decision on the motion with the appellate clerk.
take effect Jan. 1, 2003; amended May 15, 2003, to take effect Nothing herein is intended to affect the existing
Jan. 1, 2004; amended Sept. 16, 2015, to take effect Jan. practice with respect to opening and correcting
1, 2016.)
judgments and the records on which they are
section read: ‘‘Except as otherwise provided, the original and based. The trial judge shall file any such order
fifteen copies of motions, petitions, applications, memoranda changing the judgment or the record with the
of law and stipulations brought to the court shall be filed with appellate clerk.
458
Corrections made before the record is prepared The appellate clerk shall forward the motion for
shall be included in it. If the record has been pre- rectification or articulation and the opposition, if
pared, the appellate clerk may prepare a supple- any, to the trial judge who decided, or presided
mental record, to be distributed in the same way over, the subject matter of the motion for rectifica-
as the original record. tion or articulation for a decision on the motion. If
The sole remedy of any party desiring the court any party requests it and it is deemed necessary
having appellate jurisdiction to review the trial by the trial court, the trial court shall hold a hearing
court’s decision on the motion filed pursuant to at which arguments may be heard, evidence taken
this section or any other correction or addition or a stipulation of counsel received and approved.
ordered by the trial court during the pendency of The trial court may make such corrections or addi-
the appeal shall be by motion for review under tions as are necessary for the proper presentation
Section 66-7. of the issues. The clerk of the trial court shall list
Upon the filing of a timely motion pursuant to the decision on the trial court docket and shall
Section 66-1, the appellate clerk may extend the send notice of the court’s decision on the motion
time for filing briefs until after the trial court has to the appellate clerk, and the appellate clerk shall
ruled on a motion made pursuant to this section issue notice of the decision to all counsel of
or until a motion for review under Section 66-7 record.
is decided. Nothing herein is intended to affect the existing
Any motion for rectification or articulation shall practice with respect to opening and correcting
be filed within thirty-five days after the delivery of judgments and the records on which they are
the last portion of the transcripts or, if none, after based. The trial court shall file any such order
the filing of the appeal, or, if no memorandum of changing the judgment or the record with the
decision was filed before the filing of the appeal, appellate clerk.
after the filing of the memorandum of decision. If Corrections or articulations made before the
the court, sua sponte, sets a different deadline appellant’s brief and appendix are prepared shall
from that provided in Section 67-3 for filing the be included in the appellant’s appendix. Correc-
appellant’s brief, a motion for rectification or artic- tions or articulations made after the appellant’s
ulation shall be filed ten days prior to the deadline brief and appendix have been filed, but before the
for filing the appellant’s brief, unless otherwise appellee’s brief and appendix have been filed,
ordered by the court. The filing deadline may be shall be included in the appellee’s appendix.
extended for good cause. No motion for rectifica- When corrections or articulations are made after
tion or articulation shall be filed after the filing of both parties’ briefs and appendices have been
the appellant’s brief except for good cause shown. filed, the appellant shall file the corrections or
A motion for further articulation may be filed by articulations as an addendum to its appendix. Any
any party within twenty days after issuance of addendum shall be filed within ten days after issu-
notice of the filing of an articulation by the trial ance of notice of the trial court’s order correcting
judge. A motion for extension of time to file a the record or articulating the decision.
motion for articulation shall be filed in accordance The sole remedy of any party desiring the court
with Section 66-1. having appellate jurisdiction to review the trial
(P.B. 1978-1997, Sec. 4051.) (Amended July 21, 1999, to court’s decision on the motion filed pursuant to
take effect Jan. 1, 2000; amended July 24, 2002, to take effect this section or any other correction or addition
Oct. 1, 2002.) ordered by the trial court during the pendency of
the appeal shall be by motion for review under
Sec. 66-5. Motion for Rectification; Motion Section 66-7.
for Articulation Upon the filing of a timely motion pursuant to
(Applicable to appeals filed on or after July 1, 2013.) Section 66-1, the appellate clerk may extend the
A motion seeking corrections in the transcript time for filing briefs until after the trial court has
or the trial court record or seeking an articulation ruled on a motion made pursuant to this section
or further articulation of the decision of the trial or until a motion for review under Section 66-7
court shall be called a motion for rectification or is decided.
a motion for articulation, whichever is applicable. Any motion for rectification or articulation shall
Any motion filed pursuant to this section shall state be filed within thirty-five days after the delivery of
with particularity the relief sought and shall be the last portion of the transcripts or, if none, after
filed with the appellate clerk. Any other party may the filing of the appeal, or, if no memorandum of
oppose the motion by filing an opposition with the decision was filed before the filing of the appeal,
appellate clerk within ten days of the filing of the after the filing of the memorandum of decision. If
motion for rectification or articulation. the court, sua sponte, sets a different deadline
459
from that provided in Section 67-3 for filing the If a motion for review of a decision depends on
appellant’s brief, a motion for rectification or artic- a transcript of evidence or proceedings taken by
ulation shall be filed ten days prior to the deadline a court reporter, the moving party shall file with
for filing the appellant’s brief, unless otherwise the motion either a transcript or a copy of the
ordered by the court. The filing deadline may be transcript order form (JD-ES-38). The opposing
extended for good cause. No motion for rectifica- party may, within one week after the transcript or
tion or articulation shall be filed after the filing of the copy of the order form is filed by the moving
the appellant’s brief except for good cause shown. party, file either a transcript of additional evidence
A motion for further articulation may be filed by or a copy of the order form. Parties filing or order-
any party within twenty days after issuance of ing a transcript shall order an electronic version
notice of the filing of an articulation by the trial of the transcript in accordance with Section 63-8A.
judge. A motion for extension of time to file a (P.B. 1978-1997, Sec. 4053.) (Amended April 3, 2002, to
motion for articulation shall be filed in accordance take effect Nov. 1, 2002; amended June 2, 2005, to take effect
Jan. 1, 2006.)
with Section 66-1.
(P.B. 1978-1997, Sec. 4051.) (Amended July 21, 1999, to Sec. 66-7. Motion for Review of Motion for
take effect Jan. 1, 2000; amended July 24, 2002, to take effect
Oct. 1, 2002; amended June 5, 2013, to take effect July 1,
Rectification of Appeal or Articulation
2013; amended Sept. 16, 2015, to take effect Jan. 1, 2016.) (Applicable to appeals filed before July 1, 2013.)
HISTORY—2016: In 2016, in the second sentence, ‘‘and Any party aggrieved by the action of the trial
shall be filed with the appellate clerk’’ was added after judge as regards rectification of the appeal or
‘‘sought.’’ Also in 2016, what had been the third and fourth articulation under Section 66-5 may, within ten
sentences were deleted. They read: ‘‘Except in cases where days of the issuance of notice of the order sought
the trial court was a three judge court, an original and two
copies of such motion and shall be filed with the appellate
to be reviewed, make a written motion for review
clerk. Where the trial court was a three judge court, an original to the court, to be filed with the appellate clerk,
and four copies of such motion shall be filed.’’ In addition, and the court may, upon such a motion, direct
what is now the third sentence became part of the first para- any action it deems proper. If the motion depends
graph, and in that sentence ‘‘an original and two or four copies upon a transcript of evidence or proceedings
of’’ was deleted before ‘‘an opposition.’’ taken by a court reporter, the procedure set forth
Also in 2016, the final sentence of what had been the third in Section 66-6 shall be followed. Corrections
paragraph was deleted. It read: ‘‘The trial judge shall file the
decision on the motion with the appellate clerk.’’ In addition,
which the court makes or orders made pursuant
what is now the final sentence of the second paragraph was hereto shall be included in the prepared record
added. Finally, in what is now the second sentence of the in the same way in which, under Section 66-5,
third paragraph, ‘‘judge’’ was deleted after ‘‘trial’’ and ‘‘court’’ corrections made by the trial judge are included.
was added. (P.B. 1978-1997, Sec. 4054.)
Sec. 66-6. Motion for Review; In General Sec. 66-7. Motion for Review of Motion for
The court may, on written motion for review Rectification of Appeal or Articulation
stating the grounds for the relief sought, modify (Applicable to appeals filed on or after July 1, 2013.)
or vacate any order made by the trial court under Any party aggrieved by the action of the trial
Section 66-1 (a); any action by the appellate clerk judge regarding rectification of the appeal or artic-
under Section 66-1 (c) (2); any order made by ulation under Section 66-5 may, within ten days
the trial court, or by the workers’ compensation of the issuance of notice by the appellate clerk
commissioner in cases arising under General of the decision from the trial court sought to be
Statutes § 31-290a (b), relating to the perfecting reviewed, file a motion for review with the appel-
of the record for an appeal or the procedure of late clerk, and the court may, upon such a motion,
prosecuting or defending against an appeal; any direct any action it deems proper. If the motion
order made by the trial court concerning a stay depends upon a transcript of evidence or pro-
of execution in a case on appeal; any order made ceedings taken by a court reporter, the procedure
by the trial court concerning the waiver of fees, set forth in Section 66-6 shall be followed. Correc-
costs and security under Section 63-6 or 63-7; or tions or articulations which the trial court makes
any order concerning the withdrawal of appointed or orders made pursuant to this section shall be
appellate counsel pursuant to Section 62-9 (d). included in the appendices as indicated in Section
Motions for review shall be filed within ten days 66-5.
from the issuance of notice of the order sought (P.B. 1978-1997, Sec. 4054.) (Amended June 5, 2013, to
take effect July 1, 2013; amended Sept. 16, 2015, to take
to be reviewed. Motions for review of the clerk’s effect Jan. 1, 2016.)
taxation of costs under judgments of the court HISTORY—2016: Prior to 2016, the first sentence of this
having appellate jurisdiction shall be governed by section read: ‘‘Any party aggrieved by the action of the trial
Section 71-3. judge as regards rectification of the appeal or articulation under
460
Section 66-5 may, within ten days of the issuance of notice dismiss the appeal or writ. Any such motion must
of the order sought to be reviewed, make a written motion for be filed in accordance with Sections 66-2 and 66-
review to the court, to be filed with the appellate clerk, and
the court may, upon such a motion, direct any action it
3 within ten days after the filing of the appeal or
deems proper.’’ the return day of the writ, or if the ground alleged
subsequently occurs, within ten days after it has
Sec. 66-8. Motion to Dismiss arisen, provided that a motion based on lack of
Any claim that an appeal or writ of error should jurisdiction may be filed at any time. The court
be dismissed, whether based on lack of jurisdic- may on its own motion order that an appeal be
tion, failure to file papers within the time allowed dismissed for lack of jurisdiction.
or other defect, shall be made by a motion to (P.B. 1978-1997, Sec. 4056.)
461
CHAPTER 67
BRIEFS
Sec. Sec.
67-1. Brief and Appendix (Applicable to appeals filed (Applicable to appeals filed on or after July 1,
before July 1, 2013.) 2013.)
67-1. Brief and Appendix (Applicable to appeals filed on 67-6. Statutory (§ 53a-46b) Review of Death Sentences
or after July 1, 2013.) 67-7. The Amicus Curiae Brief
67-2. Format; Copies; Electronic Briefing Requirement 67-8. The Appendix (Applicable to appeals filed before
(Applicable to appeals filed before July 1, 2013.) July 1, 2013.)
67-2. Format of Briefs and Appendices; Copies; Elec- 67-8. The Appendix; Contents and Organization (Appli-
tronic Briefing Requirement (Applicable to cable to appeals filed on or after July 1, 2013.)
appeals filed on or after July 1, 2013.) 67-8A. The Appendix in Administrative Appeals; Excep-
67-3. Page Limitations; Time for Filing Briefs (Applicable tions (Applicable to appeals filed on or after July
to appeals filed before July 1, 2013.) 1, 2013.) (Transferred from Section 68-10.)
67-9. Citation of Unreported Decisions (Applicable to
67-3. Page Limitations; Time for Filing Briefs and Appen-
dices (Applicable to appeals filed on or after July 67-9. Citation of Unreported Decisions
1, 2013.) [Repealed only as to appeals filed on or after July
67-4. The Appellant’s Brief; Contents and Organization 1, 2013.]
(Applicable to appeals filed before July 1, 2013.) 67-10. Citation of Supplemental Authorities after Brief Is
67-4. The Appellant’s Brief; Contents and Organization Filed
(Applicable to appeals filed on or after July 1, 67-11. Table of Authorities; Citation of Cases
2013.) 67-12. Stay of Briefing Obligations upon Filing of Certain
67-5. The Appellee’s Brief; Contents and Organization Motions after Appeal Is Filed
(Applicable to appeals filed before July 1, 2013.) 67-13. Briefs in Family and Juvenile Matters and Other
67-5. The Appellee’s Brief; Contents and Organization Matters involving Minor Children
Sec. 67-1. Brief and Appendix portions of the record or evidence have already
(Applicable to appeals filed before July 1, 2013.) been included in another party’s brief or appendix,
In any brief or appendix, the plaintiff and inclusion in a second brief is not necessary, and
defendant shall be referred to as such rather than reference to such already-filed brief or appendix
as appellant and appellee, wherever it is possible will be sufficient. Any other party may include or
to do so; on a reservation the plaintiff below shall refer to in that party’s brief, reply brief or appendix
be regarded as the appellant. such additional portions of the record or the evi-
Each brief shall contain a concise statement of dence as such party deems material. The portions
the principal issue or issues involved in the of the record returned by the agency contained
appeal. The statement ordinarily should not in the record before the court and in an appendix
exceed one page in length and should be on a to a brief, supplemented by such papers returned
page by itself. The court may refuse to receive a by the agency as are of such a nature that they
brief not complying with this requirement. cannot be conveniently photocopied, will be
The evidence referred to in the brief, and in the deemed to embrace all of the record returned by
appendix if one is filed, will be deemed to embrace the agency material to the issues on the appeal.
all testimony produced at the trial material to the The court may, however, consult any of the papers
issues on the appeal, although the court may, if returned by the agency to supplement or explain
sufficient cause appears, consult the transcript the portions contained in the record and briefs.
of evidence on file or the trial court case file to (P.B. 1978-1997, Sec. 4064.)
supplement or explain the evidence.
Any party to an appeal from an administrative Sec. 67-1. Brief and Appendix
agency who claims that the record before the (Applicable to appeals filed on or after July 1, 2013.)
agency does not support its decision, shall include In any brief or appendix, the plaintiff and
in such party’s brief or in the appendix thereto defendant shall be referred to as such rather than
such portions of the record or evidence returned as appellant and appellee, wherever it is possible
by the agency but not included in the record as to do so; on a reservation the plaintiff below shall
that party deems material to such claim. If such be regarded as the appellant.
462
Each brief shall contain a concise statement of briefs filed for cross appeals shall be of the same
the principal issue or issues involved in the color as indicated for that party on the original
appeal. The statement ordinarily should not appeal briefs. If a supplemental brief is ordered
exceed one page in length and should be on a or permitted by the court, the cover shall be the
page by itself. The court may refuse to receive a same color as indicated for that party’s original
brief not complying with this requirement. brief. A back cover is not necessary; however, if
(P.B. 1978-1997, Sec. 4064.) (Amended June 5, 2013, to one is used, it must be white.
take effect July 1, 2013; amended June 18, 2014, to take (h) Briefs and separately bound appendices
effect Sept. 1, 2014.)
must bear on the cover, in the following order,
Sec. 67-2. Format; Copies; Electronic Brief- from the top of the page: (1) the name of the court;
ing Requirement (2) the number of the case; (3) the name of the
(Applicable to appeals filed before July 1, 2013.) case as it appears in the judgment file of the trial
(Amended Jan. 29, 2009, to take effect March 1, 2009; court; (4) the nature of the brief (e.g., brief of the
amended June 18, 2014, to take effect Sept. 1, 2014.) defendant-appellant; brief of the plaintiff-appellee
(a) Original briefs and appendices shall be type- on the appeal and of the plaintiff-cross appellant
written or clearly photocopied from a typewritten on the cross appeal); (5) the name, address and,
original on white 81/2 by 11 inch paper. Unless if they are different from arguing counsel’s tele-
ordered otherwise, briefs shall be copied on one phone and facsimile numbers and e-mail address,
side of the page only. Appendices may be copied the telephone and facsimile numbers and e-mail
on both sides of the page. The brief shall be fully address of the party’s counsel of record, and of
double spaced and shall not exceed three lines the arguing counsel, if different. The foregoing
to the vertical inch or twenty-seven lines to the shall be displayed in the upper case of an arial
page; footnotes and block quotations may, how- or univers typeface of 12 point or larger size.
ever, be single spaced. Only the following two (i) Sections 67-4, 67-5 and 67-8 should be con-
typefaces, of 12 point or larger size, are approved sulted for guidance as to when an appendix is
for use in briefs: arial and univers. necessary and for specific requirements regard-
(b) If constitutional provisions, statutes, ordi- ing appendices.
nances, regulations or portions of the transcript (j) Every attorney filing a brief shall submit an
are contained in an appendix, they may be repro- electronic version of the brief and appendix in
duced in their original form so long as the docu- accordance with guidelines established by the
ment is not reduced to less than 75 percent of its court and published on the Judicial Branch web-
original form. site. The electronic version shall be submitted
(c) Each page of a brief or appendix shall have prior to the timely filing of the party’s paper brief
as a minimum the following margins: top, 1 inch; and appendix. A party who is not represented by
left, 1 and 1/4 inch; right, 1/2 inch; and bottom, counsel is not required to submit an electronic
1 inch. version of his or her brief and appendix. Counsel
(d) Pages shall be numbered in the center of must certify that electronically submitted briefs
the bottom of the page. and appendices: (1) have been delivered elec-
(e) Briefs and appendices shall be firmly bound tronically to the last known e-mail address of each
1/4 inch from the left side, at points approximately counsel of record for whom an e-mail address has
1/4, 1/2 and 3/4 of the length of the page, so as to been provided; and (2) have been redacted or do
make an easily opened volume. not contain any names or other personal identi-
(f) Every brief shall designate on the front page fying information that is prohibited from disclosure
the name, address, telephone and facsimile num- by rule, statute, court order or case law.
bers and e-mail address of the individual counsel (k) If the appeal is in the supreme court, the
who is to argue the appeal. The plaintiff and original and fifteen legible photocopies of each
defendant shall be referred to as such rather than brief and appendix, if any, shall be filed with the
as appellant and appellee, wherever it is possible appellate clerk. If the appeal is in the appellate
to do so. For the purposes of this rule, on a reser- court, the original and ten legible photocopies of
vation, the plaintiff below shall be regarded as each brief and appendix, if any, shall be filed with
the appellant. the appellate clerk.
(g) Briefs and separately bound appendices (l) The original and all copies of the brief filed
shall have a suitable front cover of heavy paper with the supreme court or the appellate court must
in the color indicated: briefs for appellants and be accompanied by: (1) certification that a copy
plaintiffs in error, light blue; briefs for appellees of the brief and appendix has been sent to each
and defendants in error, pink; reply briefs, white; counsel of record and to any trial judge who ren-
briefs for amicus curiae, light green. Covers of dered a decision that is the subject matter of the
463
appeal, in compliance with Section 62-7; (2) certi- the brief and appendix together would affect the
fication that the brief and appendix being filed with integrity of the binding, the appendix shall be
the appellate clerk are true copies of the brief bound separately from the brief. When either part
and appendix that were submitted electronically of the appendix exceeds one hundred and fifty
pursuant to subsection (j) of this section; (3) certifi- pages, parts one and two of the appendix shall
cation that the brief and appendix have been be separately bound.
redacted or do not contain any names or other (c) An appendix shall be paginated separately
personal identifying information that is prohibited from the brief. The appendix shall be numbered
from disclosure by rule, statute, court order or consecutively, beginning with the first page of part
case law; and (4) certification that the brief com- one and ending with the last page of part two,
plies with all provisions of this rule. and preceded by the letter ‘‘A’’ (e.g., A1 . . . A25
(m) A copy of the electronic confirmation receipt . . . A53). An appendix shall have an index of
indicating that the brief and appendix were submit- the names of witnesses whose testimony is cited
ted electronically in compliance with subsection (j) within it. If any part of the testimony of a witness
of this section shall be filed with the original brief. is omitted, this shall be indicated by asterisks.
(n) No argument shall be allowed any party who After giving the name of a witness, the party who
has not filed a brief or who has not joined in the called that witness shall be designated, and it shall
brief of another party. be stated whether the testimony quoted was given
(o) Any request for deviation from the above on direct, cross or other examination.
requirements shall be addressed in writing to the (d) If constitutional provisions, statutes, ordi-
appellate clerk. nances, regulations or portions of the transcript
(P.B. 1978-1997, Sec. 4064A.) (Amended June 7, 2001, are contained in an appendix, they may be repro-
to take effect Sept. 1, 2001; amended Jan. 29, 2009, to take duced in their original form so long as the docu-
effect March 1, 2009; amended June 2, 2010, to take effect ment is not reduced to less than 75 percent of its
Jan. 1, 2011; amended June 18, 2014, to take effect Sept. original form.
1, 2014.)
(e) Briefs and separately bound appendices
Sec. 67-2. Format of Briefs and Appendices; shall have a suitable front cover of heavy paper
Copies; Electronic Briefing Requirement in the color indicated: briefs for appellants and
(Applicable to appeals filed on or after July 1, 2013.) plaintiffs in error, light blue; briefs for appellees
(Amended Jan. 29, 2009, to take effect March 1, 2009; and defendants in error, pink; reply briefs, white;
amended June 5, 2013, to take effect July 1, 2013; amended briefs for amicus curiae, light green. Covers of
June 18, 2014, to take effect Sept. 1, 2014.) briefs filed for cross appeals shall be of the same
(a) Original briefs and appendices shall be type- color as indicated for that party on the original
written or clearly photocopied from a typewritten appeal briefs. If a supplemental brief is ordered
original on white 8 1/2 by 11 inch paper. Unless or permitted by the court, the cover shall be the
ordered otherwise, briefs shall be copied on one same color as indicated for that party’s original
side of the page only. Appendices may be copied brief. A back cover is not necessary; however, if
on both sides of the page. The page number for one is used, it must be white.
briefs and appendices shall be centered on the (f) Briefs and separately bound appendices
bottom of each page. The brief shall be fully dou- must bear on the cover, in the following order,
ble spaced and shall not exceed three lines to the from the top of the page: (1) the name of the court;
vertical inch or twenty-seven lines to the page; (2) the number of the case; (3) the name of the
footnotes and block quotations may, however, be case as it appears in the judgment file of the trial
single spaced. Only the following two typefaces, court; (4) the nature of the brief (e.g., brief of the
of 12 point or larger size, are approved for use in defendant-appellant; brief of the plaintiff-appellee
briefs: arial and univers. Each page of a brief or on the appeal and of the plaintiff-cross appellant
appendix shall have as a minimum the following on the cross appeal); and (5) the name, address,
margins: top, 1 inch; left, 1 and 1/4 inch; right, 1/2 telephone and facsimile numbers and e-mail
inch; and bottom, 1 inch. Briefs and appendices address of individual counsel who is to argue the
shall be firmly bound 1/4 inch from the left side, appeal and, if different, the name, address, tele-
at points approximately 1/4, 1/2 and 3/4 of the length phone and facsimile numbers and e-mail address
of the page, so as to make an easily opened of the party’s counsel of record. The foregoing
volume. shall be displayed in the upper case of an arial
(b) When possible, parts one and two of the or univers typeface of 12 point or larger size.
appendix shall be bound together. In addition, (g) Every attorney filing a brief shall submit an
parts one and two of the appendix may be bound electronic version of the brief and appendix in
together with the brief. When, however, binding accordance with guidelines established by the
464
court and published on the judicial branch web- from disclosure by rule, statute, court order or
site. The electronic version shall be submitted case law, shall be filed with the appellate clerk.
prior to the timely filing of the party’s paper brief (P.B. 1978-1997, Sec. 4064A.) (Amended June 7, 2001,
and appendix pursuant to subsection (h) of this to take effect Sept. 1, 2001; amended Jan. 29, 2009, to take
effect March 1, 2009; amended June 2, 2010, to take effect
section. A party who is not represented by counsel Jan. 1, 2011; amended June 5, 2013, to take effect July 1,
is not required to submit an electronic version of 2013; amended June 18, 2014, to take effect Sept. 1, 2014;
his or her brief and appendix. Counsel must certify amended Sept. 16, 2015, to take effect Jan. 1, 2016.)
that electronically submitted briefs and appendi- HISTORY—2016: In 2016, in subsection (i), in item (1), ‘‘in
ces: (1) have been delivered electronically to the compliance with Section 62-7’’ was deleted after ‘‘appeal’’ and
last known e-mail address of each counsel of was moved to follow ‘‘record.’’ Also in 2016, what are now the
record for whom an e-mail address has been pro- second and third sentences were added to subsection (i). Prior
to 2016, subsection (k) read: ‘‘Any request for deviation from
vided; and (2) have been redacted or do not con- the above requirements shall be addressed in writing to the
tain any names or other personal identifying appellate clerk.’’
information that is prohibited from disclosure by
rule, statute, court order or case law. Sec. 67-3. Page Limitations; Time for Filing
(h) If the appeal is in the supreme court, the Briefs
original and fifteen legible photocopies of each (Applicable to appeals filed before July 1, 2013.)
brief and appendix, if any, shall be filed with the Except as otherwise ordered, the brief of the
appellate clerk. If the appeal is in the appellate appellant shall not exceed thirty-five pages and
court, the original and ten legible photocopies of shall be filed within forty-five days after the deliv-
each brief and appendix, if any, shall be filed with ery date of the transcript ordered by the appellant.
the appellate clerk. In cases where no transcript is required or the
(i) The original and all copies of the brief filed transcript has been received by the appellant prior
with the supreme court or the appellate court must to the filing of the appeal, the appellant’s brief
be accompanied by: (1) certification that a copy shall be filed within forty-five days of the filing of
of the brief and appendix has been sent to each the appeal.
counsel of record in compliance with Section 62- The delivery date of the paper—not electronic—
7 and to any trial judge who rendered a decision transcript shall be used, where applicable, in
that is the subject matter of the appeal; (2) certifi- determining the filing date of briefs.
cation that the brief and appendix being filed with Any party whose interest in the judgment will
the appellate clerk are true copies of the brief not be affected by the appeal and who intends
and appendix that were submitted electronically not to file a brief shall inform the appellate clerk
pursuant to subsection (g) of this section; (3) certi- of this intent prior to the deadline for the filing of
fication that the brief and appendix have been the appellee’s brief. In the case of multiple appel-
redacted or do not contain any names or other lees, an appellee who supports the position of the
personal identifying information that is prohibited appellant shall meet the appellant’s time schedule
from disclosure by rule, statute, court order or for filing a brief.
case law; and (4) certification that the brief com- Except as otherwise ordered, the brief of the
plies with all provisions of this rule. The certifica- appellee shall not exceed thirty-five pages, and
tion that a copy of the brief and appendix has shall be filed within thirty days after the filing of
been sent to each counsel of record in compliance the appellant’s brief or the delivery date of the
with Section 62-7, and to any trial judge who ren- portions of the transcript ordered only by that
dered a decision that is the subject matter of the appellee, whichever is later.
appeal may be signed by counsel of record or The appellant may within twenty days after the
the printing service, if any. All other certifications filing of the appellee’s brief file a reply brief which
pursuant to this subsection shall be signed by shall not exceed fifteen pages.
counsel of record only. Where there is a cross appeal, the brief of the
(j) A copy of the electronic confirmation receipt cross appellant shall be combined with the brief
indicating that the brief and appendix were submit- of the appellee, and this brief shall not exceed fifty
ted electronically in compliance with subsection pages, and shall be filed at the time the appellee’s
(g) of this section shall be filed with the original brief is due. The brief of the cross appellee shall
brief. be combined with the appellant’s reply brief, if
(k) Any request for deviation from the above any, and this brief shall not exceed forty pages
requirements, including requests to deviate from and shall be filed within thirty days after the filing
the requirement to redact or omit personal identi- of the original appellee’s brief. The cross appellant
fying information or information that is prohibited may within twenty days after the filing of the cross
465
appellee’s brief file a cross appellant’s reply brief after the filing of the appellant’s brief or the deliv-
which shall not exceed fifteen pages. ery date of the portions of the transcript ordered
Where cases are consolidated or a joint appeal only by that appellee, whichever is later.
has been filed, the brief of the appellants and The appellant may within twenty days after the
that of the appellees shall not exceed the page filing of the appellee’s brief file a reply brief which
limitations specified above. shall not exceed fifteen pages.
All page limitations shall be exclusive of appen- Where there is a cross appeal, the brief and
dices, the statement of issues, the table of authori- appendix of the cross appellant shall be combined
ties, the table of contents, if any, and, in the case with the brief and appendix of the appellee. The
of an amicus brief, the statement of the interest brief shall not exceed fifty pages and shall be filed
of the amicus curiae required by Section 67-7. The with any appendix at the time the appellee’s brief
last page of a brief shall likewise not be counted if is due. The brief and appendix of the cross appel-
it contains only the signature of counsel of record. lee shall be combined with the appellant’s reply
Briefs shall not exceed the page limitations set brief, if any. This brief shall not exceed forty pages
forth herein except by permission of the chief jus- and shall be filed within thirty days after the filing
tice or chief judge. Requests for permission to of the original appellee’s brief. The cross appellant
exceed the page limitations shall be made by let- may within twenty days after the filing of the cross
ter, filed with the appellate clerk, stating both the appellee’s brief file a cross appellant’s reply brief
compelling reason for the request and the number which shall not exceed fifteen pages.
of additional pages sought.
Where cases are consolidated or a joint appeal
Where a claim relies on the state constitution
has been filed, the brief of the appellants and
as an independent ground for relief, the clerk shall,
that of the appellees shall not exceed the page
upon request by letter, grant an additional five
pages for the appellant and appellee briefs, and limitations specified above.
an additional two pages for the reply brief, which All page limitations shall be exclusive of appen-
pages are to be used for the state constitutional dices, the statement of issues, the table of authori-
argument only. ties, the table of contents, if any, and, in the case
(P.B. 1978-1997, Sec. 4064B.) (Amended June 2, 2010, of an amicus brief, the statement of the interest
to take effect Jan. 1, 2011.) of the amicus curiae required by Section 67-7. The
last page of a brief shall likewise not be counted if
Sec. 67-3. Page Limitations; Time for Filing it contains only the signature of counsel of record.
Briefs and Appendices Briefs shall not exceed the page limitations set
(Applicable to appeals filed on or after July 1, 2013.) forth herein except by permission of the chief jus-
(Amended June 5, 2013, to take effect July 1, 2013.)
tice or chief judge. Requests for permission to
Except as otherwise ordered, the brief of the
exceed the page limitations shall be filed with the
appellant shall not exceed thirty-five pages and
shall be filed with the appendix within forty-five appellate clerk, stating both the compelling reason
days after the delivery date of the transcript for the request and the number of additional
ordered by the appellant. In cases where no tran- pages sought.
script is required or the transcript has been Where a claim relies on the state constitution
received by the appellant prior to the filing of the as an independent ground for relief, the clerk shall,
appeal, the appellant’s brief and appendix shall upon request, grant an additional five pages for
be filed within forty-five days of the filing of the the appellant and appellee briefs, and an addi-
appeal. tional two pages for the reply brief, which pages
The delivery date of the paper-not electronic- are to be used for the state constitutional argu-
transcript shall be used, where applicable, in ment only.
determining the filing date of briefs. (P.B. 1978-1997, Sec. 4064B.) (Amended June 2, 2010,
Any party whose interest in the judgment will to take effect Jan. 1, 2011; amended June 5, 2013, to take
effect July 1, 2013; amended Sept. 16, 2015, to take effect
not be affected by the appeal and who intends Jan. 1, 2016.)
not to file a brief shall inform the appellate clerk HISTORY—2016: In 2016, in the second sentence of the
of this intent prior to the deadline for the filing of ninth paragraph, ‘‘made by letter,’’ was deleted after ‘‘shall
the appellee’s brief. In the case of multiple appel- be.’’ In addition, in the final sentence of this section, ‘‘by letter’’
lees, an appellee who supports the position of the was deleted after ‘‘request.’’
appellant shall meet the appellant’s time schedule
for filing a brief. Sec. 67-4. The Appellant’s Brief; Contents
Except as otherwise ordered, the brief of the and Organization
appellee shall not exceed thirty-five pages, and (Applicable to appeals filed before July 1, 2013.)
shall be filed with any appendix within thirty days The appellant’s brief shall contain the following:
466
(a) A concise statement setting forth, in sepa- (4) When error is claimed in any other ruling in
rately numbered paragraphs, without detail or dis- a court or jury case, the brief or appendix shall
cussion, the principal issue or issues involved in include the pertinent motion or pleading as well
the appeal, with appropriate references to the as any other pertinent documents which are a part
page or pages of the brief where the issue is of the trial court case file but are not included in
discussed, pursuant to subsection (d) hereof. The the record.
court may refuse to receive a brief not complying (5) When the basis of an evidentiary or other
with this requirement. Such statement shall be ruling referred to in subsection (d) (3) or (d) (4)
deemed in replacement of and shall supersede cannot be understood without knowledge of the
the preliminary statement of issues. evidence or proceeding which preceded or fol-
(b) A table of authorities cited in the brief, with lowed the ruling, a brief narrative or verbatim
references to the page or pages of the brief where statement of the evidence or proceeding should
the citations to those authorities appear. Citations be made. A verbatim excerpt from the transcript
shall be in the form provided in Section 67-11. should not be used if a narrative statement will
(c) A statement of the nature of the proceedings suffice. When the same ruling is repeated, the
and of the facts of the case bearing on the issues brief should contain only a single ruling unless
raised. The statement of facts shall be in narrative the other rulings are further illustrative of the rule
form, shall be supported by appropriate refer- which determined the action of the trial court or
ences to the page or pages of the transcript or to establish the materiality or harmfulness of the
the document upon which the party relies and error claimed. The statement of rulings in the brief
shall not be unnecessarily detailed or voluminous. shall include appropriate references to the page
(d) The argument, divided under appropriate or pages of the transcript.
headings into as many parts as there are points (e) A short conclusion stating the precise
to be presented, with appropriate references to relief sought.
the statement of facts or to the page or pages of (f) The text of the pertinent portions of any con-
the transcript or to the relevant document. The stitutional provision, statute, ordinance or regula-
argument on each point shall include a separate, tion at issue or on which the appellant relies. Such
brief statement of the standard of review the text need not be included in the brief if it is included
appellant believes should be applied. in the appendix to the appellant’s brief.
(1) When error is claimed in the trial court’s (g) In appeals filed pursuant to Section 81-4, a
refusal to charge the jury as requested, the party statement identifying the version of the land use
claiming such error shall include in the brief of regulations filed with the appellate clerk.
that party or the appendix thereto a verbatim The brief shall be organized in the following
statement of the relevant portions of the charge order: table of contents, if any; statement of
as requested and as given by the court and any issues; table of authorities; if the appeal was filed
relevant exceptions to the charge as given and pursuant to Section 81-4, statement identifying
shall recite in narrative form any evidence which version of land use regulations filed with the
it is claimed would entitle that party to the charge appellate clerk; if amicus, statement of interest of
as requested, with appropriate references to the the amicus curiae; statement of facts; argument;
page or pages of the transcript. conclusion and statement of relief requested; sig-
(2) When error is claimed in the charge to the nature; and certification pursuant to Section 62-7.
jury, the brief or appendix shall include a verbatim (P.B. 1978-1997, Sec. 4064C.) (Amended July 21, 1999,
statement of all relevant portions of the charge to take effect Jan. 1, 2000; amended July 24, 2002, to take
effect Oct. 1, 2002; amended July 30, 2009, to take effect Jan.
and all relevant exceptions to the charge. Unless 1, 2010; amended June 2, 2010, to take effect Jan. 1, 2011.)
essential to review of a claimed error, a verbatim
statement of the entire charge to the jury should Sec. 67-4. The Appellant’s Brief; Contents
not be included in the brief or appendix. Evidence and Organization
relevant to the claimed error shall be recited in (Applicable to appeals filed on or after July 1, 2013.)
narrative form with appropriate references to the The appellant’s brief shall contain the following:
page or pages of the transcript. (a) A concise statement setting forth, in sepa-
(3) When error is claimed in any evidentiary rately numbered paragraphs, without detail or dis-
ruling in a court or jury case, the brief or appendix cussion, the principal issue or issues involved in
shall include a verbatim statement of the following: the appeal, with appropriate references to the
the question or offer of exhibit; the objection and page or pages of the brief where the issue is
the ground on which it was based; the ground on discussed, pursuant to subsection (d) hereof. The
which the evidence was claimed to be admissible; court may refuse to receive a brief not complying
the answer, if any; and the ruling. with this requirement. Such statement shall be
467
deemed in replacement of and shall supersede evidence or proceeding which preceded or fol-
the preliminary statement of issues. lowed the ruling, a brief narrative or verbatim
(b) A table of authorities cited in the brief, with statement of the evidence or proceeding should
references to the page or pages of the brief where be made. A verbatim excerpt from the transcript
the citations to those authorities appear. Citations should not be used if a narrative statement will
shall be in the form provided in Section 67-11. suffice. When the same ruling is repeated, the
(c) A statement of the nature of the proceedings brief should contain only a single ruling unless
and of the facts of the case bearing on the issues the other rulings are further illustrative of the rule
raised. The statement of facts shall be in narrative which determined the action of the trial court or
form, shall be supported by appropriate refer- establish the materiality or harmfulness of the
ences to the page or pages of the transcript or to error claimed. The statement of rulings in the brief
the document upon which the party relies and shall include appropriate references to the page
shall not be unnecessarily detailed or voluminous. or pages of the transcript.
(d) The argument, divided under appropriate (e) A short conclusion stating the precise
headings into as many parts as there are points relief sought.
to be presented, with appropriate references to (f) The text of the pertinent portions of any con-
the statement of facts or to the page or pages of stitutional provision, statute, ordinance or regula-
the transcript or to the relevant document. The tion at issue or on which the appellant relies. Such
argument on each point shall include a separate, text need not be included in the brief if it is included
brief statement of the standard of review the in the appendix to the appellant’s brief.
appellant believes should be applied. (g) In appeals filed pursuant to Section 81-4, a
(1) When error is claimed in the trial court’s statement identifying the version of the land use
refusal to charge the jury as requested, the party regulations filed with the appellate clerk.
claiming such error shall include in the brief of (h) The appellant’s brief shall be organized in
that party or the appendix thereto a verbatim the following order: table of contents, if any; state-
statement of the relevant portions of the charge ment of issues; table of authorities; if the appeal
as requested and as given by the court and any was filed pursuant to Section 81-4, statement
relevant exceptions to the charge as given and identifying version of land use regulations filed
shall recite in narrative form any evidence which with the appellate clerk; statement of facts; argu-
it is claimed would entitle that party to the charge ment; conclusion and statement of relief
as requested, with appropriate references to the requested; signature; and certification pursuant to
page or pages of the transcript. Section 62-7.
(2) When error is claimed in the charge to the (P.B. 1978-1997, Sec. 4064C.) (Amended July 21, 1999,
jury, the brief or appendix shall include a verbatim to take effect Jan. 1, 2000; amended July 24, 2002, to take
effect Oct. 1, 2002; amended July 30, 2009, to take effect
statement of all relevant portions of the charge Jan. 1, 2010; amended June 2, 2010, to take effect Jan. 1,
and all relevant exceptions to the charge. Unless 2011; amended June 5, 2013, to take effect July 1, 2013.)
essential to review of a claimed error, a verbatim
statement of the entire charge to the jury should Sec. 67-5. The Appellee’s Brief; Contents
not be included in the brief or appendix. Evidence and Organization
relevant to the claimed error shall be recited in (Applicable to appeals filed before July 1, 2013.)
narrative form with appropriate references to the The brief of the appellee shall contain, in a form
page or pages of the transcript. corresponding to that stated in Section 67-4,
(3) When error is claimed in any evidentiary the following:
ruling in a court or jury case, the brief or appendix (a) A counter statement of any issue involved
shall include a verbatim statement of the following: as to which the appellee disagrees with the state-
the question or offer of exhibit; the objection and ment of the appellant or a statement of any other
the ground on which it was based; the ground on grounds which were properly raised by an appel-
which the evidence was claimed to be admissible; lee under Section 63-4. Such statement shall be
the answer, if any; and the ruling. deemed in replacement of and shall supersede
(4) When error is claimed in any other ruling in the preliminary statement of the issues.
a court or jury case, the brief or appendix shall (b) A table of authorities cited in the brief, with
include the pertinent motion or pleading as well references to the page or pages of the brief where
as any other pertinent documents which are a part the citations to those authorities appear. Citations
of the record of the proceedings below. shall be in the form provided in Section 67-11.
(5) When the basis of an evidentiary or other (c) A counter statement of any fact as to which
ruling referred to in subsection (d) (3) or (d) (4) the appellee disagrees with the statement of the
cannot be understood without knowledge of the appellant. The counter statement of facts shall
468
be in narrative form and shall be supported by 1, 2006; amended July 30, 2009, to take effect Jan. 1, 2010;
appropriate references to the page or pages of amended June 2, 2010, to take effect Jan. 1, 2011.)
the transcript or to the relevant document upon Sec. 67-5. The Appellee’s Brief; Contents
which the appellee relies. An appellee may not and Organization
rely on any fact unless it is set forth in the appel-
(Applicable to appeals filed on or after July 1, 2013.)
lee’s counter statement of facts or in the appel-
lant’s statement of facts or is incorporated in any The brief of the appellee shall contain, in a form
brief of the parties in accordance with Section corresponding to that stated in Section 67-4,
67-4 (d) or with subsection (d) hereof. the following:
(d) The argument of the appellee, divided as (a) A counter statement of any issue involved
provided in Section 67-4 (d). The argument on as to which the appellee disagrees with the state-
each point shall include a separate, brief statement of the appellant or a statement of any other
ment of the standard of review the appellee grounds which were properly raised by an appel-
believes should be applied. The argument may lee under Section 63-4. Such statement shall be
augment or take exception to the appellant’s pre- deemed in replacement of and shall supersede
sentation of rulings or the charge by reference to the preliminary statement of the issues.
any relevant part of the court’s charge or any other (b) A table of authorities cited in the brief, with
evidence in narrative or verbatim form which is references to the page or pages of the brief where
relevant to such question, with appropriate refer- the citations to those authorities appear. Citations
ences to the statements of facts or to the page shall be in the form provided in Section 67-11.
or pages of the transcript or to the relevant (c) A counter statement of any fact as to which
document. the appellee disagrees with the statement of the
(e) Claims, if any, directed to any rulings or appellant. The counter statement of facts shall
decisions of the trial court adverse to the appellee. be in narrative form and shall be supported by
These shall be made in the manner provided in appropriate references to the page or pages of
Section 67-4 (d). the transcript or to the relevant document upon
(f) A short conclusion stating the precise which the appellee relies. An appellee may not
relief sought. rely on any fact unless it is set forth in the appel-
(g) The text of the pertinent portions of any lee’s counter statement of facts or in the appel-
constitutional provision, statute, ordinance or reg- lant’s statement of facts or is incorporated in any
ulation at issue or on which the appellee relies. brief of the parties in accordance with Section
Such text need not be included in the brief if it is 67-4 (d) or with subsection (d) hereof.
included in the appellant’s brief or appendix or in (d) The argument of the appellee, divided as
the appendix to the appellee’s brief. provided in Section 67-4 (d). The argument on
(h) In appeals filed pursuant to Section 81-4, a each point shall include a separate, brief state-
statement as to whether the appellee disputes ment of the standard of review the appellee
the applicability of the version of the land use believes should be applied. The argument may
regulations filed with the appellate clerk. If the augment or take exception to the appellant’s pre-
appellee disputes the applicability of such regula- sentation of rulings or the charge by reference to
tions, it shall set forth its basis for maintaining that any relevant part of the court’s charge or any other
such regulations do not apply. evidence in narrative or verbatim form which is
relevant to such question, with appropriate refer-
The brief shall be organized in the following
ences to the statements of facts or to the page
order: table of contents, if any; statement of
or pages of the transcript or to the relevant
issues; table of authorities; if amicus, statement
document.
of interest of the amicus curiae; statement of facts;
argument; conclusion and statement of relief (e) Claims, if any, directed to any rulings or
requested; signature; and certification pursuant to decisions of the trial court adverse to the appellee.
Section 62-7. These shall be made in the manner provided in
Section 67-4 (d).
(i) When the appellee is also the cross appel-
lant, the issues on the cross appeal shall be (f) A short conclusion stating the precise
briefed in accordance with Section 67-4. In such relief sought.
a case, the briefs shall clearly label which sections (g) The text of the pertinent portions of any
of the brief refer to the appeal and which refer to constitutional provision, statute, ordinance or reg-
the cross appeal. ulation at issue or on which the appellee relies.
(P.B. 1978-1997, Sec. 4064D.) (Amended July 21, 1999, Such text need not be included in the brief if it is
to take effect Jan. 1, 2000; amended July 24, 2002, to take included in the appellant’s brief or appendix or in
effect Oct. 1, 2002; amended June 2, 2005, to take effect Jan. the appendix to the appellee’s brief.
469
(h) In appeals filed pursuant to Section 81-4, a whether or not the death penalty has been
statement as to whether the appellee disputes imposed, shall be deemed eligible for consider-
the applicability of the version of the land use ation as ‘‘similar cases,’’ unless the court, on appli-
regulations filed with the appellate clerk. If the cation of a party claiming that the resulting pool of
appellee disputes the applicability of such regula- eligible cases is inadequate for disproportionality
tions, it shall set forth its basis for maintaining that review, shall modify this limitation in a particular
such regulations do not apply. case. Any such application shall identify the addi-
(i) The appellee’s brief shall be organized in the tional case or cases claimed to be similar and set
following order: table of contents, if any; statement forth, in addition to the circumstances of the crime
of issues; table of authorities; statement of facts; and the character and record of the defendant
argument; conclusion and statement of relief involved, the provisions of the applicable statutes
requested; signature; and certification pursuant to pertaining to the imposition of the death penalty
Section 62-7. with citations of pertinent decisions interpreting
(j) When the appellee is also the cross appel- such provisions.
lant, the issues on the cross appeal shall be Any such application shall be filed within thirty
briefed in accordance with Section 67-4. In such days after the delivery date of the transcript
a case, the briefs shall clearly label which sections ordered by the appellant, or, if no transcript is
of the brief refer to the appeal and which refer to required or the transcript has been received by
the cross appeal. the appellant prior to the filing of the appeal, such
(P.B. 1978-1997, Sec. 4064D.) (Amended July 21, 1999, application shall be filed within thirty days after
to take effect Jan. 1, 2000; amended July 24, 2002, to take
effect Oct. 1, 2002; amended June 2, 2005, to take effect Jan.
filing the appeal.
(P.B. 1978-1997, Sec. 4064E.)
1, 2006; amended July 30, 2009, to take effect Jan. 1, 2010;
June 5, 2013, to take effect July 1, 2013.)
Sec. 67-7. The Amicus Curiae Brief
A brief of an amicus curiae in cases before the
Sec. 67-6. Statutory (§ 53a-46b) Review of court on the merits may be filed only with the
Death Sentences permission of the court. An application for permis-
(a) When a sentence of death has been sion to appear as amicus curiae and to file a brief
imposed upon a defendant, following a conviction shall be filed within twenty days after the filing of
of a capital felony in violation of General Statutes the brief of the party, if any, whom the applicant
§ 53a-54b and the hearing upon imposition of the intends to support, and if there is no such party,
death penalty pursuant to General Statutes § 53a- then the application shall be filed no later than
46a, the briefs of the parties shall include a discus- twenty days after the filing of the appellee’s brief.
sion of the issues set forth in General Statutes The application shall state concisely the nature
§ 53a-46b (b), to wit, whether (1) the sentence of the applicant’s interest and the reasons why a
was the product of passion, prejudice or any other brief of an amicus curiae should be allowed. The
arbitrary factor; (2) the evidence fails to support length of the brief shall not exceed ten pages
the finding of an aggravating circumstance speci- unless a specific request is made for a brief of
fied in subsection (h) of § 53a-46a; and (3) the more than that length. The application shall con-
sentence is excessive or disproportionate to the form to the requirements set forth in Sections 66-
penalty imposed in similar cases, considering 2 and 66-3. The amicus application should specifi-
both the circumstances of the crime and the char- cally set forth reasons to justify the filing of a brief
acter and record of the defendant. in excess of ten pages. A party in receipt of an
(b) For the purpose of reviewing the issue of application may, within ten days after the filing of
disproportionality pursuant to General Statutes the application, file an objection concisely stating
§ 53a-46b (b), the briefs of the parties shall con- the reasons therefor.
tain appendices setting forth the circumstances All briefs filed under this section shall comply
of the crimes that are claimed to be similar to that with the applicable provisions of this chapter and
of which the defendant has been convicted and shall set forth the interest of the amicus curiae.
the characters and records of the defendants An amicus curiae may argue orally only when
involved therein so far as these are ascertainable a specific request for such permission is granted
from the transcripts of those trials and hearings by the court in which the appeal is pending.
on the imposition of the death penalty or may be With the exception of briefs filed by the attorney
judicially noticed. Only those capital felony cases general as provided by this rule, all briefs shall
that have been prosecuted in this state after Octo- indicate whether counsel for a party wrote the
ber 1, 1973, and in which hearings on the imposi- brief in whole or in part and whether such counsel
tion of the death penalty have taken place, or a party contributed to the cost of the preparation
470
or submission of the brief and shall identify those have at its beginning a table of contents of any
persons, other than the amicus curiae, its mem- papers in it and shall also have an index of the
bers or its counsel, who made such monetary names of witnesses whose testimony is cited
contribution. The disclosure shall be made in the within it. If any part of the testimony of a witness
first footnote on the first page of text. is omitted, this shall be indicated by asterisks.
Except for habeas corpus matters based on After giving the name of a witness, the party who
criminal convictions, if an appeal in a noncriminal called that witness shall be designated and it shall
matter involves an attack on the constitutionality be stated whether the testimony quoted was given
of a state statute, the attorney general may appear on direct, cross or other examination.
and file a brief amicus curiae as of right. Any such (P.B. 1978-1997, Sec. 4064G.) (Amended Jan. 29, 2009,
appearance by the attorney general shall be filed to take effect March 1, 2009.)
no later than the date on which the brief of the Sec. 67-8. The Appendix; Contents and
party that the attorney general supports is filed, Organization
and the attorney general’s brief will be due twenty (Applicable to appeals filed on or after July 1, 2013.)
days after the filing of the brief of the party that (a) An appendix shall be prepared in accord-
the attorney general supports. ance with Section 67-2.
(P.B. 1978-1997, Sec. 4064F.) (Amended June 17, 2008,
(b) The appellant’s appendix shall be divided
to take effect Jan. 1, 2009; amended Sept. 16, 2015, to take
effect Jan. 1, 2016.) into two parts.
HISTORY—2016: Prior to 2016, the last sentence of the (1) Part one of the appellant’s appendix shall
second paragraph read: ‘‘A party served with an application contain: a table of contents giving the title or
may within ten days after the filing of the application file an nature of each item included; the docket sheets,
objection concisely stating the reasons therefor.’’ Also, prior a case detail, or court action entries in the pro-
to 2016, the final sentence of this section read: ‘‘Notice of the ceedings below; in chronological order, all rele-
attorney general’s intention to appear and to file a brief shall
be given to the appellate clerk and all parties no later than
vant pleadings, motions, requests, findings, and
the date on which the brief of the party that the attorney general opinions or decisions of the trial court or other
supports is filed, and the attorney general’s brief will be due decision-making body (see Sections 64-1 and 64-
twenty days after the filing of the brief of the party that the 2); the signed judgment file, if applicable, pre-
attorney general supports.’’ pared in the form prescribed by Section 6-2 et
seq.; the appeal form, in accordance with Section
Sec. 67-8. The Appendix 63-3; the docketing statement filed pursuant to
(Applicable to appeals filed before July 1, 2013.) Section 63-4 (a) (3); any relevant appellate
No appendix is required in either a court or a motions or orders that complete or perfect the
jury case, except where an opinion is cited that record on appeal; and, in appeals to the supreme
is not officially published, in which case the text court upon grant of certification for review, the
of the opinion must be included in the appendix. order granting certification and the opinion or
An appendix may be used to excerpt lengthy order of the appellate court under review. In
exhibits or quotations from the transcripts or to administrative appeals, part one of the appellant’s
comply with the provisions of Section 67-4 sub- appendix also shall meet the requirements of Sec-
sections (d) or (e). To reproduce a full transcript tion 67-8A (a). In criminal or habeas appeals filed
or lengthy exhibit when an excerpt would suffice by incarcerated self-represented parties, part one
is a misuse of an appendix. If use of any appendix of the appendix shall be prepared by the appellee.
is indicated, all materials must be included in a See Section 68-1. In these appeals, the filing of an
single appendix. appendix by incarcerated self-represented parties
The appendix shall be prepared in accordance shall be in accordance with subsection (c) of
with Section 67-2. An appendix shall be paginated this rule.
separately from the brief and may be bound with (2) Part two of the appellant’s appendix may
it or separately. Where, however, binding the brief contain any other portions of the proceedings
and appendix together would affect the integrity below that the appellant deems necessary for the
of the binding or where the appendix exceeds one proper presentation of the issues on appeal. Part
hundred numbered pages, the appendix and brief two of the appellant’s appendix may be used to
shall be bound separately. Pages of an appendix excerpt lengthy exhibits or quotations from the
shall be numbered consecutively and be pre- transcripts or to comply with other provisions of
ceded by the letter ‘‘A’’ (e.g., A1 . . . A25 . . . A53). the Practice Book that require the inclusion of
An appendix of any length may be reproduced certain materials in the appendix. To reproduce
on both sides of a page; an appendix, however, a full transcript or lengthy exhibit when an excerpt
in excess of fifty numbered pages must be repro- would suffice is a misuse of an appendix. Where
duced on both sides of a page. An appendix shall an opinion is cited that is not officially published,
471
the text of the opinion shall be included in part COMMENTARY—2016: Effective January 1, 2016, the
two of the appendix. appellant’s appendix must include a copy of the signed judg-
ment file, prepared in accordance with Sections 6-2 and 6-3.
(c) The appellee’s appendix should not include This requirement replaces the former requirement to file a
the portions of the proceedings below already draft judgment file pursuant to Section 63-4. It is the appellant’s
included in the appellant’s appendix. If the appel- responsibility to contact the trial court in order to obtain a copy
lee determines that part one of the appellant’s of the signed judgment file well in advance of the date for filing
appendix does not contain portions of the pro- the appendix.
ceedings below, the appellee shall include any
such items that are required to be included pursu- Sec. 67-8A. The Appendix in Administrative
ant to Section 67-8 (b) (1) in part one of its appen- Appeals; Exceptions
dix. Where an appellee cites an opinion that is (Applicable to appeals filed on or after July 1, 2013.) [Trans-
not officially published and is not included in the ferred from Section 68-10.]
appellant’s appendix, the text of the opinion shall (a) Except as provided in subsection (c), in
be included in part two of the appellee’s appendix. appeals from administrative agencies, part one of
Part two of the appellee’s appendix may also con- the appellant’s appendix shall include the materi-
tain any other portions of the proceedings below als required by Section 67-8, the part of the return
that the appellee deems necessary for the proper of the administrative agency which identifies the
presentation of the issues on appeal. papers returned to the trial court, and also such
(d) In appeals where personal identifying infor- of the papers returned as consist of: (1) the appli-
mation is protected by rule, statute, court order or cation or appeal to the agency; (2) the notice of
case law, and in appeals that have been ordered hearing and the affidavit of publication, if they are
sealed in part or in their entirety or are subject to in issue on the appeal; and (3) any minutes or
limited disclosure pursuant to Section 77-2, all decision showing the action taken by the agency,
briefs and appendices shall be prepared in the reasons assigned for that action, and any find-
accordance with Section 67-1. ings and conclusions of fact made by the agency.
(P.B. 1978-1997, Sec. 4064G.) (Amended Jan. 29, 2009, (b) The appellee’s appendix, if any, shall be
to take effect March 1, 2009; amended June 5, 2013, to take prepared in accordance with the provisions of
effect July 1, 2013; amended Sept. 16, 2015, to take effect Section 67-8 (c).
Jan. 1, 2016.)
COMMENTARY—July, 2013: The appellate clerk pre- (c) Subsection (a) shall not apply to the follow-
viously had responsibility for compiling the prepared record. ing administrative appeals:
This rule has been amended to reflect that documents pre- (1) Appeals from municipal boards of tax review
viously contained in the prepared record should now be filed pursuant to General Statutes §§ 12-117a and
included in part one of the appellant’s appendix. The appellant 12-119.
should include nothing in part one of the appendix which is
not necessary for the proper presentation of the issues and (2) Appeals from municipal assessors filed pur-
was not part of the proceedings below. suant to General Statutes § 12-103.
Generally, the appellate clerk did not include in the prepared (3) Appeals from the commissioner of reve-
record lengthy memoranda of law in support of motions, objec- nue services.
tions and replies, and that material should not be contained (4) Appeals from the insurance commissioner
in part one of the appendix. In addition, the appellate clerk
did not include lengthy exhibits attached to included complaints filed pursuant to General Statutes § 38a-139.
or motions that were not relevant to the issues on appeal. (5) Any other appeal in which the parties
In the past, the prepared record always contained affidavits received a trial de novo in the superior court.
attached to included motions for summary judgment, as well The appendices in these matters shall be pre-
as some affidavits attached to other motions deemed relevant
to the issues on appeal. No officer’s return or exhibit shall be
pared in accordance with the provisions of Section
included in part one of the appendix unless it is at issue in 67-8.
the appeal. (Adopted June 5, 2013, to take effect July 1, 2013; amended
The appellant must file part one of the appendix in all Sept. 16, 2015, to take effect Jan. 1, 2016.)
appeals, with the exception of criminal and habeas appeals HISTORY—2016: In 2016, in subsection (c), three
filed by incarcerated self-represented parties, in which case instances of ‘‘taken’’ were replaced with ‘‘filed’’: in subdivision
part one is filed by the appellee. In all other cases, the appellee (1) after ‘‘review’’; in subdivision (2) after ‘‘assessors’’; and in
is not required to file part one of the appendix unless the subdivision (4) after ‘‘commissioner.’’
appellee believes that part one of the appellant’s appendix is
incomplete or inadequate. Part two of the appendix is optional Sec. 67-9. Citation of Unreported Decisions
for all parties. (Applicable to appeals filed before July 1, 2013.)
HISTORY—2016: In 2016, in subsection (b) (1), ‘‘signed’’ A decision not officially reported may be cited
was added before ‘‘judgment file’’ and ‘‘, if applicable, prepared
in the form prescribed by Section 6-2 et seq.’’ was added before the court only if the person making refer-
thereafter. Also in subsection (b) (1), ‘‘endorsed’’ was deleted ence to it provides the court and opposing counsel
before ‘‘appeal form.’’ with copies of the decision. If it is cited in a brief,
472
a copy of the text of the decision must be included Edition, or United States Law Week, in that order
in the appendix to the brief. of preference.
(P.B. 1978-1997, Sec. 4064H.) (b) In the argument portion of a brief, citations to
Sec. 67-9. Citation of Unreported Decisions Connecticut cases shall be to the official reporter
[Repealed only as to appeals filed on or after only. Citations to other state cases may be to
July 1, 2013.] either the official reporter or the regional reporter.
United States Supreme Court cases should be
Sec. 67-10. Citation of Supplemental cited as they appear in the table of authorities.
Authorities after Brief Is Filed (c) If a case is not available in print and is avail-
When pertinent and significant authorities come able on an electronic database, such as LEXIS,
to the attention of a party after the party’s brief Westlaw, CaseBase or LOIS, the case shall be
has been filed, or after oral argument but before cited to that database. In the table of authorities,
decision, a party may promptly file with the appel- citations to such cases shall include the case
late clerk a notice listing such supplemental name; docket number; name of the database and,
authorities, including citations, with a copy certi- if applicable, numeric identifiers unique to the
fied to all counsel of record in accordance with database; court name; and full date of the disposi-
Section 62-7. If the authority is an unreported deci- tion of the case. Screen, page or paragraph num-
sion, a copy of the text of the decision must bers shall be preceded by an asterisk. In the
accompany the filing, which shall concisely and argument portion of a brief, such cases shall be
without argument state the relevance of the sup- cited only by name and database. If such a case
plemental citations and shall include, where appli- is published in a print reporter after the filing of
cable, reference to the pertinent page(s) of the the party’s brief, but prior to the case on appeal
brief. Any response shall be made promptly and being orally argued or submitted for decision on
shall be similarly limited.
the record and briefs, the party who cited the unre-
This section may not be used after oral argu-
ment to elaborate on points made or to address ported case shall, by letter, inform the chief clerk
points not made. of the print citation of that case.
(P.B. 1978-1997, Sec. 4064J.) (Amended July 23, 1998, (Adopted July 21, 1999, to take effect Jan. 1, 2000.)
to take effect Jan. 1, 1999; amended July 9, 2008, to take
effect Jan. 1, 2009; amended Sept. 16, 2015, to take effect Sec. 67-12. Stay of Briefing Obligations
Jan. 1, 2016.) upon Filing of Certain Motions after Appeal
HISTORY—2016: Prior to 2016, this section read: ‘‘When Is Filed
pertinent and significant authorities come to the attention of
a party after the party’s brief has been filed, or after oral (Amended Sept. 16, 2015, to take effect Jan. 1, 2016.)
argument but before decision, a party may promptly advise As provided in Section 63-1, if, after an appeal
the appellate clerk of such supplemental authorities, by letter, has been filed but before the appeal period has
with a copy certified to all counsel of record in accordance expired, a motion is filed that would render the
with Section 62-7. The clerk shall be provided with an original
and seven copies of the letter. The letter shall set forth the judgment, decision or acceptance of the verdict
citations of the authorities. If the authority is an unreported ineffective, any party may move to stay the brief-
decision, a copy of the text of the decision must accompany ing obligations of the parties. The appellate clerk
the letter. The letter shall concisely and without argument state may grant such motions for up to sixty days. Any
the relevance of the supplemental citations and shall include,
where applicable, reference to the pertinent page(s) of the
further request for stay must be made by motion
brief. Any response shall be made promptly and shall be simi- to the appellate court having jurisdiction prior to
larly limited. the expiration of the stay granted by the appellate
‘‘This section may not be used after oral argument to elabo- clerk. Such request must describe the status of
rate on points made or to address points not made.’’ the motion in the trial court and must demonstrate
Sec. 67-11. Table of Authorities; Citation of that a resolution of the motion is being actively
Cases pursued. After all such motions have been
(a) In the table of authorities, citations to state decided by the trial court, the appellant shall,
cases shall be to the official reporter first, if avail- within ten days of notice of the ruling on the last
able, followed by the regional reporter. Citations to such outstanding motion, file a notice with the
cases from jurisdictions having no official reporter appellate clerk that such motions have been
shall identify the court rendering the decision. decided, together with a copy of the decisions on
Citations to opinions of the United States any such motions. The filing of such notice shall
Supreme Court shall be to the United States reinstate the appellate obligations of the parties,
Reports, if therein; otherwise, such citations shall and the date of notice of the ruling on the last
be to the Supreme Court Reporter, the Lawyer’s outstanding motion shall be treated as the date
473
of the filing of the appeal for the purpose of briefing Sec. 67-13. Briefs in Family and Juvenile
pursuant to Section 67-3. Matters and Other Matters involving Minor
(Adopted July 21, 1999, to take effect Jan. 1, 2000; Children
amended Sept. 16, 2015, to take effect Jan. 1, 2016.) In family and juvenile matters and other matters
HISTORY—2016: Prior to 2016, this section was titled involving minor children, counsel for the minor
‘‘Stay of Briefing Obligations upon Filing of Certain Motions child and/or counsel for the guardian ad litem
after Appeal Is Taken.’’ In 2016, in the first sentence, ‘‘taken’’ shall, within ten days of the filing of the appellee’s
was deleted and ‘‘filed’’ was substituted after ‘‘has been.’’ In brief, file either: (1) a brief, (2) a statement adopt-
the second and third sentences, in each instance, ‘‘chief’’ was ing the brief of either the appellant or an appellee,
deleted and ‘‘appellate’’ was substituted before ‘‘clerk.’’ In two or (3) a detailed statement that the factual or legal
instances, ‘‘statement’’ was deleted and ‘‘notice’’ was substi- issues on appeal do not implicate the child’s
tuted: the fourth sentence after ‘‘file a’’ and in the fifth sentence interests.
after ‘‘such.’’ (Adopted Nov. 4, 2004, to take effect Jan. 1, 2005.)
474
CHAPTER 68
CASE FILE
(Amended June 5, 2013, to take effect July 1, 2013.)
Sec. Sec.
68-1. Responsibilities of Clerk of the Trial Court regard- 68-6. Record where Several Cases Present Same
ing Copying Case File and Additions to Case Question
File Made after Appeal Is Filed; Exhibits and [Repealed only as to appeals filed on or after July
Lodged Records (Applicable to appeals filed on 1, 2013.]
or after July 1, 2013.) 68-7. Record Filing (Applicable to appeals filed before
68-2. Record Preparation (Applicable to appeals filed July 1, 2013.)
before July 1, 2013.) 68-7. Record Filing
[Repealed only as to appeals filed on or after July
68-2. Record Preparation
1, 2013.]
[Repealed only as to appeals filed on or after July 68-8. Supplements (Applicable to appeals filed before
1, 2013.] July 1, 2013.)
68-3. Record Contents (Applicable to appeals filed 68-8. Supplements
before July 1, 2013.) [Repealed only as to appeals filed on or after July
68-3. Record Contents 1, 2013.]
[Repealed only as to appeals filed on or after July 68-9. Evidence Not to Be Included in Record (Applicable
1, 2013.] to appeals filed before July 1, 2013.)
68-4. Record Format (Applicable to appeals filed before 68-9. Evidence Not to Be Included in Record
July 1, 2013.) [Repealed only as to appeals filed on or after July
68-4. Record Format 1, 2013.]
[Repealed only as to appeals filed on or after July 68-10. Record in Administrative Appeals; Exceptions
1, 2013.] (Applicable to appeals filed before July 1, 2013.)
68-10. Record in Administrative Appeals; Exceptions
68-5. Record where More than One Appeal (Applicable
[Repealed only as to appeals filed on or after July
1, 2013.]
68-5. Record where More than One Appeal (Transferred as of July 1, 2013, to Section 67-8A.)
[Repealed only as to appeals filed on or after July 68-11. Decision to Be Part of Record (Applicable to
1, 2013.] appeals filed before July 1, 2013.)
68-6. Record where Several Cases Present Same 68-11. Decision to Be Part of Record
Question (Applicable to appeals filed before July [Repealed only as to appeals filed on or after July
1, 2013.) 1, 2013.]
Sec. 68-1. Responsibilities of Clerk of the all additions made to the case file after the initial
Trial Court regarding Copying Case File and preparation and transmittal of the case file.
Additions to Case File Made after Appeal Is (b) (1) In criminal appeals filed by incarcerated
Filed; Exhibits and Lodged Records self-represented parties, the clerk of the trial court
(Applicable to appeals filed on or after July 1, 2013.) shall forward to the office of the chief state’s attor-
(Amended Sept. 16, 2015, to take effect Jan. 1, 2016.) ney one complete copy of the case file and all
(a) With the exception of those appeals in which written requests to charge for use in preparing
the contents of the case file consist solely of part one of the appendix pursuant to Section 67-
papers filed by electronic means, the clerk of the 8 (b).
trial court shall, within ten days of the filing of the (2) In habeas appeals filed by incarcerated self-
appeal, prepare and forward to the appellate clerk represented parties, the clerk of the trial court
one complete copy of the case file, including the shall forward to either the office of the chief state’s
case detail page for noncriminal cases and all attorney or the office of the attorney general one
written requests to charge. No omissions may be complete copy of the case file, including the case
made from the case file except upon the authori- detail page and all written requests to charge for
zation of the appellate clerk. The appellate clerk use in preparing part one of the appendix pursuant
may direct the clerk of the trial court to prepare to Section 67-8 (b).
and to forward a case file in any other instance (3) In criminal and habeas appeals filed by
in which it is needed. The clerk of the trial court incarcerated self-represented parties, the office
shall forward to the appellate clerk one copy of of the chief state’s attorney or the office of the
475
attorney general and the clerk of the trial court Sec. 68-2. Record Preparation
may agree that the copy of the case file be pro- [Repealed only as to appeals filed on or after
vided by electronic means. July 1, 2013.]
(c) Each document of the case file must be
numbered, and the file must include a table of Sec. 68-3. Record Contents
contents listing each item entered in the file (Applicable to appeals filed before July 1, 2013.)
according to its number. The appellate clerk, in preparing the record,
(d) In an appeal from an administrative agency, must study the case with sufficient care, must study
the papers returned by the agency to the trial the revised designation of specific pleadings, sub-
court, even though annexed to and incorporated mitted pursuant to Section 63-4 (a) (2), and the brief
by reference in the answer, shall accompany the of the appellant, and may confer with counsel, and,
copies of the file but need not be included in the if necessary, with the clerk of the trial court, to
copies of the file. determine what part of the case file should become
(e) All exhibits in the trial court are deemed the record. The appellate clerk should include
nothing in the record which is not necessary for the
exhibits on appeal and are deemed in the custody
proper presentation of the statement of issues or
of the appellate clerk while the appeal is pending. for the proper presentation of questions reserved.
The appellate clerk shall notify the clerk of the No officer’s return or exhibit, except as provided
trial court of the exhibits required by the court in herein, shall be photocopied unless it is at issue in
which the appeal is pending. Within ten days of the appeal. The record returned to the trial court
such notice, the clerk of the trial court shall trans- by an administrative agency shall, even though
mit those exhibits to the appellate clerk accompa- incorporated by reference in a pleading, not be
nied by a list of all exhibits in the case. The clerk photocopied except to the extent provided in Sec-
of the trial court shall notify all counsel of record tion 68-10. In the discretion of the appellate clerk,
of the transmittal and provide them with a copy exhibits annexed to a pleading may be photocop-
of the exhibit list. The provisions of this paragraph ied so far as they are relevant to any issue pre-
shall apply to records lodged pursuant to Section sented in the appeal and are not excessive in
7-4C. length.
(P.B. 1978-1997, Sec. 4084.) (Amended July 24, 2002, to (P.B. 1978-1997, Sec. 4086.) (Amended Oct. 10, 2001, to
take effect Oct. 1, 2002; amended Oct. 15, 2003, to take effect take effect Jan. 1, 2002.)
Jan. 1, 2004; amended July 30, 2009, to take effect Jan. 1,
2010; amended Jan. 31, 2013, to take effect March 1, 2013; Sec. 68-3. Record Contents
amended June 5, 2013, to take effect July 1, 2013; amended [Repealed only as to appeals filed on or after
Sept. 16, 2015, to take effect Jan. 1, 2016.)
COMMENTARY—July, 2013: Subsection (b) was added in
July 1, 2013.]
July, 2013. The purpose of this amendment is to ensure that Sec. 68-4. Record Format
in criminal appeals and habeas appeals filed by incarcerated (Applicable to appeals filed before July 1, 2013.)
self-represented parties, either the office of the chief state’s
attorney or the office of the attorney general, as the case may
Cases brought to the supreme or appellate
be, will receive a copy of the case file from the clerk of the court otherwise than by writ of error shall be enti-
trial court for purposes of preparing part one of the appendix tled as they were in the judgment of the trial court.
pursuant to Section 67-8 (b). The date when each paper contained in the
HISTORY—2016: Prior to 2016, this section was titled record was filed must be stated.
‘‘Responsibilities of Trial Court Clerk regarding Copying Case The appellant shall prepare a table of contents
File and Additions to Case File Made after Appeal Is Taken; giving the title or nature of each paper in its order
Exhibits and Lodged Records.’’ Also prior to 2016, the fourth
sentence of subsection (e) read: ‘‘The trial court clerk shall
as photocopied.
notify all counsel and self-represented litigants of the transmit- The record shall be photocopied on white 81/2
tal and provide them with a copy of the exhibit list.’’ by 11 inch paper.
The cover of the record shall be yellow.
Sec. 68-2. Record Preparation (P.B. 1978-1997, Sec. 4087.)
Sec. 68-4. Record Format
As soon as possible after the filing of the appel-
lant’s brief, the appellate clerk shall prepare and [Repealed only as to appeals filed on or after
certify the record for use upon the hearing in the July 1, 2013.]
court having appellate jurisdiction of any case the Sec. 68-5. Record where More than One
file of which has been delivered to or prepared Appeal
by such clerk. (Applicable to appeals filed before July 1, 2013.)
Upon certification of the record by the appellate In the discretion of the appellate clerk where
clerk, the appellant shall cause the record to be more than one appeal is taken in a case, such
photocopied in accordance with these rules. clerk may prepare only one record.
(P.B. 1978-1997, Sec. 4085.) (P.B. 1978-1997, Sec. 4090.)
476
Sec. 68-5. Record where More than One filed in court in connection with exceptions to a
Appeal report, and, except as hereinafter provided, evi-
[Repealed only as to appeals filed on or after dence taken before an administrative officer or
July 1, 2013.] board and filed in court in connection with a peti-
tion or an appeal, or admitted at a hearing shall
Sec. 68-6. Record where Several Cases Pre- not be placed in the record except as it is made
sent Same Question a part of a pleading, or of a finding or report in
(Applicable to appeals filed before July 1, 2013.) explanation of a ruling made in the course of a
In the discretion of the appellate clerk where hearing, but it may be presented in the brief as
several cases are pending in which the same provided in Sections 67-1, 67-4 and 67-5. The
question of law is presented, whether between the reproduction of evidence taken before an adminis-
same or different parties, such clerk may prepare trative agency shall be governed by Section 68-
only one record of the pleadings, exhibits, or other 10, and the reproduction of evidence contained
papers which are part of the record in more than in exhibits annexed to pleadings shall be gov-
one of the cases may be included in only one of erned by Section 68-3.
them, with suitable references to the record in that (P.B. 1978-1997, Sec. 4094.)
case made in the records in the other cases.
(P.B. 1978-1997, Sec. 4091.) Sec. 68-9. Evidence Not to Be Included in
Record
Sec. 68-6. Record where Several Cases Pre- [Repealed only as to appeals filed on or after
sent Same Question July 1, 2013.]
[Repealed only as to appeals filed on or after
July 1, 2013.] Sec. 68-10. Record in Administrative
Appeals; Exceptions
Sec. 68-7. Record Filing (Applicable to appeals filed before July 1, 2013.)
(Applicable to appeals filed before July 1, 2013.) (a) Except as provided in subsection (b), in
Within twenty days of the certification of the appeals from administrative agencies, the record
record by the appellate clerk pursuant to Section shall include the part of the return of the adminis-
68-2, the appellant shall file the record in accord- trative agency which identifies the papers
ance with the instructions which accompany it, returned to the trial court, and also such of the
with a certification attached to the original record papers returned as consist of (1) the application
only that a copy thereof has been sent to each or appeal to the agency; (2) the notice of hearing
counsel of record and any trial judge who ren- and the affidavit of publication, if they are in issue
dered a decision that is being challenged on on the appeal; and (3) any minutes or decision
appeal. showing the action taken by the agency, the rea-
(P.B. 1978-1997, Sec. 4092.) (Amended Nov. 4, 2004, to
take effect Jan. 1, 2005.) sons assigned for that action, and any findings
and conclusions of fact made by the agency. The
Sec. 68-7. Record Filing record shall also contain such other portions of
[Repealed only as to appeals filed on or after the returned record as the judge who tried the
July 1, 2013.] case shall order included or as the appellate clerk
finds is needed for the proper presentation of any
Sec. 68-8. Supplements of the issues on the appeal but in no event, unless
(Applicable to appeals filed before July 1, 2013.) the judge who tried the case directs otherwise, the
After the record has been filed, the appellate testimony before the agency or the documentary
clerk shall distribute to each appellate jurist a copy evidence offered at its hearings. Relevant portions
of any supplement to the record. of the record before the agency returned by it to
(P.B. 1978-1997, Sec. 4093.)
the trial court but not included in the record should
Sec. 68-8. Supplements be reproduced in the brief as provided in Sections
[Repealed only as to appeals filed on or after 67-1, 67-4 and 67-5.
July 1, 2013.] (b) Subsection (a) shall not apply to the follow-
ing administrative appeals:
Sec. 68-9. Evidence Not to Be Included in (1) Appeals from municipal boards of tax review
Record taken pursuant to General Statutes §§ 12-117a
(Applicable to appeals filed before July 1, 2013.) and 12-119.
Evidence of witnesses before a court, including (2) Appeals from municipal assessors taken
evidence necessary upon an appeal from the pursuant to General Statutes § 12-103.
denial of a motion to set aside a nonsuit, evidence (3) Appeals from the commissioner of reve-
taken before a committee or state referee and nue services.
477
(4) Appeals from the insurance commissioner Sec. 68-11. Decision to Be Part of Record
taken pursuant to General Statutes § 38a-139.
(5) Any other appeal in which the parties (Applicable to appeals filed before July 1, 2013.)
received a trial de novo in the superior court. The oral or written decision shall become a part
The record in these matters shall be prepared of the record on appeal. See Sections 64-1 and
pursuant to the rules for the preparation of the 64-2.
record in ordinary civil actions.
(P.B. 1978-1997, Sec. 4095.) (P.B. 1978-1997, Sec. 4096.)
Sec. 68-10. Record in Administrative
Appeals; Exceptions Sec. 68-11. Decision to Be Part of Record
[Repealed only as to appeals filed on or after
July 1, 2013.] [Repealed only as to appeals filed on or after
[Transferred as of July 1, 2013, to Section 67-8A.] July 1, 2013.]
478
CHAPTER 69
ASSIGNMENT OF CASES FOR ARGUMENT
Sec. Sec.
69-1. Docket 69-2. Cases Ready for Assignment (Applicable to appeals
69-2. Cases Ready for Assignment (Applicable to appeals filed on or after July 1, 2013.)
filed before July 1, 2013.) 69-3. Time for Assignments; Order of Assignment
Sec. 69-1. Docket notify the appellate clerk of that fact promptly and
(Amended Sept. 16, 2015, to take effect Jan. 1, 2016.) shall not wait until the time scheduled for oral
The appellate clerk shall periodically prepare a argument.
docket of all pending cases which are not on a (P.B. 1978-1997, Sec. 4101.) (Amended July 23, 1998, to
current assignment list for oral argument and take effect Jan. 1, 1999.)
which appear to be ready for assignment under Sec. 69-2. Cases Ready for Assignment
Section 69-2 or have been ordered to be heard
by the court and shall post the docket on the
judicial branch website and deliver the docket to Cases will be considered ready for assignment
each appellate jurist, each counsel of record when the briefs and appendices of all parties,
appearing in the cases entered on the docket, including reply briefs, have been filed or the time
and the reporter of judicial decisions. for filing reply briefs has expired. Any case ready
(P.B. 1978-1997, Sec. 4100.) (Amended Sept. 16, 2015, for assignment may be assigned pursuant to Sec-
to take effect Jan. 1, 2016.) tion 69-3. After notice to counsel of record of a
HISTORY—2016: Prior to 2016, this section was titled date and time to be heard, the chief justice, the
‘‘Printed Docket.’’ Prior to 2016, this section read: ‘‘The appel- chief judge, or a designee may order the assign-
late clerk shall periodically prepare a printed docket of all ment for oral argument of any appeal, notwith-
pending cases which are not on a current assignment list for standing the fact that the case on appeal does
oral argument and which appear to be ready for assignment
under Section 69-2 or have been ordered to be heard by the not appear on the docket.
court and shall send a copy to each appellate jurist, to each Cases may be assigned for argument on a
counsel appearing in the cases entered on the printed docket, standby basis in which event counsel will be noti-
and to the reporter of judicial decisions.’’ fied at least forty-eight hours before the time
scheduled for oral argument that the standby case
Sec. 69-2. Cases Ready for Assignment is to be heard.
If a case scheduled for oral argument, whether
Cases will be considered ready for assignment on standby basis or not, is settled or withdrawn
when the record and all briefs of all parties, includ- for any reason, counsel for the appellant shall
ing reply briefs, have been filed or, if the record notify the appellate clerk immediately.
has been filed, the time for filing reply briefs has (P.B. 1978-1997, Sec. 4101.) (Amended July 23, 1998, to
expired. Any case ready for assignment may be take effect Jan. 1, 1999; amended June 5, 2013, to take effect
assigned pursuant to Section 69-3. After notice July 1, 2013; amended Sept. 16, 2015, to take effect Jan.
to counsel of a date and time to be heard, the 1, 2016.)
chief justice, the chief judge, or a designee may HISTORY—2016: In 2016, in the second sentence of the
order the assignment for oral argument of any first paragraph ‘‘of record’’ was added after ‘‘counsel.’’ Also,
in the final sentence of that paragraph ‘‘printed’’ was deleted
appeal, notwithstanding the fact that the case on before ‘‘docket.’’ In addition, in the final sentence of this sec-
appeal does not appear on the printed docket. tion, ‘‘of that fact promptly and shall not wait until the time
Cases may be assigned for argument on a scheduled for oral argument’’ was deleted after ‘‘clerk’’ and
standby basis in which event counsel will be noti- ‘‘immediately’’ was added.
fied at least forty-eight hours before the time
scheduled for oral argument that the standby case Sec. 69-3. Time for Assignments; Order of
is to be heard. Assignment
If a case scheduled for oral argument, whether Assignments of cases for oral argument ordi-
on standby basis or not, is settled or withdrawn narily will be made in the order in which the cases
for any reason, counsel for the appellant shall become ready for argument pursuant to Section
479
69-2. Requests for variations from this order, stat- HISTORY—2016: Prior to 2016, this section read: ‘‘Assign-
ing the reason therefor, shall be made by filing ments of cases for oral argument ordinarily will be made in
an assignment form (JD-AC-14) in the time frame the order in which the cases become ready for argument
specified on the docket with certification pursuant pursuant to Section 69-2. Requests for variations from this
to Section 62-7. order, stating the reason therefor, shall be made by letter
An attorney making such a request shall also certified pursuant to Section 62-7, addressed to the appellate
indicate that a copy of the request has been deliv- clerk and delivered, mailed or sent by facsimile to the clerk’s
office in time for the appellate clerk to receive it at least two
ered to each of his or her clients who are parties
working days on which the clerk’s office is required to be open
to the appeal. before assignments are made. An attorney making such a
Assignments for oral argument in the supreme request shall also indicate that a copy of the request has
court and appellate court shall take precedence been mailed to each of his or her clients who are parties to
over all other judicial branch assignments. the appeal.
The appellate clerk will mail copies of the
‘‘Assignments for oral argument in the supreme court and
assignment to all counsel of record and post the appellate court shall take precedence over all other judicial
assignment on the judicial branch website. branch assignments.
(P.B. 1978-1997, Sec. 4104.) (Amended Jan. 29, 2009, to
take effect March 1, 2009; amended Sept. 16, 2015, to take ‘‘The appellate clerk will forthwith mail copies of the assign-
effect Jan. 1, 2016.) ment list to all counsel of record.’’
480
CHAPTER 70
ARGUMENTS AND MEDIA COVERAGE OF COURT PROCEEDINGS
Sec. Sec.
70-1. Oral Argument; Videoconferencing of Oral Argu- 70-5. Points to Be Argued
ment in Certain Cases (Applicable to appeals 70-6. Reconsideration when Court Evenly Divided
filed before July 1, 2013.) 70-7. Appellate Court Consideration En Banc and Rear-
70-1. Oral Argument; Videoconferencing of Oral Argu- gument En Banc
ment in Certain Cases (Applicable to appeals 70-8. Special Sessions
filed on or after July 1, 2013.) 70-9. Coverage of Court Proceedings by Cameras and
70-2. Submission without Oral Argument on Request Electronic Media
of Parties 70-10. Cameras and Electronic Media; Coverage of
70-3. Order of Argument Supreme and Appellate Court Proceedings by
70-4. Time Allowed for Oral Argument; Who May Argue News Media [Repealed]
Sec. 70-1. Oral Argument; Videoconferenc- (b) In civil cases where: (1) the dispositive issue
ing of Oral Argument in Certain Cases or set of issues has been recently authoritatively
(Applicable to appeals filed before July 1, 2013.) decided; or (2) the facts and legal arguments are
(Amended May 19, 2011, to take effect Jan. 1, 2012.) adequately presented in the briefs and the deci-
(a) Oral argument will be allowed as of right in sional process would not be significantly aided by
all appeals except as provided in subsection (b) oral argument, notice will be sent to counsel of
of this rule. record that the case will be decided on the briefs
(b) In civil cases where: (1) the dispositive issue and record only. This notice will be issued after
or set of issues has been recently authoritatively all briefs and appendices have been filed. Any
decided; or (2) the facts and legal arguments are party may file a request for argument stating
adequately presented in the briefs and record and briefly the reasons why oral argument is appro-
the decisional process would not be significantly priate and shall do so within seven days of the
aided by oral argument, notice will be sent to issuance of the court’s notice. After receipt and
counsel of record that the case will be decided consideration of such a request, the court will
on the briefs and record only. This notice will be either assign the case for oral argument or assign
sent after the record and all briefs have been the case for disposition without oral argument, as
filed. Any party may request argument by letter it deems appropriate.
addressed to the appellate clerk stating briefly the (c) In matters involving parties who are self-
reasons why oral argument is appropriate and represented and incarcerated, oral argument may
shall do so within seven days of the issuance of be conducted by videoconference upon direction
the court’s notice. After receipt and consideration of the court in its discretion.
of such a request, the court will either assign the (P.B. 1978-1997, Sec. 4106.) (Amended May 19, 2011, to
case for oral argument or assign the case for take effect Jan. 1, 2012; amended June 5, 2013, to take effect
disposition without oral argument, as it deems July 1, 2013; amended Sept. 16, 2015, to take effect Jan.
1, 2016.)
appropriate. HISTORY—2016: Prior to 2016, the second and third sen-
(c) In matters involving parties who are self- tences of subsection (b) read: ‘‘This notice will be sent after
represented and incarcerated, oral argument may the record briefs and appendices have been filed. Any party
be conducted by videoconference upon direction may request argument by letter addressed to the appellate
of the court in its discretion. clerk stating briefly the reasons why oral argument is appro-
(P.B. 1978-1997, Sec. 4106.) (Amended May 19, 2011, to priate and shall do so within seven days of the issuance of
take effect Jan. 1, 2012.) the court’s notice.’’
Sec. 70-1. Oral Argument; Videoconferenc- Sec. 70-2. Submission without Oral Argu-
ing of Oral Argument in Certain Cases ment on Request of Parties
(Applicable to appeals filed on or after July 1, 2013.) (Amended May 19, 2011, to take effect Jan. 1, 2012.)
(Amended May 19, 2011, to take effect Jan. 1, 2012.) Counsel of record may, before or after a case
(a) Oral argument will be allowed as of right in has been assigned for a hearing, file a request to
all appeals except as provided in subsection (b) submit the case for decision on the briefs and
of this rule. record only, without oral argument. No request for
481
submission without oral argument will be granted ‘‘No argument shall be allowed any party who has not filed
unless the requesting party certifies that all other a brief or who has not joined in the brief of another party.’’
parties agree to waive oral argument. This rule
applies only to counsel of record who have filed Sec. 70-5. Points to Be Argued
a brief or joined in the brief of another party. (a) Oral argument should clarify and focus argu-
(P.B. 1978-1997, Sec. 4102.) (Amended May 19, 2011, to ments in the written briefs. The court discourages
take effect Jan. 1, 2012; amended Sept. 16, 2015, to take
oral argument read from a prepared text and
HISTORY—2016: Prior to 2016, the first sentence of this lengthy quotations from legal precedents, the
section read: ‘‘With the permission of the court, counsel of transcript, or the record.
record may, before or after a case has been assigned for a (b) Counsel should assume that the court has
hearing, submit the case for decision on the record and briefs read the briefs in advance of oral argument. No
only, without oral argument.’’
points made in briefs will be considered waived
Sec. 70-3. Order of Argument because not argued orally. Rebuttal argument
Counsel for the appellant or plaintiff in error will shall be confined to the points presented by the
be entitled to open and close the argument. On argument of opposing counsel.
a reservation, the plaintiff will open and close, (P.B. 1978-1997, Sec. 4109.)
unless the court otherwise directs, except in suits
for the construction of wills or of interpleader, Sec. 70-6. Reconsideration when Court
when the court will fix the order of argument. If Evenly Divided
there are cross appeals, the original appellant will When the court is evenly divided as to the result,
open and close unless the court otherwise orders the court shall reconsider the case, with or without
for cause shown. If there are consolidated oral argument, with an odd number of justices
appeals, the parties in the appeal filed first in the or judges.
trial court will argue first unless the court other- (P.B. 1978-1997, Sec. 4111.)
wise orders.
(P.B. 1978-1997, Sec. 4107.) Sec. 70-7. Appellate Court Consideration En
Banc and Reargument En Banc
Sec. 70-4. Time Allowed for Oral Argument;
Who May Argue (Amended July 21, 1999, to take effect Jan. 1, 2000;
Unless the court grants a request for additional
(a) Before a case is assigned for oral argument,
time made before oral argument begins, argument
the chief judge may order, on the motion of a party
of any case shall not exceed one-half hour on
each side. The time allowed may be apportioned or sua sponte, that a case be heard en banc.
among counsel on the same side of a case as (b) After argument but before decision, the
they may choose. The court may terminate the entire court may order that the case be considered
argument whenever in its judgment further argu- en banc with or without further oral argument or
ment is unnecessary. with or without supplemental briefs. The judges
Prior to the date assigned for hearing, counsel who did not hear oral argument shall have avail-
may file a request with the appellate clerk to allow able to them the electronic recording or a tran-
more than one counsel to present oral argument script of the oral argument before participating in
for one party to the appeal. the decision.
No argument shall be allowed any party who (c) After decision, the entire court may order,
has not filed a brief or who has not joined in the on the motion of a party pursuant to Section 71-5
brief of another party. or sua sponte, that reargument be heard en banc.
(P.B. 1978-1997, Sec. 4108.) (Amended Sept. 16, 2015, (P.B. 1978-1997, Sec. 4112.) (Amended July 21, 1999, to
to take effect Jan. 1, 2016.) take effect Jan. 1, 2000; amended June 2, 2010, to take effect
HISTORY—2016: Prior to 2016, this section read: ‘‘The Jan. 1, 2011.)
time occupied in the argument of any case shall not exceed
one-half hour on each side, without special leave of the court, Sec. 70-8. Special Sessions
granted before the argument begins. The time thus limited
and allowed may be apportioned among counsel on the same The supreme court will be deemed in special
side of a case as they may choose. The court may terminate session whenever the justices meet for consulta-
the argument whenever in its judgment further argument is tion; but the presence of the clerk or a judicial
unnecessary.
‘‘Except by special permission of the presiding jurist, which marshal will not be required, unless specially
permission must be obtained prior to the date assigned for directed.
hearing, no more than one counsel shall present oral argument (P.B. 1978-1997, Sec. 4115.) (Amended Oct. 10, 2001, to
for any one party to the appeal. take effect Jan. 1, 2002.)
482
Sec. 70-9. Coverage of Court Proceedings or preclusion on coverage. If the panel of jurists
by Cameras and Electronic Media orders a limitation or preclusion on coverage, it
(Amended April 11, 2007, to take effect June 1, 2007.) will provide a statement of its reasons. A state-
(a) Except for those matters enumerated in sub- ment may be written or stated on the record in
section (c) of this rule, all judicial courtroom pro- open court.
ceedings in the supreme and appellate courts are (c) (1) The presumption in favor of coverage
presumed to be subject to coverage by cameras shall not apply to cases involving: (A) sexual
and electronic media. assault; (B) risk of injury to, or impairing the morals
(b) (1) All such proceedings may be broadcast, of, a child; (C) abuse or neglect of a child; (D)
televised, videotaped, audio recorded or photo- termination of parental rights; and (E) contested
graphed unless: (A) the panel of jurists grants a questions of child custody or visitation.
motion by a party or a victim in a case requesting (2) In cases to which the presumption in favor of
the limitation or preclusion of such coverage, or coverage does not apply, any person may request
(B) the panel of jurists, on its own motion, limits such coverage by filing a motion not later than
or precludes such coverage. The right to permit one week before the start of the term for which
or to exclude coverage, whether partially or totally, the case is subject to being assigned, as indicated
at any time in the interests of the administration on the docket pursuant to Section 69-1. The appli-
of justice shall remain with the panel of jurists.
cant shall deliver a copy of such written request
(2) Any party or victim who desires to file a
to each counsel of record and to any victim or
motion to limit or preclude coverage shall do so
child in the case. The applicant shall give notice
not later than one week before the start of the term
for which the case is subject to being assigned, as to any such victim by notifying the state’s attorney
indicated on a docket pursuant to Section 69-1. in a criminal case, the attorney or guardian ad
The party or victim shall deliver a copy of such litem for a minor child in cases involving a minor
motion to each counsel of record and to any other victim or child represented by an attorney or
victim in the case. The party or victim shall give guardian ad litem, and to any other victim or child
notice to any such victim by notifying the state’s by notifying the office of the victim advocate.
attorney in a criminal case, the attorney or guard- Endorsed on the motion shall be a certification of
ian ad litem for a minor child in cases involving a such delivery. The appellate clerk shall refer any
minor victim or child represented by an attorney such motion to the panel of jurists for review as
or guardian ad litem, and to any other victim or soon as the panel is determined. The panel of
child by notifying the office of the victim advocate. jurists may consider a late motion requesting cov-
Endorsed on the motion shall be certification of erage. Prior to acting on such motion, the panel
such delivery. The appellate clerk shall refer any of jurists shall provide the parties, any such minor
such motion to the panel of jurists for review as children and any victims of the offense an opportu-
soon as the panel is determined. The panel of nity to respond in writing to the motion. The panel
jurists may consider a late motion to limit or pre- of jurists shall grant the motion only if it is satisfied
clude coverage. Prior to acting on such motion, that the need for such coverage outweighs the
the panel of jurists shall provide any media outlet privacy interests involved in the case.
expected to cover the proceeding an opportunity (d) The supreme and appellate courts shall
to respond in writing to the motion. establish appropriate protocols governing the
(3) In acting on such motion or on its own number, location and use of all forms of coverage
motion, the panel of jurists will apply the presump- consistent with these rules.
tion that all judicial courtroom proceedings in the (e) As used in this rule, "panel of jurists" means
supreme and appellate courts are subject to cov- the justices or judges assigned to hear a particu-
erage by cameras and electronic media. In addi- lar case.
tion, it will be guided by the principles that such (P.B. 1978-1997, Sec. 4116A.) (Amended Feb. 19, 2003,
coverage should be limited only if there is good to take effect Jan. 1, 2004; amended April 11, 2007, to take
cause to do so, there are no reasonable alterna- effect June 1, 2007; amended Sept. 16, 2015, to take effect
tives to such limitations, and the limitation is no Jan. 1, 2016.)
broader than necessary to protect the competing HISTORY—2016: In 2016, in the first sentence of subdivi-
interests at issue. sion (2) of subsection (b), ‘‘printed’’ was deleted before
‘‘docket.’’ In the second sentence of that subdivision, ‘‘mail’’
(4) In acting on such motion or its own motion, was deleted after ‘‘shall’’ and was replaced with ‘‘deliver’’; also
the panel of jurists will conclude that the presump- in that sentence ‘‘or self-represented party’’ was deleted after
tion in favor of coverage by cameras and elec- ‘‘counsel’’ and ‘‘of record’’ was added thereafter. In the third
tronic media has been overcome only if it is sentence of that subdivision ‘‘Connecticut Victim Advocate’’
satisfied that good cause exists for a limitation was deleted after ‘‘notifying the’’ and was replaced with ‘‘office
483
of the victim advocate.’’ In the fourth sentence of that subdivi- of that subdivision ‘‘Connecticut Victim Advocate’’ was deleted
sion, ‘‘mailing’’ was deleted after ‘‘such’’ and was replaced after ‘‘notifying the’’ and was replaced with ‘‘office of the victim
with ‘‘delivery.’’ advocate.’’ In the fourth sentence of that subdivision, ‘‘mailing’’
Also in 2016, in first sentence of subsection subdivision (2) was deleted after ‘‘such’’ and was replaced with ‘‘delivery.’’
of subsection (c), ‘‘printed’’ was deleted before ‘‘docket.’’ In
the second sentence of that subdivision, ‘‘mail’’ was deleted
Sec. 70-10. Cameras and Electronic Media;
after ‘‘shall’’ and was replaced with ‘‘deliver’’; also in that sen- Coverage of Supreme and Appellate Court
tence ‘‘or self-represented party’’ was deleted after ‘‘counsel’’ Proceedings by News Media
and ‘‘of record’’ was added thereafter. In the third sentence [Repealed as of June 1, 2007.]
484
CHAPTER 71
APPELLATE JUDGMENTS AND OPINIONS
Sec. Sec.
71-1. Appellate Judgment Files 71-6. Stay of Proceedings
71-2. Costs Included in Judgments 71-7. Stays of Execution Pending Decision by United
71-3. Motion to Reconsider Costs States Supreme Court
71-4. Opinions; Rescripts; Notice; Official Release Date
71-5. Motions for Reconsideration; Motions for Reconsid-
eration En Banc
Sec. 71-1. Appellate Judgment Files Sec. 71-3. Motion to Reconsider Costs
Judgments of the court may be embodied in Any party may within ten days after the issuance
judgment files, to be drawn upon request and of the decision on the taxation of costs file a written
signed by the appellate clerk. Unless the court motion, in accordance with the provisions of Sec-
otherwise directs, a judgment shall be deemed to tions 66-2 and 66-3, that the court review the
have been rendered on the date an opinion or clerk’s taxation of costs under its judgment. Any
memorandum decision appears in the Connecti- such motion must be submitted without oral
cut Law Journal; except that if an opinion or deci- argument.
sion is issued by slip opinion or by oral (P.B. 1978-1997, Sec. 4119.)
announcement from the bench, the judgment shall
be deemed to have been rendered on the date Sec. 71-4. Opinions; Rescripts; Notice; Offi-
that appears as the officially released date in the cial Release Date
slip opinion or the date that the oral announce- (Amended Jan. 29, 2009, to take effect March 1, 2009.)
ment is made. In the case of an order on, for
(a) After the court hands down an opinion in
example, a motion or petition, the order shall be
any case other than a case involving a question
deemed to have been made on the date that the
certified from a federal court, the reporter of judi-
appellate clerk issues notice of the order to the
clerk of the trial court and to all counsel of record. cial decisions shall send a copy of the opinion
Judgments or orders shall be entered as of the and the original rescript to the clerk of the trial
appropriate date. court and shall send a copy of the rescript to the
(P.B. 1978-1997, Sec. 4117.) (Amended Jan. 29, 2009, to appellate clerk. Notice of the decision of the court
take effect March 1, 2009; amended June 2, 2010, to take shall be deemed to have been given, for all pur-
effect Jan. 1, 2011.) poses, on the official release date that appears
in the court’s opinion.
Sec. 71-2. Costs Included in Judgments (b) Notices of decisions upon motions and of
Except as otherwise provided herein, in all orders of the court shall be given by the appellate
appeals or writs of error which go to judgment in clerk to the clerk of the trial court and to all counsel
the supreme or appellate court including an order of record.
for a new trial, costs shall be taxed to the prevailing (c) The official release date of an opinion or
party by the appellate clerk, in the absence of memorandum decision appears in the court’s
special order to the contrary by the court. On all opinion or memorandum decision. In the case of
reservations the mandate which follows the opin- an order on, for example, a motion or petition, the
ion of the court will specify what costs shall be
official release date is the date that the appellate
taxed. A bill of costs shall be filed with the appel-
clerk issues notice of an order to the clerk of the
late clerk no more than thirty days after the notice
of the appellate decision, or, of the denial of a trial court and to all counsel of record.
motion for reconsideration, or, of the denial of a (d) The opinions of the court in the bound vol-
petition for certification by the supreme court of umes of the Connecticut Reports and the Con-
this state, whichever is latest. necticut Appellate Reports are the official
(P.B. 1978-1997, Sec. 4118.) (Amended July 21, 1999, to opinions. The appellate clerk is authorized to fur-
take effect Jan. 1, 2000.) nish official copies of those opinions and, until the
485
bound volumes are published, of the opinions as shall continue until the time for filing a motion for
they appear in the Connecticut Law Journal. reconsideration has expired, and, if a motion is
(P.B. 1978-1997, Sec. 4120.) (Amended Jan. 29, 2009, to filed, until twenty days after its disposition, and,
take effect March 1, 2009; amended June 2, 2010, to take if it is granted, until the appeal is finally deter-
mined. If no stay of proceedings was in effect
Sec. 71-5. Motions for Reconsideration; during the pendency of the appeal and the deci-
Motions for Reconsideration En Banc sion of the court having appellate jurisdiction
(Amended July 21, 1999, to take effect Jan. 1, 2000.) would change the position of any party from its
A motion for reconsideration will not be enter- position during the pendency of the appeal, all
tained unless filed with the appellate clerk within proceedings to enforce or carry out the decision
ten days from the date when the decision or any of the court having appellate jurisdiction shall be
order being challenged is officially released. Any stayed until the time for filing a motion for recon-
required fees shall be paid in accordance with the sideration has expired, and, if a motion is filed,
provisions of Sections 60-7 or 60-8. until twenty days after its disposition, and, if it is
granted, until the appeal is finally determined.
The motion for reconsideration shall state
(See also Section 61-11.)
briefly the grounds for requesting reconsideration. (P.B. 1978-1997, Sec. 4123.) (Amended July 21, 1999, to
A party may also request reconsideration en take effect Jan. 1, 2000.)
banc by placing ‘‘en banc’’ in the caption of the
motion and requesting such relief as an alternative Sec. 71-7. Stays of Execution Pending Deci-
to reconsideration by the panel. sion by United States Supreme Court
Whenever reconsideration en banc is sought, When a case has gone to judgment in the state
the motion shall state briefly why reconsideration supreme court and a party to the action wishes
en banc is necessary (for example, to secure or to obtain a stay of execution pending a decision
maintain uniformity of decision or because of the in the case by the United States supreme court,
importance of the decision) and shall also state that party shall, within twenty days of the judg-
the names of the decisions, if any, with which the ment, file a motion for stay with the appellate clerk
decision conflicts. A motion for reconsideration directed to the state supreme court. The filing of
shall be treated as a motion for reconsideration the motion shall operate as a stay pending the
en banc when any member of the court which state supreme court’s decision thereon.
decided the matter will not be available, within a When the state supreme court has denied a
reasonable time, to act on the motion for reconsid- petition for certification from the appellate court,
eration. any stay in existence at the time of such denial
(P.B. 1978-1997, Sec. 4121.) (Amended July 21, 1999, to shall remain in effect for twenty days. Any party
take effect Jan. 1, 2000; amended Sept. 16, 2015, to take to the action wishing to extend such stay of execu-
effect Jan. 1, 2016.) tion or to otherwise obtain a stay of execution
HISTORY—2016: Prior to 2016, the first paragraph of this pending a decision in the case by the United
section read: ‘‘A motion for reconsideration will not be enter- States supreme court shall file a motion for stay
tained unless filed with the appellate clerk, accompanied by with the appellate clerk directed to the appellate
a receipt showing that the fee was paid or waived, within ten
days from the date when the decision or any order being court. The filing of the motion shall operate as a
challenged is officially released. The fee may be paid to the stay pending the appellate court’s decision
clerk of any trial court in the state.’’ thereon.
Sec. 71-6. Stay of Proceedings take effect Jan. 1, 2000; amended Sept. 16, 2015, to take
(Amended July 21, 1999, to take effect Jan. 1, 2000.) effect Jan. 1, 2016.)
HISTORY—2016: In 2016, in the first sentence of this sec-
Unless the chief justice or chief judge shall tion, ‘‘the appellate clerk directed to’’ was added after ‘‘stay
otherwise direct, any stay of proceedings which with.’’ Also, in the second sentence of the second paragraph,
was in effect during the pendency of the appeal ‘‘the appellate clerk directed to’’ was added after ‘‘stay with.’’
486
CHAPTER 72
WRITS OF ERROR
Sec. Sec.
72-1. Writs of Error; In General 72-3. Applicable Procedure (Applicable to appeals filed
72-2. Form
72-3. Applicable Procedure (Applicable to appeals filed on or after July 1, 2013.)
before July 1, 2013.) 72-4. Applicability of Rules
Sec. 72-1. Writs of Error; In General (b) The writ shall be served and returned as
(a) Writs of error for errors in matters of law other civil process, except that (1) the writ shall
only may be brought from a final judgment of the be served at least ten days before the return day,
superior court to the supreme court in the following and (2) shall be returned to the appellate clerk at
cases: (1) a decision binding on an aggrieved least one day before the return day. The return
nonparty; (2) a summary decision of criminal con- days of the supreme court are any Tuesday not
tempt; (3) a denial of transfer of a small claims less than twelve nor more than thirty days after
action to the regular docket; and (4) as otherwise the writ is signed.
necessary or appropriate in aid of its jurisdiction (c) If the writ is brought against a judge of the
and agreeable to the usages and principles of law. superior court to contest a summary decision of
(b) No writ of error may be brought in any civil criminal contempt by that judge, the defendant in
or criminal proceeding for the correction of any error shall be the superior court. In all other writs
error where (1) the error might have been of error, the writ shall bear the caption of the
reviewed by process of appeal, or by way of certifi- underlying action in which the judgment or deci-
cation, or (2) the parties, by failure timely to seek sion was rendered. All parties to the underlying
action shall be served in accordance with chapter
a transfer or otherwise, have consented to have
8 of these rules.
the case determined by a court or tribunal from (d) The writ shall be deemed filed the day it is
whose judgment there is no right of appeal or returned. The appellate clerk shall forthwith give
opportunity for certification. notice to all parties of the filing of the writ.
(P.B. 1978-1997, Sec. 4143A.) (Amended Nov. 19, 2003,
to take effect Jan. 1, 2004.) (e) Within twenty days after filing the writ, the
plaintiff in error shall file with the appellate clerk
Sec. 72-2. Form two copies of such documents as are necessary
The writ shall contain in numbered paragraphs to present the claims of error made in the writ,
the facts upon which the plaintiff in error relies including pertinent pleadings, memoranda of deci-
and a statement of the relief claimed. sion and judgment file, accompanied by a certifi-
(P.B. 1978-1997, Sec. 4143A.) (Amended June 2, 2010, cation that a copy thereof has been served on
to take effect Jan. 1, 2011; amended Sept. 16, 2015, to take each counsel of record in accordance with Section
effect Jan. 1, 2016.) 62-7.
HISTORY—2016: In 2016, ‘‘petitioner’’ was deleted before (f) In the event a transcript is necessary, the
‘‘relies’’ and was replaced with ‘‘plaintiff in error.’’
plaintiff in error shall follow the procedure set forth
Sec. 72-3. Applicable Procedure in Sections 63-8 and 63-8A.
(Applicable to appeals filed before July 1, 2013.) (g) Within ten days of the filing by the plaintiff
(a) Upon payment in the trial court of the filing in error of the documents referred to in subsec-
fee, the writ, if in proper form, shall be allowed tions (e) and (f) of this rule, the defendant in error
and signed by a judge or clerk of the court in may file two copies of such additional documents
which the judgment or decree was rendered. The as are necessary to defend the action, accompa-
writ shall be presented for signature within twenty nied by a certification that a copy thereof has been
days of the date notice of the judgment or decision served on each counsel of record in accordance
complained of is given but shall be signed by the with Section 62-7.
(h) Answers or other pleas shall not be filed in
judge or clerk even if not presented in a timely
response to any writ of error.
manner. Failure without cause to present the writ (P.B. 1978-1997, Sec. 4144.) (Amended Nov. 19, 2003, to
in a timely manner may be ground for dismissal take effect Jan. 1, 2004; amended June 2, 2010, to take effect
of the writ by the supreme court. Jan. 1, 2011.)
487
Sec. 72-3. Applicable Procedure to present the claims of error made in the writ,
(Applicable to appeals filed on or after July 1, 2013.) including pertinent pleadings, memoranda of deci-
(a) The writ, if in proper form, shall be allowed sion and judgment file, accompanied by a certifi-
and signed by a judge or clerk of the court in cation that a copy thereof has been served on
which the judgment or decree was rendered. The each counsel of record in accordance with Section
writ shall be presented for signature within twenty 62-7.
days of the date notice of the judgment or decision (f) In the event a transcript is necessary, the
complained of is given but shall be signed by the plaintiff in error shall follow the procedure set forth
judge or clerk even if not presented in a timely in Sections 63-8 and 63-8A.
manner. Failure without cause to present the writ (g) Within ten days of the filing by the plaintiff
in a timely manner may be a ground for dismissal in error of the documents referred to in subsec-
of the writ by the supreme court. tions (e) and (f) of this rule, the defendant in error
(b) The writ shall be served and returned as may file one copy of such additional documents
other civil process, except that the writ shall be as are necessary to defend the action, accompa-
served at least ten days before the return day. nied by a certification that a copy thereof has been
The return days of the supreme court are any served on each counsel of record in accordance
Tuesday not less than twelve nor more than thirty with Section 62-7.
days after the writ is signed. At least one day (h) Answers or other pleas shall not be filed in
response to any writ of error.
before the return day, the plaintiff in error shall (P.B. 1978-1997, Sec. 4144.) (Amended Nov. 19, 2003, to
(1) pay all required fees as set forth in Sections take effect Jan. 1, 2004; amended June 2, 2010, to take effect
60-7 or 60-8; (2) file the matter in accordance with Jan. 1, 2011; amended June 5, 2013, to take effect July 1,
the provisions of Section 63-3; and (3) file the 2013; amended Sept. 16, 2015, to take effect Jan. 1, 2016.)
return with the appellate clerk. HISTORY—2016: In 2016, in the first sentence of subsec-
tion (a), ‘‘Upon payment in the trial court of the filing fee,’’ was
(c) The writ shall be docketed upon filing in deleted before ‘‘the writ’’ and the ‘‘t’’ in ‘‘the’’ was capitalized.
accordance with Section 63-3 and payment of all Also, in the final sentence of subsection (a), ‘‘a’’ was added
required fees, but the writ may be returned upon before ‘‘ground.’’
review by the appellate clerk if the plaintiff in error In addition, prior to 2016, subsection (b) read: ‘‘The writ
fails to file the return with the appellate clerk, or shall be served and returned as other civil process, except
that (1) the writ shall be served at least ten days before the
for noncompliance with the rules of appellate pro- return day, and (2) shall be returned to the appellate clerk at
cedure. The appellate clerk shall forthwith give least one day before the return day. The return days of the
notice to all parties of the filing of the writ. supreme court are any Tuesday not less than twelve nor more
(d) If the writ is brought against a judge of the than thirty days after the writ is signed.’’
superior court to contest a summary decision of Also in 2016, what had been subsection (c) was designated
subsection (d), and what had been subsection (d) was desig-
criminal contempt by that judge, the defendant in nated, with revisions, subsection (c). Prior to 2016, what had
error shall be the superior court. In all other writs been subsection (d) (now [c]) read: ‘‘The writ shall be deemed
of error, the writ shall bear the caption of the filed the day it is returned. The appellate clerk shall forthwith
underlying action in which the judgment or deci- give notice to all parties of the filing of the writ.’’
sion was rendered. All parties to the underlying Sec. 72-4. Applicability of Rules
action shall be served in accordance with chapter Except as otherwise provided by statute or rule,
8 of these rules. the prosecution and defense of a writ of error shall
(e) Within twenty days after filing the writ, the be in accordance with the rules for appeals.
plaintiff in error shall file with the appellate clerk (P.B. 1978-1997, Sec. 4145.) (Amended Nov. 19, 2003, to
one copy of such documents as are necessary take effect Jan. 1, 2004.)
488
CHAPTER 73
RESERVATIONS
Sec. Sec.
73-1. Procedure; Form (Applicable to appeals filed before 73-2. Consideration of Reservation Request by Superior
July 1, 2013.) Court
73-1. Reservation of Questions from the Superior Court to
the Supreme Court or Appellate Court; Contents 73-3. Procedure upon Acceptance of Reservation
of Reservation Request (Applicable to appeals 73-4. Briefs, Appendices and Argument
filed on or after July 1, 2013.)
Sec. 73-1. Procedure; Form of Section 67-3. No entry fee shall be paid to the
(Applicable to appeals filed before July 1, 2013.) superior court and no costs shall be taxed in favor
(a) Any reservation shall be taken to the of any party. With the notice of reservation, the
supreme court or to the appellate court from those clerk of the trial court shall send to the appellate
cases in which an appeal could have been taken clerk two copies each of the stipulation, its accom-
directly to the supreme court, or to the appellate panying joint docketing statement, the superior
court, respectively, had judgment been rendered. court’s order of reservation, and the docket sheet
Reservations in cases where the proper court for (DS1) listing the counsel for all parties.
the appeal cannot be determined prior to judg- (e) The court will not entertain a reservation for
ment shall be taken directly to the supreme court. its advice upon questions of law arising in any
(b) All questions presented for advice shall be action unless the question or questions presented
specific and shall be phrased so as to require a are such as are, in the opinion of the court, reason-
Yes or No answer. ably certain to enter into the decision of the case,
(c) Before any question shall be reserved by and it appears that their present determination
any court, counsel shall file in that court a stipula- would be in the interest of simplicity, directness
tion which shall clearly and fully state the question and economy of judicial action.
or questions upon which advice is desired; that (f) The advice of the appellate court on a reser-
their present determination by the appellate court vation may be reviewed by the supreme court only
having jurisdiction would be in the interest of sim- upon the granting of certification as provided in
plicity, directness and economy in judicial action, chapter 84.
(P.B. 1978-1997, Sec. 4147.)
the grounds for such allegation being particularly
stated; that the answers to the questions will Sec. 73-1. Reservation of Questions from
determine, or are reasonably certain to enter into the Superior Court to the Supreme Court or
the final determination of the case; and that the Appellate Court; Contents of Reservation
parties request that the questions be reserved for Request
the advice of the appellate court having jurisdic- (Applicable to appeals filed on or after July 1, 2013.)
tion. The stipulation shall also designate the spe- (Amended Sept. 16, 2015, to take effect Jan. 1, 2016.)
cific pleadings in the trial court case file which are (a) Counsel may jointly file with the superior
necessary for the presentation of the question or court a request to reserve questions of law for
questions sought to be reserved and shall state consideration by the supreme court or appellate
the undisputed facts which are essential for deter- court. A reservation request shall set forth: (1) a
mination of the question or questions sought to stipulation of the essential undisputed facts and
be reserved. With the stipulation the parties shall a clear and full statement of the question or ques-
file a joint docketing statement in the format speci- tions upon which advice is desired; (2) a statement
fied in Section 63-4 (a) (4) for regular appeals. of reasons why the resolution of the question by
(d) Upon the ordering of a reservation by the the appellate court having jurisdiction would serve
superior court, the clerk of the trial court shall send the interest of simplicity, directness and judicial
notice of the reservation to the appellate clerk and economy; and (3) whether the answers to the
to all parties of record. The date of issuance of questions will determine, or are reasonably cer-
this notice shall be deemed the filing date of the tain to enter into the final determination of the
appeal for purposes of the brief filing deadlines case. All questions presented for advice shall be
489
specific and shall be phrased so as to require a COMMENTARY—2016: This section has been rewritten
Yes or No answer. and the content of certain subsections has been transferred
to new sections.
(b) Reservation requests may be brought only
in those cases in which an appeal could have Sec. 73-2. Consideration of Reservation
been filed directly to the supreme court, or to the Request by Superior Court
appellate court, respectively, had judgment been If the superior court determines that a reserva-
rendered. Reservations in cases where the proper tion would be appropriate, it shall forward the res-
court for the appeal cannot be determined prior ervation request with its determination, which
to judgment shall be filed directly to the shall include the items specified in Section 73-1
supreme court. (a), to the appellate clerk and to all parties of
(P.B. 1978-1997, Sec. 4147.) (Amended June 5, 2013, to record. The supreme court or appellate court shall
take effect July 1, 2013; amended Sept. 16, 2015, to take either preliminarily accept or decline the reserva-
HISTORY—2016: Prior to 2016, this section was titled:
tion request, but may later reject the reservation
‘‘Procedure; Form.’’ if it should appear to have been improvidently
Prior to 2016, this section read: ‘‘(a) Any reservation shall granted. The supreme court or appellate court will
be taken to the supreme court or to the appellate court from not entertain a reservation unless the question
those cases in which an appeal could have been taken directly or questions presented are reasonably certain to
to the supreme court, or to the appellate court, respectively, enter into the decision of the case and it appears
had judgment been rendered. Reservations in cases where that their determination would be in the interest
the proper court for the appeal cannot be determined prior to
judgment shall be taken directly to the supreme court. of simplicity, directness and judicial economy. The
‘‘(b) All questions presented for advice shall be specific and supreme court or appellate court may also request
shall be phrased so as to require a Yes or No answer. that the superior court provide additional facts
‘‘(c) Before any question shall be reserved by any court, required for a decision upon the questions
counsel shall file in that court a stipulation which shall clearly reserved and to clarify such questions when nec-
and fully state the question or questions upon which advice essary.
is desired; that their present determination by the appellate (Adopted Sept. 16, 2015, to take effect Jan. 1, 2016.)
court having jurisdiction would be in the interest of simplicity,
directness and economy in judicial action, the grounds for Sec. 73-3. Procedure upon Acceptance of
such allegation being particularly stated; that the answers to Reservation
the questions will determine, or are reasonably certain to enter
into the final determination of the case; and that the parties
(a) The appellate clerk shall notify the clerk of
request that the questions be reserved for the advice of the the trial court and the parties of the decision or
appellate court having jurisdiction. The stipulation shall state order on the reservation request. Within twenty
the undisputed facts which are essential for determination of days of issuance of the notice of an order of pre-
the question or questions sought to be reserved. With the liminary acceptance, the appellant shall file the
stipulation, the parties shall file a joint docketing statement in reservation in accordance with the provisions of
the format specified in Section 63-4 (a) (3) for regular appeals. Section 63-3, except that no entry fee shall be
‘‘(d) Upon the ordering of a reservation by the superior court,
the clerk of the trial court shall send notice of the reservation to paid and no costs shall be taxed in favor of any
the appellate clerk and to all parties of record. The date of party. In addition, within ten days of the filing of
issuance of this notice shall be deemed the filing date of the the appeal, the appellant shall file a docketing
appeal for purposes of the brief and appendix filing deadlines statement in the form specified in Section 63-4
of Section 67-3. The plaintiff in the court that ordered the (a) (3).
reservation shall be deemed the appellant, and the defendant (b) The plaintiff in the court that ordered the
in such court shall be deemed the appellee for purposes of
these rules, unless otherwise ordered by the court.
reservation shall be deemed the appellant, and
‘‘(e) No entry fee shall be paid to the superior court and no the defendant in such court shall be deemed the
costs shall be taxed in favor of any party. With the notice of appellee for purposes of these rules, unless other-
reservation, except in appeals in which the contents of the wise ordered by the court.
case file consists solely of papers filed by electronic means, (c) The advice of the appellate court on a reser-
the clerk of the trial court shall send to the appellate clerk one vation may be reviewed by the supreme court only
copy each of the stipulation, its accompanying joint docketing upon the granting of certification as provided in
statement, the superior court’s order of reservation, and the
case detail page listing the counsel for all parties.
chapter 84.
(Adopted Sept. 16, 2015, to take effect Jan. 1, 2016.)
‘‘(f) The court will not entertain a reservation for its advice
upon questions of law arising in any action unless the question Sec. 73-4. Briefs, Appendices and
or questions presented are such as are, in the opinion of the Argument
court, reasonably certain to enter into the decision of the case,
and it appears that their present determination would be in the Briefs and appendices filed by the parties shall
interest of simplicity, directness and economy of judicial action. conform to the rules set forth in Chapter 67. Oral
‘‘(g) The advice of the appellate court on a reservation may argument shall be as provided in Chapter 70,
be reviewed by the supreme court only upon the granting of unless otherwise ordered by the court.
certification as provided in chapter 84.’’ (Adopted Sept. 16, 2015, to take effect Jan. 1, 2016.)
490
RULES OF APPELLATE PROCEDURE Sec. 74-2A
CHAPTER 74
DECISIONS OF JUDICIAL REVIEW COUNCIL
(Amended Sept. 16, 2015, to take effect Jan. 1, 2016.)
HISTORY—2016: Prior to 2016, this chapter was titled ‘‘Appeals from Judicial Review Council.’’
Sec. Sec.
74-1. Appeals by Respondent Judge from Decision of 74-3A. Initiation of Action by Supreme Court (Transferred
Judicial Review Council from Sec. 74-8.)
74-4. Decision of Council; Remand by Supreme Court
74-2. Papers to Be Filed [Repealed] 74-5. Parties
74-2A. Referral to Supreme Court by Judicial Review Coun- 74-6. Applicability of Rules
cil Following Recommendation of Suspension or 74-7. Action on Recommendation when No Appeal
Removal (Transferred from Sec. 74-7.) (Transferred to Sec. 74-2A.)
74-8. Initiation of Action by Supreme Court (Transferred
74-3. Costs and Security Not Required [Repealed] to Sec. 74-3A.)
Sec. 74-1. Appeals by Respondent Judge ‘‘The appeal shall be directed to and filed with the supreme
from Decision of Judicial Review Council court and shall be accompanied by a certification that a copy
thereof has been served on the chair or executive director of
the judicial review council in accordance with the provisions
(a) An appeal by a respondent judge from a of Section 62-7. No fee shall be required to be paid. The
decision of the judicial review council shall be appellate clerk shall docket the appeal, note thereon the date
taken within twenty days from the date the deci- and time of the filing, affix the docket number assigned to the
sion appealed from is received by the respon- appeal and send a copy to the judicial review council and to
dent judge. each appearing party.’’
(b) The appeal shall be filed with the supreme
court in accordance with the provisions of Section Sec. 74-2. Papers to Be Filed
63-3, except that no entry fee shall be paid and [Repealed as of Jan. 1, 2016.]
no costs shall be taxed in favor of any party. The HISTORY—Prior to 2016, this section read: ‘‘The respon-
respondent judge shall serve a copy the appeal dent judge shall submit, as set forth in Section 61-5, to the
form on the chair or executive director of the judi- appellate clerk at the time the appeal is filed:
cial review council in accordance with the provi- ‘‘(a) a copy of the decision of the judicial review council
sions of Section 62-7. appealed from, and
(c) The appellate clerk shall forward one copy ‘‘(b) the submissions required by Section 63-4.
of the appeal form to the judicial review council ‘‘(P.B. 1978-1997, Sec. 4151.)’’
and one copy to the respondent judge. COMMENTARY—2016: Section 74-2 has been repealed
and the content has been transferred to Section 74-1 (d).
(d) Within ten days of filing the appeal, the
respondent judge shall file with the appellate clerk: Sec. 74-2A. Referral to Supreme Court by
(1) a copy of the decision of the judicial review Judicial Review Council Following Recom-
council appealed from, and mendation of Suspension or Removal
(2) the filings required by Section 63-4.
[Transferred from Sec. 74-7 as of Jan. 1, 2016.] (Amended
(e) With the exception of decisions recommend-
ing suspension for more than one year or removal
from office, which are referred to the supreme If the judicial review council recommends sus-
court pursuant to Section 74-2A, a decision of the pension for more than one year or removal from
judicial review council will be final unless a timely office, the council shall, at the expiration of the
appeal is filed by the respondent judge. time to appeal, forward to the appellate clerk a
(P.B. 1978-1997, Sec. 4150.) (Amended Sept. 16, 2015, certified copy of its decision together with those
to take effect Jan. 1, 2016.) parts of the record and transcript as it deems
HISTORY—2016: Prior to 2016, this section was titled: necessary for a proper consideration of its recom-
‘‘Time to Take; Form; Filing; Costs.’’ Prior to 2016, this section mendation.
read: ‘‘Appeals from decisions of the judicial review council
shall be taken within twenty days from the date the decision The appellate clerk shall assign a docket num-
appealed from is received by the respondent judge. ber and notify the court of the matter. The court
491
Sec. 74-2A RULES OF APPELLATE PROCEDURE
shall, as soon as practicable, review the filed doc- raised by the parties. If the supreme court deems
uments and render a decision on the recommen- it necessary to the proper disposition of the cause,
dation of the council. it may remand the case to the judicial review coun-
(P.B. 1978-1997, Sec. 4156.) (Transferred from Sec. 74-7 cil for clarification of the basis for its decision.
as of Jan. 1, 2016.) (P.B. 1978-1997, Sec. 4153.)
HISTORY—2016: Prior to 2016, this section was desig-
nated Section 74-7 and was titled: ‘‘Action on Recommenda- Sec. 74-5. Parties
tion when No Appeal.’’ See Section 74-7 for the text of this
section prior to 2016. The parties shall be referred to as the judicial
COMMENTARY—2016: What had been Section 74-7 has review council and the respondent.
been rewritten, and has been designated Section 74-2A. (P.B. 1978-1997, Sec. 4154.)
Sec. 74-3. Costs and Security Not Required Sec. 74-6. Applicability of Rules
[Repealed as of Jan. 1, 2016.] All proceedings subsequent to the filing of the
HISTORY—2016: Prior to 2016, this section read: ‘‘Statu- appeal, referral of the matter by the judicial review
tory fees, taxable costs and the requirement for furnishing council or initiation by the supreme court shall be
security for costs are waived.’’ governed by the rules applicable to appeals.
‘‘(P.B. 1978-1997, Sec. 4152.)’’ (P.B. 1978-1997, Sec. 4155.) (Amended Sept. 16, 2015,
COMMENTARY—2016: Section 74-3 has been repealed to take effect Jan. 1, 2016.)
and the content has been transferred to 74-1.
HISTORY—2016: Prior to 2016, this section read: ‘‘All pro-
ceedings subsequent to the filing of the appeal shall be gov-
Sec. 74-3A. Initiation of Action by Supreme
erned by the rules applicable to appeals and appeals from
Court administrative agencies.’’
[Transferred from 74-8 as of Jan. 1, 2016.]
In the event that the supreme court, on its own Sec. 74-7. Action on Recommendation
motion, wishes to initiate proceedings against a when No Appeal.
judge, it shall refer the matter to the judicial review [Transferred as of Jan. 1, 2016, to Sec. 74-2A.]
council or, if the judge to be investigated is a HISTORY—2016: Prior to 2016, this section read: ‘‘In the
member of that council, to a committee of three event that the respondent judge does not appeal a decision
state referees for investigation and hearing. by the judicial review council to recommend to the supreme
The council or the committee shall render a court such judge’s suspension or removal, the council shall,
at the expiration of the time to appeal, forward to the appellate
decision pursuant to Section 74-4 and forward a clerk a certified copy of its decision together with those parts
copy of its decision to the respondent judge and of the record and transcript as it deems necessary for a proper
to the appellate clerk. consideration of its recommendation.
The decision may be appealed by the respon- ‘‘The appellate clerk shall note the date of filing on the
dent judge pursuant to the provisions of this chap- documents, notify the chief justice that they have been filed,
ter. If the respondent judge fails to appeal within and prepare sufficient copies for the members of the supreme
the time provided, the decision shall be final, court. That court shall, as soon as practicable, review the filed
documents and render a decision on the recommendation of
unless it was rendered by a committee or contains the council.
a recommendation for suspension or removal of ‘‘(P.B. 1978-1997, Sec. 4156.)’’
the judge, in which case, at the expiration of the COMMENTARY—2016: What had been Section 74-7 has
time to appeal, the council or committee shall file been rewritten, and has been designated Section 74-2A.
pertinent parts of the record and transcript with
the appellate clerk pursuant to Section 74-1 (d) Sec. 74-8. Initiation of Action by Supreme
and the supreme court shall render a decision Court
thereon. [Transferred as of Jan. 1, 2016, to Sec. 74-3A.]
(P.B. 1978-1997, Sec. 4157.) (Transferred from Sec. 74-8 HISTORY—2016: Prior to 2016, this section read: ‘‘In the
as of Jan. 1, 2016.) event that the supreme court, on its own motion, wishes to
HISTORY—2016: Prior to 2016, this section was desig- initiate proceedings against a judge, it shall refer the matter
nated Section 74-8. See Section 74-8 for the text of this section to the judicial review council or, if the judge to be investigated
prior to 2016. is a member of that council, to a committee of three state
COMMENTARY—2016: What had been Section 74-8 has referees for investigation and hearing.
been transferred, with revisions, to Section 74-3A. ‘‘The council or the committee shall render a decision pursu-
ant to Section 74-4 and forward a copy of its decision to the
Sec. 74-4. Decision of Council; Remand by respondent judge and to the appellate clerk.
Supreme Court ‘‘The decision may be appealed by the respondent judge
The judicial review council shall state its deci- pursuant to the provisions of this chapter. If the respondent
judge fails to appeal within the time provided, the decision shall
sion in writing on the issues of the case and, if be final, unless it was rendered by a committee or contains a
there are factual issues, the factual basis for its recommendation for suspension or removal of the judge, in
decision. The judicial review council shall state in which case, at the expiration of the time to appeal, the council
its decision its conclusion as to each claim of law or committee shall file pertinent parts of the record and tran-
492
script with the appellate clerk pursuant to Section 74-7 and COMMENTARY—2016: What had been Section 74-8 has
the supreme court shall render a decision thereon. been transferred, with revisions, to Section 74-3A.
‘‘(P.B. 1978-1997, Sec. 4157.)’’
493
CHAPTER 75
APPEALS FROM COUNCIL ON PROBATE JUDICIAL CONDUCT
Sec. Sec.
75-1. Appeals by Respondent Judge From Decision of 75-3. Costs and Security Not Required [Repealed]
Council on Probate Judicial Conduct 75-4. Decision of Council; Remand by Supreme Court
75-5. Parties
75-2. Papers to Be Filed [Repealed] 75-6. Applicability of Rules
Sec. 75-1. Appeals by Respondent Judge Sec. 75-2. Papers to Be Filed

From Decision of Council on Probate Judi- [Repealed as of Jan. 1, 2016.]
cial Conduct HISTORY—2016: Prior to 2016, this section read ‘‘The
appellant shall submit, as set forth in Section 62-7, to the
(Amended Sept. 16, 2015, to take effect Jan. 1, 2016.) appellate clerk at the time the appeal is filed:
(a) An appeal by a respondent judge from a ‘‘(a) a copy of the decision of the council on probate judicial
conduct appealed from, and
decision of the council on probate judicial conduct ‘‘(b) the submissions required by Section 63-4.
to publicly admonish or censure shall be taken ‘‘(P.B. 1978-1997, Sec. 4160.)’’
within twenty days from the date that notice of COMMENTARY—2016: This section has been repealed
and the content has been transferred to Section 75-1 (d).
the admonishment or censure is received by the
respondent judge. Sec. 75-3. Costs and Security Not Required
(b) The appeal shall be directed to and filed [Repealed as of Jan. 1, 2016.]
HISTORY—2016: Prior to 2016, this section read ‘‘Statutory
with the supreme court in accordance with the fees, taxable costs and the requirement for furnishing security
provisions of Section 63-3, except that no entry for costs are waived.’’
fee shall be paid and no costs shall be taxed in ‘‘(P.B. 1978-1997, Sec. 4161.)’’
COMMENTARY—This section has been repealed and the
favor of either party. The respondent shall serve content has been transferred to Section 75-1.
a copy of the appeal form on the chair or secretary
of the council on probate judicial conduct in Sec. 75-4. Decision of Council; Remand by
accordance with the provisions of Section 62-7. Supreme Court
The council on probate judicial conduct shall
(c) The appellate clerk shall forward one copy of state its decision in writing on the issues of the
the appeal form to the council on probate judicial case. Within two weeks of receipt of notice of an
conduct and one copy to the respondent judge. appeal, the council shall forward a finding of fact
(d) Within ten days of filing the appeal, the and conclusions therefrom to the appellate clerk.
respondent shall file with the appellate clerk: If the supreme court deems it necessary to the
(1) a copy of the decision of the council on proper disposition of the cause, it may remand
probate judicial conduct appealed from, and the case to the council on probate judicial conduct
for clarification of the basis of its decision.
(2) the filings required by Section 63-4. (P.B. 1978-1997, Sec. 4162.) (Amended Sept. 16, 2015,
(P.B. 1978-1997, Sec. 4159.) (Amended Sept. 16, 2015, to take effect Jan. 1, 2016.)
to take effect Jan. 1, 2016.) HISTORY—2016: Prior to 2016, the second sentence of
HISTORY—2016: Prior to 2016, this section was titled: this section read: ‘‘Within two weeks of receipt of notice of an
appeal, the council shall file a finding of fact and conclu-
‘‘Time to Take; Form; Filing; Costs.’’ Prior to 2016, this section
sions therefrom.’’
read: ‘‘Appeals from decisions of the council on probate judicial
conduct to reprimand or censure shall be taken within twenty Sec. 75-5. Parties
days from the date that notice of the reprimand or censure is The parties shall be referred to as the council
received by the respondent judge. on probate judicial conduct and the respondent.
‘‘The appeal shall be directed to and filed with the supreme (P.B. 1978-1997, Sec. 4163.)
court, and shall be accompanied by a certification that a copy Sec. 75-6. Applicability of Rules
thereof has been served on the chair or secretary of the council
on probate judicial conduct in accordance with the provisions
All proceedings subsequent to the filing of the
of Section 62-7. No fee shall be required to be paid. The
appeal shall be governed by the rules applicable
appellate clerk shall docket the appeal, note on the form the
to appeals.
date and time of the filing, affix the docket number assigned to take effect Jan. 1, 2016.)
to the appeal and send a copy to the council on probate judicial HISTORY—2016: In 2016, ‘‘and appeals from administra-
conduct and to each appearing party.’’ tive agencies’’ was deleted after ‘‘appeals.’’
494
CHAPTER 76
APPEALS IN WORKERS’ COMPENSATION CASES
Sec. Sec.
76-1. Applicability of Rules 76-4. Fees and Costs
76-2. Filing Appeal
76-3. Record; Preparation of Case File; Exhibits (Applica- 76-5. Reservation of Question from Compensation
ble to appeals filed before July 1, 2013.) Review Board
76-3. Preparation of Case File; Exhibits (Applicable to 76-5A. Procedure Upon Acceptance of Reservation
appeals filed on or after July 1, 2013.) 76-6. Definitions
Sec. 76-1. Applicability of Rules of the case file. No omissions may be made from
Except as otherwise noted in Sections 76-2 the case file except upon the authorization of the
through 76-6, the practice and procedure for appellate clerk. Each document of the case file
appeals to the appellate court (1) from a decision must be numbered and the file must include a
of the compensation review board (board), or (2) table of contents listing each item entered in the
from a decision of a workers’ compensation com- file according to its number.
missioner acting pursuant to General Statutes All exhibits before the board or the § 31-290a
§ 31-290a (b) (§ 31-290a commissioner), shall commissioner are deemed exhibits on appeal.
conform to the rules of practice governing other The appellate clerk shall notify the board or the
appeals. § 31-290a commissioner of the exhibits required
(P.B. 1978-1997, Sec. 4165.) by the court. It shall be the responsibility of the
board or the § 31-290a commissioner to transmit
Sec. 76-2. Filing Appeal those exhibits promptly to the appellate clerk.
The appeal shall be filed with the appellate clerk (P.B. 1978-1997, Sec. 4165.2.)
in accordance with the provisions of Section 63- Sec. 76-3. Preparation of Case File; Exhibits
3. The appellant shall deliver a copy of the appeal
form to each party of record in accordance with (Amended June 5, 2013, to take effect July 1, 2013.)
the provisions of Section 62-7 and to the board Within ten days of the issuance of notice of the
or the § 31-290a commissioner, as appropriate. filing of an appeal, the board or the § 31-290a
The appellate clerk shall deliver a copy of the commissioner, as appropriate, shall deliver to the
appeal form to the board or the § 31-290a com- appellate clerk an electronic copy of the file, if
missioner, as appropriate, and to each possible, or one complete copy of the case file.
appearing party. No omissions may be made from the case file
(P.B. 1978-1997, Sec. 4165.1.) (Amended Sept. 16, 2015,
except upon the authorization of the appellate
HISTORY—2016: Prior to 2016, this section read: ‘‘The clerk. Each document of the case file must be
appeal shall be filed with the appellate clerk accompanied by numbered, and the file must include a table of
a certification that a copy thereof has been served on each contents listing each item entered in the file
party of record and on the board or the § 31-290a commis- according to its number.
sioner, as appropriate, in accordance with the provisions of All exhibits before the board or the § 31-290a
Section 62-7. commissioner are deemed exhibits on appeal.
‘‘The appellate clerk shall stamp or note on the appeal the
date and time of filing, shall docket the appeal, shall affix to
The appellate clerk shall notify the board or the
the appeal the docket number assigned to it, and shall send § 31-290a commissioner of the exhibits required
one copy to the board or the § 31-290a commissioner, as by the court. It shall be the responsibility of the
appropriate, and one copy to each appearing party.’’ board or the § 31-290a commissioner to transmit
those exhibits promptly to the appellate clerk.
Sec. 76-3. Record; Preparation of Case (P.B. 1978-1997, Sec. 4165.2.) (Amended June 5, 2013,
File; Exhibits to take effect July 1, 2013; amended Sept. 16, 2015, to take
(Applicable to appeals filed before July 1, 2013.) effect Jan. 1, 2016.)
Within ten days of the issuance of notice of the section read: ‘‘Within ten days of the issuance of notice of the
filing of an appeal, the board or the § 31-290a filing of an appeal, the board or the § 31-290a commissioner,
commissioner, as appropriate, shall cause to be as appropriate, shall cause to be filed with the appellate clerk
filed with the appellate clerk two complete copies one complete copy of the case file.’’
495
Sec. 76-4. Fees and Costs deemed the appellee for purposes of these rules,
On appeals from the board or the § 31-290a unless otherwise ordered by the court.
(P.B. 1978-1997, Sec. 4165.5.) (Amended July 21, 1999,
commissioner, or upon the reservation of a work- to take effect Jan. 1, 2000; amended Sept. 16, 2015, to take
ers’ compensation case by the compensation effect Jan. 1, 2016.)
review board, no entry fee shall be paid, and no HISTORY—2016: Prior to 2016, this section was titled
‘‘Reservation of Case.’’ Prior to 2016, this section read: ‘‘When,
costs shall be taxed in favor of either party pro- in any case arising under the provisions of this chapter, the
vided that if an appeal is found by the court either compensation review board is of the opinion that the decision
to be frivolous or to be filed for the purpose of involves principles of law which are not free from reasonable
vexation or delay, the court may tax costs in its doubt and which public interest requires shall be determined by
the appellate court, in order that a definite rule be established
discretion against the person so taking the appeal. applicable to future cases, the compensation review board
(P.B. 1978-1997, Sec. 4165.4.) (Amended Sept. 16, 2015, may, on its own motion and without any agreement or act of
to take effect Jan. 1, 2016.) the parties or their counsel, reserve such case for the opinion
HISTORY: In 2016, ‘‘filed’’ replaced ‘‘taken’’ before ‘‘for of the appellate court. Upon a reservation so made, no costs
the purpose.’’ or fees shall be taxed in favor of either party. Upon the filing
of such a reservation, the question shall come before the
appellate court as though an appeal had been taken, and that
Sec. 76-5. Reservation of Question from court shall thereupon reserve the case for the opinion of the
Compensation Review Board supreme court in the manner herein indicated; but if, in the
(Amended Sept. 16, 2015, to take effect Jan. 1, 2016.) opinion of the appellate court, the principles of law involved
in the decision are in fact free from reasonable doubt and the
When, in any case arising under the provisions public interest does not in fact require that they be determined
of this chapter, the compensation review board is by the supreme court, the appellate court may, in its discretion,
of the opinion that the decision involves principles hear and determine the controversy as in other cases. Any
reservation under this rule may be transferred to the supreme
of law which are not free from reasonable doubt court on its own motion pursuant to General Statutes § 51-
and which public interest requires shall be deter- 199 (c) or on the motion of any party pursuant to Section 65-2.’’
mined by the appellate court, in order that a defi- Sec. 76-5A. Procedure Upon Acceptance
nite rule be established applicable to future cases, of Reservation
the compensation review board may, on its own Within twenty days of issuance of the notice of
motion and without any agreement or act of the an order of preliminary acceptance, the appellant
parties or their counsel, prepare a reservation shall file an appeal in accordance with Section
request in the manner specified by Section 73-1 63-3 and Section 76-4. Any reservation under this
and deliver it to the appellate clerk and to all par- rule may be transferred to the supreme court on
ties of record. The appellate court shall either pre- its own motion pursuant to General Statutes § 51-
liminarily accept or decline the reservation 199 (c) or on the motion of any party pursuant to
request. The appellate clerk shall notify the com- Section 65-2.
(Adopted Sept. 16, 2015, to take effect Jan. 1, 2016.)
pensation review board and the parties of the deci-
sion or order on the reservation request. Sec. 76-6. Definitions
The appellate court may later reject the reserva- With regard to appeals from the board or the
§ 31-290a commissioner, references in the rules
tion if it should appear to have been improvidently of appellate procedure to trial court or trial judge
granted. The appellate court may also request shall, where applicable, be deemed to mean the
that the compensation review board provide addi- individuals who comprised the board which ren-
tional facts required for a decision upon the ques- dered the decision from which the appeal was
tions reserved and to clarify such questions filed, or the § 31-290a commissioner, as appro-
when necessary. priate.
The plaintiff in the underlying workers’ compen- (P.B. 1978-1997, Sec. 4165.6; see also Sec. 60-4)
sation matter shall be deemed the appellant, and HISTORY: In 2016, ‘‘filed’’ replaced ‘‘taken’’ after
the defendant in the underlying matter shall be ‘‘appeal was.’’
496
CHAPTER 77
PROCEDURES CONCERNING COURT CLOSURE AND SEALING ORDERS OR ORDERS LIMITING
THE DISCLOSURE OF FILES, AFFIDAVITS, DOCUMENTS OR OTHER MATERIAL
(Amended Oct. 15, 2003, to take effect Jan. 1, 2004.)
Sec. Sec.
77-1. Expedited Review of an Order concerning Court 77-2. Sealing Orders; Treatment of Lodged Records
Closure, or an Order That Seals or Limits the
Disclosure of Files, Affidavits, Documents or
Other Material
Sec. 77-1. Expedited Review of an Order The filing of any petition for review of a court
concerning Court Closure, or an Order That order which prohibits the public or any person
Seals or Limits the Disclosure of Files, Affi- from attending any session of court shall stay the
davits, Documents or Other Material order until the final determination of the review.
(Amended July 21, 1999, to take effect Jan. 1, 2000.) The filing of any petition for review of an order
(a) Except as provided in subsection (b), any that seals or limits the disclosure of files, affidavits,
person affected by a court order which prohibits documents or other material on file with the court
the public or any person from attending any ses- shall not stay the order during the review.
sion of court, or any order that seals or limits the The appellate court shall hold an expedited
disclosure of files, affidavits, documents or other hearing on any petition for review on the fifth busi-
material on file with the court or filed in connection ness day next following the day upon which the
with a court proceeding, may seek review of such certificate of completion provided for by Section
order by filing a petition for review with the appel- 63-8 (c) has been filed with the appellate clerk.
late court within seventy-two hours after the issu- After such hearing the appellate court may affirm,
ance of the order. The petition shall fully comply modify or vacate the order reviewed.
with Sections 66-2 and 66-3. The petition shall (b) This section shall not apply to court orders
not exceed ten pages in length, exclusive of the concerning any session of court conducted pursu-
appendix, except with special permission of the ant to General Statutes §§ 46b-11, 46b-49, 46b-
appellate court. An appendix containing the infor- 122, 54-76h, and any order issued pursuant to a
mation or complaint, the answer, all motions per- rule that seals or limits the disclosure of any affida-
taining to the matter, the opinion or orders of the vit in support of an arrest warrant, or any other
trial court sought to be reviewed, a list of all parties provision of the General Statutes under which the
with the names, addresses, telephone and fac- court is authorized to close proceedings.
simile numbers, e-mail addresses, and, if applica- (P.B. 1978-1997, Sec. 4166.) (Amended July 21, 1999, and
ble, the juris number of their counsel, the names December 13, 1999, to take effect Jan. 1, 2000; amended
of all judges who participated in the case, and HISTORY—2016: In 2016, in the first sentence of subsec-
a transcript order acknowledgment form (JD-ES- tion (a), ‘‘an original and fifteen copies of’’ was deleted after
38), shall be filed with the petition for review. ‘‘filing.’’ Also in 2016, in the final sentence of the first paragraph
Any person filing a petition for review pursuant of subsection (a): ‘‘e-mail addresses,’’ was added after ‘‘num-
to this rule shall deliver a copy of the petition and bers’’; ‘‘attached to each copy of’’ was deleted after ‘‘shall
appendix to (1) all parties to the case and (2) any be’’ and ‘‘filed with’’ was added; and ‘‘for review’’ was added
after ‘‘petition.’’
nonparty who sought the closure order or order Prior to 2016, the second paragraph of subsection (a) read:
sealing or limiting disclosure in compliance with ‘‘Any person filing a petition for review pursuant to this rule
the provisions of Section 62-7 on the same day shall serve a copy of the petition and appendix upon (1) all
as the petition is filed. Any party or nonparty who parties to the case and (2) any nonparty who sought the closure
sought such order may file a response to the peti- order or order sealing or limiting disclosure by facsimile or
tion for review within ninety-six hours after the hand delivery on the same day as the petition is filed. Any
party or nonparty who sought such order may file a written
filing of the petition for review. Failure to file a response within ninety-six hours after the filing of the petition
response shall not preclude the party or nonparty for review. Failure to file a written response shall not preclude
who sought the order under review from participat- that party or nonparty who sought the order under review from
ing in the hearing on the petition. participating in the hearing on the petition.’’
497
Sec. 77-2. Sealing Orders; Treatment of by operation of statute as to any affidavit, docu-
Lodged Records ment or other material filed in the trial court shall
(a) When, by order of the trial court or by opera- continue throughout the appellate process.
(b) If a claim is raised on appeal challenging
tion of statute, a trial court file is sealed or is the denial of a motion to seal or limit disclosure
subject to limited disclosure, all filings with the pursuant to Section 7-4B (d), a lodged record shall
appellate clerk in that matter shall be treated simi- remain conditionally under seal in the court having
larly unless otherwise ordered by the court having appellate jurisdiction and shall be treated as an
appellate jurisdiction. Any sealing or limitation on exhibit pursuant to the provisions of Section 68-1.
disclosure ordered by the trial court or required (Adopted Oct. 15, 2003, to take effect Jan. 1, 2004.)
498
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
Sec. 78-1. Review of an Order concerning of the order. The filing of any such petition for
Disclosure of Grand Jury Record or Finding review shall stay the order until the final determi-
Any person aggrieved by an order of a panel nation of the petition. The appellate court shall
or an investigatory grand jury pursuant to General hold an expedited hearing on such petition. After
Statutes § 54-47g may seek review of such order such hearing, the appellate court may affirm, mod-
by filing a petition for review with the appellate ify or vacate the order reviewed.
court within seventy-two hours after the issuance (P.B. 1978-1997, Sec. 4166A.)
499
Sec. 78a-1 RULES OF APPELLATE PROCEDURE
CHAPTER 78a
REVIEW OF ORDERS CONCERNING RELEASE ON BAIL
Sec.
78a-1. Petition for Review of Order concerning Release
on Bail
Sec. 78a-1. Petition for Review of Order con- and any hearing ordered by the court shall be
cerning Release on Bail held expeditiously with reasonable notice.
Any accused person or the state, aggrieved by Petitions for review of bail must conform to the
an order of the superior court concerning release, requirements for motions for review set forth in
may petition the appellate court for review of such Section 66-6 and are subject to transfer to the
order. Any such petition shall have precedence supreme court pursuant to Section 65-3.
over any other matter before the appellate court (Adopted June 2, 2005, to take effect Jan. 1, 2006.)
500
CHAPTER 79
APPEALS IN JUVENILE MATTERS
[Repealed as of Feb. 1, 2012.]
Sec. Sec.
79-1. Time to Take; Form; Filing; Costs [Repealed] 79-4. Hearings; Confidentiality [Repealed]
79-2. Clerk’s Duties [Repealed] 79-5. Briefs [Repealed]
79-3. Inspection of Records [Repealed]
Sec. 79-1. Time to Take; Form; Filing; Costs Sec. 79-4. Hearings; Confidentiality
[Repealed as of Feb. 1, 2012.] [Repealed as of Feb. 1, 2012.]
Sec. 79-2. Clerk’s Duties Sec. 79-5. Briefs
[Repealed as of Feb. 1, 2012.] [Repealed as of Feb. 1, 2012.]
Sec. 79-3. Inspection of Records
[Repealed as of Feb. 1, 2012.]
501
CHAPTER 79a
APPEALS IN CHILD PROTECTION MATTERS
Sec. Sec.
79a-1. Child Protection Appeals Defined 79a-8. Docketing Child Protection Appeals for
79a-2. Time to Appeal Assignment
79a-9. Oral Argument (Applicable to appeals filed before
79a-3. Filing of the Appeal
July 1, 2013.)
79a-4. Waiver of Fees, Costs and Security 79a-9. Oral Argument (Applicable to appeals filed on or
79a-5. Ordering Transcripts after July 1, 2013.)
79a-6. Format and Time for Filing Briefs (Applicable to 79a-10. Submission without Oral Argument on Request
appeals filed before July 1, 2013.) of Parties
79a-6. Format and Time for Filing Briefs and Appendices 79a-11. Official Release Date
79a-12. Inspection of Records
(Applicable to appeals filed on or after July 1, 79a-13. Hearings; Confidentiality
2013.) 79a-14. Motions Filed with the Appellate Clerk
79a-7. Motions for Extension of Time 79a-15. Applicability of Rules
Sec. 79a-1. Child Protection Appeals If notice of the judgment or decision is given in
Defined open court, the appeal period shall begin on that
Child protection appeals in juvenile matters day. If notice of the judgment or decision is given
include all appeals from judgments in all proceed- only by mail, the appeal period shall begin on
ings concerning uncared for, neglected or abused the day that notice of the judgment or decision is
children and youth within this state, termination mailed to counsel by the clerk for juvenile matters.
of parental rights of children committed to a state The failure to give notice of judgment to a nonap-
agency, petitions for transfers, removal or rein- pearing party shall not affect the running of the
statement of guardianship and contested matters appeal period.
involving termination of parental rights or removal (c) How a new appeal period is created
of guardian transferred or appealed from the pro- If a motion is filed within the appeal period that,
bate court. if granted, would render the judgment or decision
(Adopted Nov. 17, 2011, to take effect Feb. 1, 2012.) ineffective, then a new twenty day appeal period
for filing the appeal shall begin on the day that
Sec. 79a-2. Time to Appeal notice of the ruling is given on the last such out-
(a) General Provisions standing motion. Such motions include, but are
Unless a different period is provided by statute, not limited to, motions that seek: the opening or
appeals from judgments of the superior court in setting aside of the judgment; a new trial; reargu-
child protection matters shall be filed within twenty ment of the judgment or decision; or any alteration
days from the issuance of notice of the rendition of the terms of the judgment. Motions that do not
of the decision or judgment from which the appeal give rise to a new appeal period include those
is filed. The judge who tried the case may, for that seek: clarification or articulation, as opposed
good cause shown, extend the time limit provided to alteration, of the terms of the judgment or deci-
for filing the appeal. In no event shall the trial sion; a written or transcribed statement of the trial
judge extend the time for filing the appeal to a court’s decision; or reargument or reconsideration
date which is more than twenty days from the of a motion listed in this paragraph.
expiration date of the initial appeal period. Where If, within the appeal period, any application is
a motion for extension of the period of time within filed, pursuant to Section 79a-4, seeking waiver
which to appeal has been filed at least ten days of fees, costs and security or appointment of coun-
before expiration of the time limit sought to be sel, a new twenty day appeal period or statutory
extended, and such motion is denied, the party period for filing the appeal is not created. If a party
seeking to appeal shall have no less than ten days files, pursuant to Section 66-6, a motion for review
from issuance of notice of the denial of the motion of the denial of any such application, a new appeal
for extension in which to file the appeal. period shall begin on the day that notice of the
(b) When appeal period begins ruling is given on the motion for review.
502
RULES OF APPELLATE PROCEDURE Sec. 79a-3
(d) What may be appealed during new proceeding which resulted in the decision or judg-
appeal period ment from which an appeal is being sought shall,
If a new appeal period is created under Section within twenty days of the decision or judgment,
79a-2 (c), the new appeal period may be used for simultaneously file with the court before which the
appealing the original judgment or decision and/ matter was heard a motion for an additional twenty
or for appealing any order that gave rise to the day extension of time to appeal, a sworn applica-
new appeal period. Such period may also be used tion signed by the indigent party for appointment
for amending an existing appeal pursuant to Sec- of an appellate review attorney and a waiver of
tion 61-9 to challenge the ruling that gave rise to fees, costs, and expenses, including the cost of
the new appeal period. Rulings on applications an expedited transcript. The indigent party shall
for waiver of fees, costs and security or motions immediately request an expedited transcript from
for appointment of counsel may not be appealed the court reporter in accordance with Section 79a-
during the new appeal period but may be chal- 5, the cost of which shall be paid for by the Division
lenged by motion for review in accordance with of Public Defender Services.
Section 66-6. (c) Review by the Division of Public
(e) Limitation of time to appeal Defender Services
Unless a new appeal period is created pursuant (1) If the appellate review attorney determines
to Section 79a-2 (c), the time to file a child protec- that there is merit to an appeal, that attorney shall
tion appeal shall not be extended past forty days file the appeal in accordance with Section 63-3.
(the original twenty days plus one twenty day (2) If the reviewing attorney determines that
extension for appellate review) from the date of there is no merit to an appeal, that attorney shall
issuance of notice of the rendition of the judgment make this decision known to the judicial authority,
or decision. to the party and to the Division of Public Defender
(Adopted Nov. 17, 2011, to take effect Feb. 1, 2012; Services at the earliest possible moment. The
amended April 30, 2014, to take effect Aug. 1, 2014; amended reviewing attorney shall inform the party, by letter,
Sept. 16, 2015, to take effect Jan. 1, 2016.) of the balance of the time remaining to appeal as
HISTORY—2016: In 2016, in the first sentence of subsec-
tion (a), two instances of ‘‘taken’’ were replaced with ‘‘filed’’:
a self-represented party or to secure counsel who
after ‘‘shall be’’ and after ‘‘appeal is.’’ Also in 2016, in subsec- may file an appearance to represent the party on
tion (e), ‘‘file’’ replaced ‘‘take’’ after ‘‘time to.’’ appeal at the party’s own expense. A copy of
the letter shall be sent to the clerk for juvenile
Sec. 79a-3. Filing of the Appeal matters forthwith.
(a) General Provisions (d) Duties of clerk for juvenile matters for
Appeals in juvenile matters shall be filed in cases on appeal
accordance with the provisions of Section 63-3 The appellate clerk shall send notice to the clerk
and all required fees shall be paid in accordance for juvenile matters and to the clerk of any trial
with Sections 60-7 and 60-8. court to which the matter was transferred that an
(b) Appeal by indigent party appeal has been filed. Upon receipt of such notice,
If a trial attorney who has provided representa- the clerk for juvenile matters shall send a copy of
tion to an indigent party through the Division of the appeal form and the case information form to
Public Defender Services declines to pursue an the commissioner of children and families, to the
appeal and the indigent party expressly wishes petitioner upon whose application the proceed-
to appeal, the trial attorney shall within twenty ings in the superior court were instituted, unless
days of the decision or judgment simultaneously such party is the appellant, to any person or
file with the court before which the matter was agency having custody of any child who is a sub-
heard a motion for an additional twenty day exten- ject of the proceeding, the Division of Public
sion of time to appeal, a sworn application signed Defender Services, and to all other interested per-
by the indigent party for appointment of an appel- sons; and if the addresses of any such persons
late review attorney and a waiver of fees, costs do not appear of record, such juvenile clerk shall
and expenses, including the cost of an expedited call the matter to the attention of a judge of the
transcript, and shall immediately request an expe- superior court who shall make such an order of
dited transcript from the court reporter in accord- notice as such judge deems advisable.
ance with Section 79a-5, the cost of which shall (Adopted Nov. 17, 2011, to take effect Feb. 1, 2012;
be paid for by the Division of Public Defender amended Sept. 16, 2015, to take effect Jan. 1, 2016.)
HISTORY—2016: Prior to 2016, subsection (a) read: ‘‘If
Services. counsel of record files an appeal with the clerk for juvenile
Any party who is indigent who wishes to appeal matters, counsel of record shall then file with the appellate
and was not provided with representation by the clerk two copies of the endorsed appeal form, accompanied
Division of Public Defender Services during the by those papers required by Section 63-4, within ten days of
503
the filing of the original appeal form. All filings shall contain a Sec. 79a-5. Ordering Transcripts
certification in accordance with Section 62-7 that a copy has
been served on all counsel or self-represented parties of
Transcripts in child protection appeals and in
record.’’ cases reviewed by the Division of Public Defender
Also in 2016, in subsection (b) (1), what had been a refer- Services shall be ordered expedited and delivered
ence to Section 79a-3 (a) now refers to Section 63-3. to the ordering party no later than the close of the
In addition, prior to 2016, subsection (d) read: ‘‘At the time fifth business day following the date the order
of the filing of the appeal, the clerk for juvenile matters shall is placed.
endorse the appeal form and return a copy of the endorsed (Adopted Nov. 17, 2011, to take effect Feb. 1, 2012.)
appeal form to the filing party, send a copy of the endorsed
appeal form and the case information form to the commissioner Sec. 79a-6. Format and Time for Filing Briefs
of children and families, to the petitioner upon whose applica- (Applicable to appeals filed before July 1, 2013.)
tion the proceedings in the superior court were instituted, Briefs shall be prepared and submitted in
unless such party is the appellant, to any person or agency
having custody of any child who is a subject of the proceeding,
accordance with Chapter 67 of these rules except
the Division of Public Defender Services, the appellate clerk that the time for filing briefs shall be strictly
and to all other interested persons; and if the addresses of observed and abbreviated as set forth below.
any such persons do not appear of record, such juvenile clerk (a) Except as otherwise ordered, the appellant’s
shall call the matter to the attention of a judge of the superior brief shall be filed within forty days after the deliv-
court who shall make such an order of notice as such judge ery of the transcript ordered by the appellant. In
deems advisable.’’ cases where no transcript is required or the tran-
Sec. 79a-4. Waiver of Fees, Costs and script has been received by the appellant prior to
Security the filing of the appeal, the appellant’s brief shall
be filed within forty days of the filing of the appeal.
(a) Any written application to the court for (b) Except as otherwise ordered, the brief of
appointment of an appellate review attorney or the appellee shall be filed within thirty days after
the waiver of fees, costs and expenses must be the filing of the appellant’s brief or the delivery
personally signed by the indigent party under oath date of the portions of the transcript ordered only
and include a financial affidavit reciting facts con- by that appellee, whichever is later.
cerning the applicant’s financial status. The judi- (c) Counsel for the minor child and/or counsel
cial authority shall act without a hearing on the for the guardian ad litem shall, within ten days of
application. If the court is satisfied that the appli- the filing of the appellee’s brief, file either: (1) a
cant is indigent and has a statutory right to the brief, (2) a statement adopting the brief of either
appointment of an appellate review attorney or a the appellant or an appellee, or (3) a detailed
statutory right to appeal without payment of fees, statement that the factual or legal issues on
costs and expenses, the court may without a hear- appeal do not implicate the child’s interests.
ing: (1) waive payment by the applicant of fees (d) The appellant may file a reply brief within
specified by statute and of taxable costs, and (2) ten days of the filing of the appellee’s brief.
order that the necessary expenses of reviewing (e) Except as otherwise ordered, the case shall
or prosecuting the appeal be paid by the Division be deemed ready for assignment by the court
of Public Defender Services in accordance with after the filing of the appellee’s brief.
Section 79a-3 (c). If the court is not satisfied that (f) The unexcused failure to file briefs in accord-
the applicant is indigent and has a statutory right ance with this schedule may result in a dismissal
to the appointment of an appellate review attorney of the appeal pursuant to Section 85-1, a refusal
or a statutory right to appeal without payment of of the court to accept the late brief and/or an
fees, costs and expenses, then an immediate assignment of the case without the delinquent
hearing shall be scheduled for the application. If brief.
an application is untimely filed, the court may deny (Adopted Nov. 17, 2011, to take effect Feb. 1, 2012.)
the application without hearing. The court may not Sec. 79a-6. Format and Time for Filing Briefs
consider the relative merits of a proposed appeal and Appendices
in acting upon an application pursuant to this (Applicable to appeals filed on or after July 1, 2013.)
section. (Amended June 5, 2013, to take effect July 1, 2013.)
(b) The filing of the application for the appoint- Briefs and appendices shall be prepared and
ment of an appellate review attorney or waiver of submitted in accordance with chapter 67 of these
fees, costs and expenses will not extend the rules except that the time for filing briefs and
appeal period. A denial of the application may appendices shall be strictly observed and abbrevi-
be addressed solely by motion for review under ated as set forth below.
Section 66-6. See Section 79a-2 (c). (a) Except as otherwise ordered, the appellant’s
(Adopted Nov. 17, 2011, to take effect Feb. 1, 2012.) brief and appendix shall be filed within forty days
504
after the delivery of the transcript ordered by the (b) In child protection appeals as defined by
appellant. In cases where no transcript is required Section 79a-1 where: (1) the dispositive issue or
or the transcript has been received by the appel- set of issues has been recently authoritatively
lant prior to the filing of the appeal, the appellant’s decided; or (2) the facts and legal arguments are
brief and appendix shall be filed within forty days adequately presented in the briefs and record and
of the filing of the appeal. the decisional process would not be significantly
(b) Except as otherwise ordered, the brief and aided by oral argument, notice will be sent to
appendix of the appellee shall be filed within thirty counsel of record that the case will be decided
days after the filing of the appellant’s brief or the on the briefs and record only. This notice will be
delivery date of the portions of the transcript sent after all briefs and appendices have been
ordered only by that appellee, whichever is later. filed. Any party may request argument by letter
(c) Counsel for the minor child and/or counsel addressed to the appellate clerk stating briefly the
for the guardian ad litem shall, within ten days of reasons why oral argument is appropriate and
the filing of the appellee’s brief, file either: (1) a shall do so within seven days of the issuance of
brief, (2) a statement adopting the brief of either the court’s notice. After receipt and consideration
the appellant or an appellee, or (3) a detailed of such a request, the court will either assign the
statement that the factual or legal issues on case for oral argument or assign the case for
appeal do not implicate the child’s interests. disposition without oral argument, as it deems
(d) The appellant may file a reply brief within appropriate.
ten days of the filing of the appellee’s brief. (c) In matters involving parties who are incarcer-
(e) Except as otherwise ordered, the case shall ated and self-represented, oral argument may be
be deemed ready for assignment by the court conducted by videoconference upon direction of
after the filing of the appellee’s brief and appendix. the court in its discretion.
(f) The unexcused failure to file briefs and (Adopted Nov. 17, 2011, to take effect Feb. 1, 2012.)
appendices in accordance with this schedule may
result in a dismissal of the appeal pursuant to Sec. 79a-9. Oral Argument
Section 85-1, a refusal of the court to accept the (Applicable to appeals filed on or after July 1, 2013.)
late brief and/or an assignment of the case without (a) Oral argument will be allowed as of right
the delinquent brief. except as provided in subsection (b) of this rule.
(Adopted Nov. 17, 2011, to take effect Feb. 1, 2012; (b) In child protection appeals as defined by
amended June 5, 2013, to take effect July 1, 2013.) Section 79a-1 where: (1) the dispositive issue or
Sec. 79a-7. Motions for Extension of Time set of issues has been recently authoritatively
decided; or (2) the facts and legal arguments are
Motions for extension of time filed in the appel-
adequately presented in the briefs and the deci-
late court shall be filed in accordance with Section
sional process would not be significantly aided by
66-1 and, if filed, shall be presented to a judge of
the appellate court for determination. Such oral argument, notice will be sent to counsel of
motions may be granted only for good cause record that the case will be decided on the briefs
shown. and record only. This notice will be issued after
(Adopted Nov. 17, 2011, to take effect Feb. 1, 2012.) all briefs and appendices have been filed. Any
party may file a request for argument stating
Sec. 79a-8. Docketing Child Protection briefly the reasons why oral argument is appro-
Appeals for Assignment priate and shall do so within seven days of the
The supreme court and appellate court may issuance of the court’s notice. After receipt and
assign child protection matters without the case consideration of such a request, the court will
appearing on the docket. See Sections 69-1 and either assign the case for oral argument or assign
69-2. the case for disposition without oral argument, as
Notwithstanding the provisions of Section 69- it deems appropriate.
3, child protection appeals shall ordinarily take (c) In matters involving parties who are incarcer-
precedence for assignment for oral argument. ated and self-represented, oral argument may be
(Adopted Nov. 17, 2011, to take effect Feb. 1, 2012; conducted by videoconference upon direction of
amended Sept. 16, 2015, to take effect Jan. 1, 2016.) the court in its discretion.
HISTORY—2016: In 2016, ‘‘printed’’ was deleted before (Adopted Nov. 17, 2011, to take effect Feb. 1, 2012;
‘‘docket.’’ amended June 5, 2013, to take effect July 1, 2013; amended
Sec. 79a-9. Oral Argument
HISTORY—2016: In 2016, in the second sentence of sub-
(Applicable to appeals filed before July 1, 2013.) section (b), ‘‘issued’’ replaced ‘‘sent’’ after ‘‘will be.’’ Prior to
(a) Oral argument will be allowed as of right 2016, the third sentence of subsection (b) read: ‘‘Any party
except as provided in subsection (b) of this rule. may request argument by letter addressed to the appellate
505
clerk stating briefly the reasons why oral argument is appro- the judgment shall be deemed to have been ren-
priate and shall do so within seven days of the issuance of dered on the date the oral announcement is made.
the court’s notice.’’ The official release date of decisions upon
Sec. 79a-10. Submission without Oral Argu- motions, petitions and of orders of the court shall
ment on Request of Parties be the date the appellate clerk issues notice to
the parties.
Counsel of record may, before or after a case See Sections 71-1 and 71-4 and General Stat-
has been assigned for a hearing, file a request to utes §§ 51-213 and 51-215a.
submit the case for decision on the briefs and (Adopted Nov. 17, 2011, to take effect Feb. 1, 2012.)
record only, without oral argument. No request for Sec. 79a-12. Inspection of Records
submission without oral argument will be granted
The records and papers of any juvenile matter
unless the requesting party certifies that all other
shall be open for inspection only to counsel of
parties agree to waive oral argument. This rule record and to others having a proper interest
applies only to counsel of record who have filed therein only upon order of the court. The name
a brief or joined in the brief of another party. of the child or youth involved in any appeal from
(Adopted Nov. 17, 2011, to take effect Feb. 1, 2012;
a juvenile matter shall not appear on the record
HISTORY—2016: Prior to 2016, the first sentence of this of the appeal.
(Adopted Nov. 17, 2011, to take effect Feb. 1, 2012.)
section read: ‘‘With the permission of the court, counsel of
record may, before or after a case has been assigned for a Sec. 79a-13. Hearings; Confidentiality
hearing, submit the case for decision on the record and briefs (a) For the purpose of maintaining confidential-
only, without oral argument.’’ ity, upon the hearing of an appeal from a juvenile
Sec. 79a-11. Official Release Date matter, the court may exclude any person from
the court whose presence is unnecessary.
A judgment in child protection appeals shall be (b) All proceedings shall be conducted in a man-
deemed to have been rendered on the date an ner that will preserve the anonymity of the child
opinion or memorandum decision appears in the or youth.
Connecticut Law Journal; except that if an opinion (Adopted Nov. 17, 2011, to take effect Feb. 1, 2012.)
or memorandum decision is issued by slip opinion, Sec. 79a-14. Motions Filed with the Appel-
the official release date is the date indicated in late Clerk
the slip opinion, and the parties shall be notified All motions filed with the appellate clerk in child
and sent the opinion or memorandum decision protection matters shall include a statement on
by the reporter of judicial decisions via electronic the first page by the moving party as to whether
mail. If any of the parties who participated in the the other parties consent or object to the motion.
appeal has not provided the reporter of judicial (Adopted Nov. 17, 2011, to take effect Feb. 1, 2012.)
decisions with an electronic mail address, then Sec. 79a-15. Applicability of Rules
the slip opinion or memorandum decision shall be The rules governing other appeals shall, so far
mailed to the parties by the appellate clerk on the as applicable, and to the extent they have not
date indicated in the slip opinion. been modified by this chapter, be the rules for all
If a judgment in a child protection appeal is proceedings in child protection appeals.
given by oral announcement from the bench, then (Adopted Nov. 17, 2011, to take effect Feb. 1, 2012.)
506
CHAPTER 80
APPEALS IN HABEAS CORPUS PROCEEDINGS FOLLOWING CONVICTION
Sec.
80-1. Certification to Appeal; Procedure on Appeal
Sec. 80-1. Certification to Appeal; Proce- court administrator, within ten days after the case
dure on Appeal is decided. The appeal shall be filed within twenty
In any habeas corpus proceeding where the days from the issuance of the notice of decision
party desiring to appeal is required by statute to on the petition for certification, unless an applica-
petition the trial court for certification that a question for waiver of fees, costs and security is filed
tion is involved in the decision which ought to be pursuant to Section 63-6, in which event the
reviewed by the appellate court, the petition for appeal shall be filed within twenty days from the
such certification shall be made to the judge who decision on the application.
(P.B. 1978-1997, Sec. 4166C.) (Amended July 23, 1998,
tried the case or, if such judge is unavailable, a to take effect Jan. 1, 1999; amended May 12, 2004, to take
judge of the superior court designated by the chief effect Jan. 1, 2005.)
507
CHAPTER 81
APPEALS TO APPELLATE COURT BY CERTIFICATION FOR REVIEW
IN ACCORDANCE WITH GENERAL STATUTES CHAPTERS 124 AND 440
Sec. Sec.
81-1. Petition; Where to File; Time to File; Service; Fee 81-4. Proceedings after Certification by Appellate Court
81-2. Form of Petition 81-5. Extensions of Time
81-3. Statement in Opposition to Petition 81-6. Filing of Regulations
Sec. 81-1. Petition; Where to File; Time to The clerk shall endorse on the original petition the date and
File; Service; Fee time of filing and the receipt, or waiver, of fees. The clerk shall
return the original endorsed petition to the petitioner, who shall
(a) A petition for certification in accordance with promptly file it, together with fifteen additional copies, with the
chapters 124 and 440 of the General Statutes appellate clerk. The petitioner shall serve a copy upon every
shall be filed with the appellate clerk by the party other party in the manner set forth in Section 62-7.’’
aggrieved by the decision of the trial court within
twenty days from the issuance of notice of the Sec. 81-2. Form of Petition
decision of the trial court. All petitions for certifica- (a) A petition for certification shall contain the
tion to appeal shall be filed and all fees paid in following sections in the order indicated here:
accordance with the provisions of Sections 60-7 (1) A statement of the questions presented for
or 60-8. If within this period a timely motion is review, expressed in the terms and circumstances
filed which, if granted, would render the trial court of the case but without unnecessary detail.
judgment ineffective, as, for example, a motion (2) A statement of the basis for certification
for a new trial, then the twenty days shall run from identifying the specific reasons why the appellate
the issuance of notice of the decision thereon. court should allow the extraordinary relief of certifi-
The petitioner shall serve a copy of the petition cation. These reasons may include but are not
upon every other party in the manner set forth in limited to the following:
Section 62-7 and upon the clerk of the original (A)The court below has decided a question of
trial court. substance not theretofore determined by the
(b) Any other party aggrieved by the decision supreme court or the appellate court or has
of the trial court may file a cross petition within decided it in a way probably not in accord with
ten days of the filing of the original petition. The applicable decisions of the supreme court or the
filing of cross petitions, including the payment of appellate court.
the fee, service pursuant to Section 62-7, the form (B) The decision under review is in conflict with
of the cross petition, and all subsequent proceed- other decisions of the court below.
ings shall be the same as though the cross petition
were an original petition. (C) The court below has so far departed from
(c) The filing of a petition or cross petition by the accepted and usual course of judicial proceed-
one party shall be deemed to be a filing on behalf ings, or has so far sanctioned such a departure
of that party only. by any other court, as to call for an exercise of
(P.B. 1978-1997, Sec. 4142.) (Amended Sept. 22, 2004, the appellate court’s supervision.
to take effect Jan. 1, 2005; amended May 4, 2006, to take (D) A question of great public importance is
effect Jan. 1, 2007; amended Sept. 16, 2015, to take effect involved.
Jan. 1, 2016.) (3) A summary of the case containing the facts
HISTORY—2016: Prior to 2016, subsection (a) read: ‘‘A
petition for certification in accordance with chapters 124 and
material to the consideration of the questions pre-
440 of the General Statutes shall be filed by the party aggrieved sented, reciting the disposition of the matter in the
by the decision of the trial court in the trial court within twenty trial court, and describing specifically how the trial
days from the issuance of notice of the decision of the trial court decided the questions presented for review
court. If within this period a timely motion is filed which, if in the petition.
granted, would render the trial court judgment ineffective, as,
for example, a motion for a new trial, then the twenty days
(4) A concise argument amplifying the reasons
shall run from the issuance of notice of the decision thereon. relied upon to support the petition. No separate
‘‘The petitioner shall file the original and one copy of the memorandum of law in support of the petition will
petition with, and pay a filing fee to, the clerk of the trial court. be accepted by the appellate clerk.
508
(5) An appendix containing the operative com- (c) No motion to dismiss a petition for certifica-
plaint, all briefs filed by all parties, the opinion or tion will be accepted by the appellate clerk. Any
order of the trial court sought to be reviewed, a objection to the jurisdiction of the court to entertain
copy of the order on any motion which would stay the petition shall be included in the statement in
or extend the time period for filing the petition, opposition.
and a list of all parties to the appeal in the trial (P.B. 1978-1997, Sec. 4142.2.) (Amended Jan. 17, 2002,
court with the names, addresses, telephone and to take effect April 15, 2002; amended May 15, 2003, to take
facsimile numbers, e-mail addresses, and, if appli- effect Jan. 1, 2004; amended May 4, 2006, to take effect Jan.
cable, the juris numbers of their counsel. 1, 2007; amended Sept. 16, 2015, to take effect Jan. 1, 2016.)
HISTORY—2016: Prior to 2016, what had been the first
(b) The petition shall not exceed ten pages in three sentences of subsection (a) read: ‘‘Within ten days of
length, exclusive of the appendix, except with spe- the filing of the petition in the trial court, any party may file a
cial permission of the appellate clerk. The petition statement in opposition to the petition. The original statement
shall be typewritten and fully double spaced, and in opposition, together with fifteen additional copies, shall be
shall not exceed three lines to the vertical inch or filed with the appellate clerk. The statement shall disclose
twenty-seven lines to the page. Footnotes and any reasons why certification should not be granted by the
block quotations may be single spaced. Only the appellate court and shall be presented in a manner which is
responsive, in form and content, to the petition it opposes.’’
following two typefaces, of 12 point or larger size, Also in 2016, what had been the final sentence of the first
are approved for use in petitions: arial and univers. paragraph of subsection (a) was deleted. It read: ‘‘A certificate
Each page of a petition shall have as a minimum shall be attached to the signed, original statement in opposi-
the following margins: top, 1 inch; left, 1 and 1/4 tion, indicating that it is in compliance with all the provisions
inch; right, 1/2 inch; and bottom, 1 inch. of this rule.’’ In addition, in subsection (b), ‘‘served’’ was
(P.B. 1978-1997, Sec. 4142.1.) (Amended July 23, 1998, deleted after ‘‘shall be’’ and was replaced with ‘‘delivered.’’
to take effect Jan. 1, 1999; amended Jan. 17, 2002, to take
effect April 15, 2002; amended May 15, 2003, to take effect Sec. 81-4. Proceedings after Certification by
Jan. 1, 2004; amended July 11, 2012, to take effect Jan. 1, Appellate Court
2013; amended Sept. 16, 2015, to take effect Jan. 1, 2016.)
HISTORY—2016: In 2016, in subsection (a) (5), ‘‘e-mail Within twenty days from the issuance of notice
addresses,’’ was added after ‘‘facsimile numbers.’’ Also in that certification has been granted, the petitioner,
2016, what had been the final sentence of subsection (b) was who shall be considered the appellant, shall file
deleted. It read: ‘‘A certificate shall be attached to the signed, the appeal in accordance with the procedure set
original petition, indicating that it is in compliance with all the forth in Section 63-3 and shall pay all required
provisions of this rule.’’
fees in accordance with the provisions of Sections
Sec. 81-3. Statement in Opposition to 60-7 or 60-8. The clerk of the trial court must
Petition forward the case file to the appellate clerk in
(a) Within ten days of the filing of the petition, accordance with Section 68-1. Except as other-
any party may file a statement in opposition with wise noted in Section 81-6, all proceedings subse-
the appellate clerk stating the reasons why certifi- quent to the filing of the appeal shall be governed
cation should not be granted. The statement shall by the rules applicable to appeals.
be presented in a manner which is responsive, in (P.B. 1978-1997, Sec. 4142.3.) (Amended July 24, 2002,
to take effect Oct. 1, 2002; amended Sept. 16, 2015, to take
form and content, to the petition it opposes. The effect Jan. 1, 2016.)
statement in opposition shall not exceed ten HISTORY—2016: Prior to 2016, this section read: ‘‘Within
pages in length, except with special permission twenty days from the issuance of notice of certification, the
of the appellate clerk. The statement in opposition petitioner, who shall be considered the appellant, shall file the
shall be typewritten and fully double spaced and appeal in the manner provided by Section 63-3, take all other
shall not exceed three lines to the vertical inch or steps as may be required by Section 63-4, and in accordance
twenty-seven lines to the page. Footnotes and with Section 63-5 shall pay the appropriate fees and give
security. The clerk of the trial court must forward the case file
block quotations may be single spaced. Only the to the appellate clerk in accordance with Section 68-1. Except
following two typefaces, of 12 point or larger size, as otherwise noted in Section 81-6, all proceedings subse-
are approved for use in the statement in opposi- quent to the filing of the appeal shall be governed by the rules
tion: arial and univers. Each page of a statement applicable to appeals and appeals from administrative
in opposition to a petition shall have as a minimum agencies.’’
the following margins: top, 1 inch; left, 1 and 1/4
inch; right, 1/2 inch; and bottom, 1 inch. Sec. 81-5. Extensions of Time
No separate memorandum of law in support of Motions for extensions of time for purposes of
the statement in opposition will be accepted by filing a petition for certification or a statement in
the appellate clerk. opposition thereto shall be filed with the appellate
(b) The statement in opposition shall be deliv- clerk and shall be governed by Section 66-1.
ered in the manner set forth in Section 62-7. (P.B. 1978-1997, Sec. 4142.4.)
509
Sec. 81-6. Filing of Regulations The appellant need not deliver a copy of such
regulations to other counsel of record.
Immediately after filing the appellant’s brief, the (Adopted July 24, 2002, to take effect Oct. 1, 2002;
appellant shall file one complete copy of the local HISTORY—2016: Prior to 2016, this section read: ‘‘The
land use regulations that were in effect at the time appellant’s brief shall be filed simultaneously with one com-
plete copy of the local land use regulations that were in effect
of the hearing that gave rise to the agency action at the time of the hearing that gave rise to the agency action
or ruling in dispute. The regulations shall be certi- or ruling in dispute. The regulations shall be certified by the
local zoning or equivalent official as having been in effect at
fied by the local zoning or equivalent official as the time of the hearing. The appellant need not serve a copy
having been in effect at the time of the hearing. of such regulations on other counsel of record.’’
510
CHAPTER 82
CERTIFIED QUESTIONS TO OR FROM COURTS OF OTHER JURISDICTIONS
(Amended Nov. 4, 2004, to take effect Jan. 1, 2005; amended Feb. 1, 2005, to take effect Jan. 1, 2006.)
Sec. Sec.
82-1. Certification of Questions from Other Courts 82-6. Briefs and Argument (Applicable to appeals filed
82-2. Method of Initiating [Repealed] before July 1, 2013.)
82-6. Briefs, Appendices and Argument (Applicable to
82-3. Contents of Certification Request
82-4. Preparation of Certification Request 82-7. Opinion
82-5. Receipt; Costs of Certification 82-8. Certification of Questions to Other Courts
Sec. 82-1. Certification of Questions from Sec. 82-4. Preparation of Certification

Other Courts Request
The supreme court may answer questions of The certification request shall be prepared by
law certified to it by a court of the United States the certifying court, signed by the judge presiding
or by the highest court of another state, as defined at the hearing, and forwarded to the supreme
in General Statutes § 51-199b, or by the highest court by the clerk of the certifying court under
court of a tribe of Native Americans recognized its official seal. Upon receipt of the certification
by federal law when requested by the certifying request, the appellate clerk shall notify the parties
court if the answer may be determinative of an who shall be allowed a period of ten days from
issue in pending litigation in the certifying court the date of such notice to file objections to the
and if there is no controlling appellate decision, acceptance of the certification request. The
constitutional provision or statute of this state. supreme court shall either preliminarily accept or
(P.B. 1978-1997, Sec. 4168.) (Amended Nov. 4, 2004, to decline the certification request. The appellate
take effect Jan. 1, 2005; amended Feb. 1, 2005, to take effect clerk shall notify the clerk of the court requesting
Jan. 1, 2006.)
certification and all parties of the decision or order
Sec. 82-2. Method of Initiating on the certification request. If the supreme court
[Repealed as of Jan. 1, 2005.] preliminarily accepts the certified question, the
plaintiff in the court that requested certification
Sec. 82-3. Contents of Certification Request shall be deemed the appellant, and the defendant
A certification request shall set forth: (1) The in such court shall be deemed the appellee unless
questions of law to be answered; (2) a finding or otherwise ordered by the supreme court.
stipulation approved by the court setting forth all The supreme court may later reject the certifica-
facts relevant to answering the questions certified tion if it should appear to have been improvidently
and showing fully the nature of the controversy in granted. The supreme court may decline to
which the questions arose; (3) that the receiving answer the questions certified whenever it
court may reformulate the questions; and (4) the appears that the questions have been improperly
names and addresses of counsel of record. framed, the necessary facts have not been fully
The questions presented should be such as will set forth, or, for any other reason, certification has
be determinative of the case, and it must appear been improvidently granted. The supreme court
that their present determination would be in the may also request that the certifying court provide
interest of simplicity, directness and economy of additional facts required for a decision upon the
judicial action. questions certified and clarify such questions
All questions presented shall be specific and when necessary. If the supreme court grants the
shall be phrased so as to require a Yes or No certification request, it may require the appellant
answer, wherever possible. to file those portions of the record that the
(P.B. 1978-1997, Sec. 4170.) (Amended Nov. 4, 2004, to supreme court deems necessary to answer the
take effect Jan. 1, 2005; amended Sept. 16, 2015, to take certified questions.
effect Jan. 1, 2016.) (P.B. 1978-1997, Sec. 4171.) (Amended Sept. 16, 2015,
HISTORY—2016: In 2016, in the first paragraph of this to take effect Jan. 1, 2016.)
section, ‘‘and self-represented parties’’ was deleted after ‘‘of HISTORY—2016: Prior to 2016, this section read: ‘‘The
record.’’ certification request shall be prepared by the certifying court,
511
signed by the judge presiding at the hearing, and forwarded Briefs filed by the parties shall conform to the
to the supreme court by the clerk of the certifying court under rules here. The time for filing briefs shall com-
its official seal. The certification request shall be submitted
together with eight copies thereof and also eight copies of any
mence from the mailing of notice of preliminary
briefs or other documents relating to the questions certified. acceptance of the certification order.
Upon receipt of the certification request, the appellate clerk Oral argument shall be as provided for by the
shall notify the parties who shall be allowed a period of ten rules here, unless otherwise ordered by the court.
days from the date of mailing such notice to file objections to (P.B. 1978-1997, Sec. 4173.) (Amended Nov. 4, 2004, to
the acceptance of the certification request. The supreme court take effect Jan. 1, 2005.)
shall either preliminarily accept or decline the certification
request. An order of preliminary acceptance shall not prevent Sec. 82-6. Briefs, Appendices and
the supreme court from rejecting the certification if it should Argument
later appear to have been improvidently ordered. (Applicable to appeals filed on or after July 1, 2013.)
‘‘The supreme court may decline to answer the questions Briefs and appendices filed by the parties shall
certified whenever it appears that the questions have been conform to the rules set forth in Chapter 67. The
improperly framed, the necessary facts have not been fully time for filing briefs and appendices shall com-
set forth, or, for any other reason, certification has been
improvidently ordered. The supreme court may also request mence from the issuance of notice of preliminary
the certifying court to provide additional facts required for a acceptance of the certification order.
decision upon the questions certified, and also to clarify such Oral argument shall be as provided in Chapter
questions when necessary. The supreme court may require 70, unless otherwise ordered by the court.
the original or copies of all or of any portion of the record (P.B. 1978-1997, Sec. 4173.) (Amended Nov. 4, 2004, to
before the certifying court to be filed with the certification order, take effect Jan. 1, 2005; amended June 5, 2013, to take effect
if, in the opinion of the supreme court, the record or portion July 1, 2013; amended Sept. 16, 2015, to take effect Jan.
thereof may be necessary in answering the questions.’’ 1, 2016.)
HISTORY—2016: Prior to 2016, this section read: ‘‘The
Sec. 82-5. Receipt; Costs of Certification plaintiff in the court that requested certification shall be deemed
Within twenty days of issuance of the notice of the appellant, and the defendant in such court shall be deemed
the appellee for purposes of these rules, unless otherwise
an order of preliminary acceptance, the appellant ordered by the court.
shall file the matter in accordance with the provi- ‘‘Briefs filed by the parties shall conform to the rules here.
sions of Section 63-3 for filing an appeal and shall The time for filing briefs shall commence from the mailing of
pay all required fees in accordance with Sections notice of preliminary acceptance of the certification order.
60-7 or 60-8. After paying the filing fee, the appel- ‘‘Oral argument shall be as provided for by the rules here,
unless otherwise ordered by the court.’’
lant shall be entitled to seek reimbursement from
the appellee for one half of the filing fee, unless Sec. 82-7. Opinion
otherwise ordered by the court that requested cer- Upon publication thereof, the written opinion of
tification. All proceedings subsequent to the filing the supreme court in response to the question or
of the matter shall be governed by the rules appli- questions certified shall be sent by the appellate
cable to appeals. No security or recognizance clerk to the certifying court. Unless otherwise
shall be required, and no costs shall be taxed in ordered by the supreme court, official notification
favor of either party. to counsel of record shall be the publication of
(P.B. 1978-1997, Sec. 4172.) (Amended Sept. 16, 2015, the opinion in the Connecticut Law Journal.
to take effect Jan. 1, 2016.) (P.B. 1978-1997, Sec. 4174.)
HISTORY—2016: Prior to 2016, this section read: ‘‘Upon
issuance of an order of preliminary acceptance, the appellate Sec. 82-8. Certification of Questions to
clerk shall docket the order, affix to the order the docket num- Other Courts
ber assigned, and shall send notice of issuance of such order, The supreme court, on its own motion or motion
with the docket number assigned, to the certifying court and of a party, may certify a question of law to the
to all parties. Within twenty days of receipt of such notice, the
fees and costs shall be paid equally by the parties, unless
highest court of another state, as defined in Gen-
otherwise ordered by the certifying court in its order of certifica- eral Statutes § 51-199b, or to the highest court of
tion. In addition, within twenty days of preliminary acceptance, a tribe of Native Americans recognized by federal
the parties shall file a docketing statement in the format speci- law if the pending cause involves a question to
fied in Section 63-4 (a) (4). No security or recognizance shall be be decided under the law of the other jurisdiction;
required, and no costs shall be taxed in favor of either party.’’ the answer to the question may be determinative
of an issue in the pending cause; and the question
Sec. 82-6. Briefs and Argument is one for which no answer is provided by a con-
(Applicable to appeals filed before July 1, 2013.) trolling appellate decision, constitutional provi-
The plaintiff in the court that requested certifica- sion, or statute of the other jurisdiction. The
tion shall be deemed the appellant, and the procedures for certification from the supreme
defendant in such court shall be deemed the court to the receiving court shall be those provided
appellee for purposes of these rules, unless other- in the statutes or rules of the receiving court.
wise ordered by the court. (Adopted Feb. 1, 2005, to take effect Jan. 1, 2006.)
512
CHAPTER 83
CERTIFICATION PURSUANT TO GENERAL STATUTES § 52-265a IN CASES OF
SUBSTANTIAL PUBLIC INTEREST
Sec. Sec.
83-1. Application; In General 83-3. Application Denied
83-2. Application Granted 83-4. Unavailability of Chief Justice
Sec. 83-1. Application; In General or facsimile or other electronic medium, the party submitting
the application shall provide the trial judge, the trial court clerk,
Within two weeks of the issuance of an order and all counsel of record with a copy of the application. This
or decision of the superior court involving a matter requirement is in addition to the customary certification require-
of substantial public interest pursuant to General ments of Section 62-7.’’
Statutes § 52-265a, any party may file an applica- Sec. 83-2. Application Granted
tion for certification by the chief justice. The appli-
If any application is certified pursuant to Gen-
cation for certification shall contain: (1) the
eral Statutes § 52-265a by the chief justice, the
question of law on which the appeal is to be based;
party that sought certification shall file the appeal
(2) a description of the substantial public interest
in accordance with the procedure set forth in Sec-
that is alleged to be involved; (3) an explanation
tion 63-3, except as modified by the supreme court
as to why delay may work a substantial injustice; pursuant to Sections 60-2 or 60-3, and shall pay
and (4) an appendix with: (A) the decision or order all required fees in accordance with Sections 60-
of the superior court sought to be appealed and 7 and 60-8. The party certified to appeal shall have
(B) a list of all parties to the case in the superior such additional time as the order of certification
court with the names, addresses, telephone and allows to file the appeal.
facsimile numbers, e-mail addresses and, if appli- (P.B. 1978-1997, Sec. 4178.) (Amended Sept. 16, 2015,
cable, the juris numbers of their counsel. to take effect Jan. 1, 2016.)
Using an expeditious delivery method such as HISTORY—2016: Prior to 2016, this section read: ‘‘If any
overnight mail or facsimile or other electronic application is certified pursuant to General Statutes § 52-265a
by the chief justice, the usual rules of procedure shall apply
medium, in addition to the certification require- except as modified by the supreme court pursuant to Sections
ments of Section 62-7, the party submitting the 60-2 or 60-3. The party certified to appeal shall have such
application shall also notify the trial judge and the additional time as the order of certification allows to file the
clerk of the trial court that rendered the decision appeal.’’
sought to be appealed. Sec. 83-3. Application Denied
take effect Jan. 1, 2001; amended Jan. 31, 2013, to take effect
If an application pursuant to General Statutes
April 19, 2013; amended Sept. 16, 2015, to take effect Jan. § 52-265a is denied by the chief justice, the denial
1, 2016.) shall be deemed to terminate all proceedings
HISTORY—2016: Prior to 2016, the first sentence of this relating to the appeal.
section read: ‘‘Prior to filing an appeal pursuant to General (P.B. 1978-1997, Sec. 4179.)
Statutes § 52-265a, the party seeking to appeal shall, within Sec. 83-4. Unavailability of Chief Justice
two weeks of the issuance of the order or decision of the
superior court, submit an original plus three copies of an appli- If the chief justice is unavailable or disqualified,
cation for certification by the chief justice.’’ In the second sen- the most senior associate justice who is available
tence ‘‘for certification’’ was added after ‘‘application.’’ and is not disqualified shall rule on the application
Prior to 2016, the second paragraph of this section read: for certification.
‘‘Using an expeditious delivery method such as overnight mail (P.B. 1978-1997, Sec. 4180.)
513
CHAPTER 84
APPEALS TO SUPREME COURT BY CERTIFICATION FOR REVIEW
Sec. Sec.
84-1. Certification by Supreme Court 84-8. Grant or Denial of Certification
84-2. Basis for Certification 84-9. Proceedings after Certification
84-3. Stay of Execution 84-10. Record (Applicable to appeals filed before July
1, 2013.)
84-4. Petition; Time to File; Where to File; Service; Fee 84-10. Record [Repealed only as to appeals filed on or
84-5. Form of Petition after July 1, 2013.]
84-6. Statement in Opposition to Petition 84-11. Papers to Be Filed by Appellant and Appellee
84-7. Extensions of Time 84-12. Applicability of Rules
Sec. 84-1. Certification by Supreme Court or, if no stay of proceedings was in effect, in which
An appeal may be filed with the supreme court the decision of the appellate court would change
upon the final determination of an appeal in the the position of any party from its position during
appellate court where the supreme court, upon the pendency of the appeal, proceedings to
petition of an aggrieved party, certifies the case enforce or carry out the judgment shall be stayed
for review. until the time to file the petition has expired. If a
(P.B. 1978-1997, Sec. 4126.) (Amended Sept. 16, 2015, petition by a party is filed, the proceedings shall
to take effect Jan. 1, 2016.) be stayed until the supreme court acts on the
HISTORY—2016: In 2016, ‘‘taken to’’ was deleted after
‘‘may be’’ and was replaced with ‘‘filed with.’’ petition and, if the petition is granted, until the final
determination of the cause; but if the presiding
Sec. 84-2. Basis for Certification judge of an appellate panel which heard the case
Certification by the supreme court on petition is of the opinion that the certification proceedings
by a party is not a matter of right but of sound have been filed only for delay or that the due
judicial discretion and will be allowed only where administration of justice so requires, such presid-
there are special and important reasons therefor. ing judge may, up to the time the supreme court
The following, while neither controlling nor fully acts upon the petition, upon motion order that
measuring the court’s discretion, indicate the the stay be terminated. If such presiding judge is
character of the reasons which will be considered: unavailable, the most senior judge on such panel
(1) Where the appellate court has decided a who is available may act upon such a motion for
question of substance not theretofore determined termination of the stay.
by the supreme court or has decided it in a way (P.B. 1978-1997, Sec. 4128.) (Amended Sept. 16, 2015,
probably not in accord with applicable decisions to take effect Jan. 1, 2016.)
of the supreme court. HISTORY—2016: In 2016, in the second sentence, ‘‘taken’’
(2) Where the decision under review is in con- was deleted after ‘‘have been’’ and was replaced with ‘‘filed.’’
flict with other decisions of the appellate court.
(3) Where the appellate court has so far Sec. 84-4. Petition; Time to File; Where to
departed from the accepted and usual course of File; Service; Fee
judicial proceedings, or so far sanctioned such a (a) A petition for certification shall be filed by
departure by any other court, as to call for an the petitioner within twenty days of (1) the date
exercise of the supreme court’s supervision. the opinion is officially released as set forth in
(4) Where a question of great public importance Section 71-4 or (2) the issuance of notice of any
is involved. order or judgment finally determining a cause in
(5) Where the judges of the appellate panel are the appellate court, whichever is earlier. If within
divided in their decision or, though concurring in this period a timely motion is filed which, if granted,
the result, are unable to agree upon a common would render the appellate court order or judg-
ground of decision. ment ineffective, as, for example, a motion for
(P.B. 1978-1997, Sec. 4127.)
reconsideration, or if within this period an applica-
Sec. 84-3. Stay of Execution tion for waiver of fees is filed, then the twenty
In any action in which a stay of proceedings days shall run from the issuance of notice of the
was in effect during the pendency of the appeal, decision thereon.
514
(b) All petitions for certification to appeal shall was paid at a location other than the original trial court, then
be filed and all fees paid in accordance with the the petitioner shall also attach a separate certification indicat-
ing that a copy has been served upon the clerk of the original
provisions of Sections 60-7 or 60-8. The petition trial court.
for certification will be docketed upon filing but ‘‘In cases where a waiver of fees, costs and expenses under
may be returned by the appellate clerk or rejected Section 63-6 or 63-7 was granted or a statutory provision
by the court upon review for compliance with the exempts the petitioner from paying the required fee, the peti-
rules of appellate procedure. tioner may file the original petition and fifteen additional copies
The petitioner shall deliver a copy of the petition of the petition directly with the appellate clerk. Any petition for
to every other party in the manner set forth in certification filed directly with the appellate clerk shall include
a certification indicating the name of the judge granting the
Section 62-7. The appellate clerk will send notice waiver of fees, costs and expenses and the date such waiver
of the filing to the clerk of the original trial court was granted, or the specific statutory section exempting the
and to the clerk of any trial courts to which the petitioner from paying the required fee. The petitioner shall
matter was transferred. serve a copy of the petition for certification upon every other
If no fee was required to file the initial appeal, party in the manner set forth in Section 62-7 and shall also
no fee is required for the petition. attach a certification indicating that a copy has been served
upon the clerk of the original trial court.
In workers’ compensation cases, the petitioner
‘‘In workers’ compensation cases, the petitioner shall file
shall also deliver a copy of the petition to the § 31- the original petition and fifteen additional copies of the petition
290a commissioner, and in an appeal from the directly with the appellate clerk. The petitioner shall serve a
board, the petitioner shall also deliver a copy of copy upon every other party in the manner set forth in Section
the petition to the board. 62-7, and upon the trial commissioner in a General Statutes
(c) Any other party aggrieved by the judgment § 31-290a appeal and upon the compensation review board
of the appellate court may file a cross petition in an appeal from that board. No fee is required in workers’
compensation cases.
within ten days of the filing of the original petition. ‘‘(b) Any other party aggrieved by the judgment of the appel-
The filing of cross petitions, including the payment late court may file a cross petition within ten days of the filing
of the fee, delivery pursuant to Section 62-7, the of the original petition. The filing of cross petitions, including
form of the cross petition, and all subsequent pro- the payment of the fee, service pursuant to Section 62-7, the
ceedings shall be the same as though the cross form of the cross petition, and all subsequent proceedings
petition were an original petition. shall be the same as though the cross petition were an origi-
(d) The filing of a petition or cross petition by nal petition.
‘‘(c) The filing of a petition or cross petition by one party
one party shall not be deemed to be a filing on shall not be deemed to be a filing on behalf of any other party.’’
behalf of any other party.
(P.B. 1978-1997, Sec. 4129.) (Amended July 23, 1998, to Sec. 84-5. Form of Petition
take effect Jan. 1, 1999; amended July 21, 1999, to take effect
Jan. 1, 2000; amended Oct. 10, 2001, to take effect Jan. 1, (a) A petition for certification shall contain the
2002; amended May 4, 2006, to take effect Jan. 1, 2007; following sections in the order indicated here:
amended July 26, 2012, to take effect Jan. 1, 2013; amended (1) A statement of the questions presented for
June 27, 2013, to take effect Oct. 1, 2013; amended Sept. review, expressed in the terms and circumstances
16, 2015, to take effect Jan. 1, 2016.)
HISTORY—2016: Prior to 2016, this section read: ‘‘(a) A
of the case but without unnecessary detail. The
petition for certification shall be filed by the petitioner within supreme court will ordinarily consider only those
twenty days of (1) the date the opinion is officially released questions squarely raised, subject to any limita-
as set forth in Section 71-4 or (2) the issuance of notice of any tion in the order granting certification.
order or judgment finally determining a cause in the appellate (2) A statement of the basis for certification
court, whichever is earlier. If within this period a timely motion identifying the specific reasons, including but not
is filed which, if granted, would render the appellate court
order or judgment ineffective, as, for example, a motion for limited to those enumerated in Section 84-2, why
reconsideration, or if within this period an application for waiver the supreme court should allow the extraordinary
of fees is filed, then the twenty days shall run from the issuance relief of certification.
of notice of the decision thereon. (3) A summary of the case containing the facts
‘‘The petitioner shall file the original and one copy of the material to the consideration of the questions pre-
petition with, and pay a filing fee to, the clerk of the trial court.
No fee shall be required in cases where a waiver of fees,
sented, reciting the disposition of the matter in the
costs and expenses under Section 63-6 or 63-7 was previously appellate court, and describing specifically how
granted. The fee, if not waived or exempted by statute, may the appellate court decided the questions pre-
be paid to the clerk of any trial court in the state. The clerk sented for review in the petition.
shall endorse on the original petition the date and time of filing (4) A concise argument amplifying the reasons
and the receipt, or waiver, of fees. The clerk shall return the relied upon to support the petition. No separate
original endorsed petition to the petitioner, who shall promptly
send it, with fifteen additional copies of the petition, to the memorandum of law in support of the petition will
appellate clerk. The petitioner shall serve a copy upon every be accepted by the appellate clerk.
other party in the manner set forth in Section 62-7. If the fee (5) An appendix containing:
515
(A) the opinion or order of the appellate court may be single spaced. Only the following two type-
sought to be reviewed, faces, of 12 point or larger size, are approved
(B) if the opinion or order of the appellate court for use in the statement in opposition: arial and
was a summary affirmance or dismissal, a copy univers. Each page of a statement in opposition
of the trial court’s memorandum of decision that to a petition shall have as a minimum the following
was entered in connection with the claim raised margins: top, 1 inch; left, 1 and 1/4 inch; right, 1/2
by the petitioner before the appellate court, or, if inch; and bottom, 1 inch. No separate memoran-
no memorandum was filed, a copy of the trial dum of law in support of the statement in opposi-
court’s ruling on the matter, tion will be accepted by the appellate clerk.
(C) a copy of the order on any motion which (b) The statement in opposition shall be deliv-
would stay or extend the time period for filing ered in the manner set forth in Section 62-7.
the petition, (c) No motion to dismiss a petition for certifica-
(D) a list of all parties to the appeal in the appel- tion will be accepted by the appellate clerk. Any
late court with the names, addresses, telephone objection to the jurisdiction of the court to entertain
and facsimile numbers, e-mail addresses, and, the petition shall be included in the statement in
if applicable, the juris numbers of their trial and opposition.
appellate counsel. (P.B. 1978-1997, Sec. 4131.) (Amended Jan. 17, 2002, to
(b) The petition shall not exceed ten pages in take effect April 15, 2002; amended May 15, 2003, to take
length, exclusive of the appendix, except with spe- effect Jan. 1, 2004; amended May 4, 2006, to take effect Jan.
cial permission of the appellate clerk. The petition 1, 2007; amended Sept. 16, 2015, to take effect Jan. 1, 2016.)
HISTORY—2016: Prior to 2016, the first two sentences of
shall be typewritten and fully double spaced, and subsection (a) read: ‘‘Within ten days of the filing of the petition
shall not exceed three lines to the vertical inch or in the trial court, any party may file a statement in opposition
twenty-seven lines to the page. Footnotes and to the petition. The original statement in opposition, together
block quotations may be single spaced. Only the with fifteen additional copies, shall be filed with the appellate
following two typefaces, of 12 point or larger size, clerk.’’ Also in 2016, what had been the penultimate sentence
are approved for use in petitions: arial and univers. of subsection (a) was deleted. It read: ‘‘A certificate shall be
attached to the signed, original statement in opposition, indi-
Each page of a petition shall have as a minimum
cating that it is in compliance with all the provisions of this
the following margins: top, 1 inch; left, 1 and 1/4 rule.’’ In addition, in subsection (b) ‘‘served’’ was deleted after
inch; right, 1/2 inch; and bottom, 1 inch. ‘‘shall be’’ and was replaced with ‘‘delivered.’’
take effect Jan. 1, 1999; amended Jan. 17, 2002, to take effect Sec. 84-7. Extensions of Time
April 15, 2002; amended May 15, 2003, to take effect Jan. 1,
2004; amended Sept. 16, 2015, to take effect Jan. 1, 2016.) Motions for extensions of time for purposes of
HISTORY—2016: In 2016, in subsection (a) (5) (D), ‘‘e- filing a petition for certification or a statement in
mail addresses,’’ was added after ‘‘facsimile numbers.’’ Also opposition thereto shall be filed with the appellate
in 2016, what had been the final sentence of subsection (a) clerk and shall be governed by Section 66-1.
was deleted. It read: ‘‘The appendix may be reproduced on (P.B. 1978-1997, Sec. 4132.)
both sides of a page.’’ In addition, what had been the final
sentence of subsection (b) was deleted. It read: ‘‘A certificate Sec. 84-8. Grant or Denial of Certification
shall be attached to the signed, original petition, indicating
that it is in compliance with all the provisions of this rule.’’ A petition by a party shall be granted on the
affirmative vote of three or more justices of the
supreme court, except that if fewer than six jus-
Sec. 84-6. Statement in Opposition to tices are available to consider a petition, a vote
Petition of two justices shall be required to certify a case.
(a) Within ten days of the filing of the petition, Upon the determination of any petition, the appel-
any party may file a statement in opposition to late clerk shall enter an order granting or denying
the petition with the appellate clerk. The statement the certification in accordance with the determina-
in opposition shall disclose any reasons why certi- tion of the court and shall send notice of the court’s
fication should not be granted by the supreme order to the clerk of the trial court and to all counsel
court and shall be presented in a manner which of record.
is responsive, in form and content, to the petition (P.B. 1978-1997, Sec. 4136.) (Amended Sept. 16, 2015,
it opposes. The statement in opposition shall not to take effect Jan. 1, 2016.)
exceed ten pages in length except with special HISTORY—2016: Prior to 2016, this section read: ‘‘A peti-
permission of the appellate clerk. tion by a party shall be granted on the affirmative vote of three
or more justices of the supreme court. Upon the determination
The statement in opposition shall be typewritten of any petition, the appellate clerk shall enter an order granting
and fully double spaced and shall not exceed or denying the certification in accordance with the determina-
three lines to the vertical inch or twenty-seven tion of the court and shall send notice of the court’s order to
lines to the page. Footnotes and block quotations the clerk of the trial court and to counsel.’’
516
Sec. 84-9. Proceedings after Certification appeal to the supreme court, except upon motion
(Amended Sept. 16, 2015, to take effect Jan. 1, 2016.) by a party showing special and important rea-
Within twenty days from the issuance of notice sons therefor.
that certification to appeal has been granted, the (P.B. 1978-1997, Sec. 4139.)
petitioner, who shall be considered the appellant,
shall file the appeal in accordance with the proce- Sec. 84-10. Record
dure set forth in Section 63-3 and shall pay all [Repealed only as to appeals filed on or after
required fees in accordance with the provisions July 1, 2013.]
of Sections 60-7 or 60-8.
The issues which the appellant may present Sec. 84-11. Papers to Be Filed by Appellant
are limited to those set forth in the petition for and Appellee
certification, except where the issues are further (a) Upon the granting of certification, the appel-
limited by the order granting certification. lee may present for review alternative grounds
(P.B. 1978-1997, Sec. 4138.) (Amended July 24, 2002, to upon which the judgment may be affirmed pro-
take effect Oct. 1, 2002; amended Sept. 16, 2015, to take
vided those grounds were raised and briefed in
HISTORY—2016: Prior to 2016, this section was titled: the appellate court. Any party to the appeal may
‘‘Proceedings after Certification; Appeals Deemed Pending.’’ also present for review adverse rulings or deci-
Prior to 2016, this section read: ‘‘Whenever certification is sions which should be considered on the appeal
granted by the supreme court, the cause shall be deemed in the event of a new trial, provided that such party
pending on appeal in the supreme court and the appellate has raised such claims in the appellate court. If
clerk shall enter the case upon the docket. Where a petition
has been granted, the petitioner shall be considered the appel- such alternative grounds for affirmation or
lant. The appellant shall pay the filing fee to the clerk of any adverse rulings or decisions to be considered in
trial court within twenty days from the issuance of notice of the event of a new trial were not raised in the
certification. No fee shall be required, however, in workers’ appellate court, the party seeking to raise them
compensation cases or in cases where a waiver of fees, costs in the supreme court must move for special per-
and expenses under Sections 63-6 or 63-7 was previously
granted. The appellant shall certify to all other counsel and to
mission to do so prior to the filing of that party’s
the clerk of the trial court from which the cause arose that the brief. Such permission will be granted only in
fees have been paid or that no fees were required. Security exceptional cases where the interests of justice
for costs is not required to take an appeal pursuant to a grant so require.
of certification, but security may at any time, on motion and (b) Any party may also present for review any
notice to the appellant, be ordered by the supreme court.
Such security, if ordered, shall be filed with the trial court. The
claim that the relief afforded by the appellate court
appellant shall also file with the appellate clerk the docketing in its judgment should be modified, provided such
statement required by Section 63-4 (a) (4). The appellant’s claim was raised in the appellate court either in
brief shall be filed within forty-five days from the issuance of such party’s brief or upon a motion for reconsid-
notice of certification, and thereafter the time limits for filing eration.
the appellee’s brief and the reply brief, if any, shall be in
accordance with Section 67-3.
(c) Any party desiring to present alternative
‘‘The issues which the appellant may present are limited grounds for affirmance, adverse rulings or deci-
to those raised in the petition for certification, except where the sions in the event of a new trial or a claim concern-
issues are further limited by the order granting certification.’’ ing the relief ordered by the appellate court shall
file a statement thereof within fourteen days from
Sec. 84-10. Record the issuance of notice that certification to appeal
(Applicable to appeals filed before July 1, 2013.) has been granted. Except for a docketing state-
Those portions of the record on appeal to the ment, parties shall not file other Section 63-4
appellate court relevant to the issue certified by papers on a certified appeal without permission
the supreme court shall constitute the record on of the supreme court.
appeal to the supreme court and shall be prepared (P.B. 1978-1997, Sec. 4140.) (Amended July 28, 1999, to
and distributed in the same manner as in other take effect Jan. 1, 2000; amended Sept. 16, 2015, to take
appeals to the supreme court. In addition, the effect Jan. 1, 2016.)
record shall include the appellate court order or HISTORY—2016: Prior to 2016, subsection (c) read: ‘‘Any
decision on the order granting certification and, to party desiring to present alternative grounds for affirmance,
the extent the appellate clerk deems appropriate, adverse rulings or decisions in the event of a new trial or a
claim concerning the relief ordered by the appellate court shall
any papers subsequently filed pursuant to Section file a statement thereof within fourteen days from the issuance
84-11. of notice of certification. Parties shall not file other Section
The argument, if any, before the appellate court 63-4 papers on a certified appeal without permission of the
shall not be considered part of the record on supreme court.’’
517
Sec. 84-12. Applicability of Rules been modified by this chapter, be the rules for all
proceedings subsequent to the granting of certifi-
The rules governing other appeals shall, so far cation.
as applicable, and to the extent they have not (P.B. 1978-1997, Sec. 4141.)
518
CHAPTER 84a
MATTERS WITHIN SUPREME COURT’S ORIGINAL JURISDICTION
IN WHICH FACTS MAY BE FOUND
Sec. Sec.
84a-1. Application of Rules 84a-3. Discovery
84a-4. Reference of Issues of Fact
84a-2. Procedure for Filing Original Jurisdiction Action; 84a-5. Evidence
Pleadings and Motions 84a-6. Other Officers
Sec. 84a-1. Application of Rules court except to the extent expressly authorized
These rules apply only to an action within the by the court in a particular case.
original jurisdiction of the supreme court in which (Adopted June 2, 2005, to take effect Jan. 1, 2006.)
facts may be found. Sec. 84a-4. Reference of Issues of Fact
These rules do not apply to (1) a motion to (a) Reference
invoke the court’s supervisory powers under Sec- Issues of fact closed on pleadings in an original
tion 60-2 of these rules, or (2) certified questions action in the supreme court may be referred, by
of law from courts of other jurisdictions under order of the chief justice or his or her designee,
chapter 82 of these rules. to a senior judge, justice or judge trial referee or,
should the parties agree, to any other person or
Sec. 84a-2. Procedure for Filing Original persons, which referral may contain such provi-
Jurisdiction Action; Pleadings and Motions sions as the court deems advisable.
(Amended Sept. 16, 2015, to take effect Jan. 1, 2016.) (b) Procedure
An original jurisdiction action shall be filed in Unless otherwise ordered by the court, if any
accordance with the procedures for filing an reference is made pursuant to subsection (a), the
appeal as set forth in Section 63-3. Thereafter, rules of practice pertaining to references in chap-
unless otherwise ordered in a particular case, the ter 19 of these rules shall apply.
form of pleadings and motions prescribed in the (c) Costs of References
rules of practice should be followed in an original The court may allocate the costs of the refer-
action in the supreme court. In other respects, ence in its discretion.
those rules, when their application is appropriate, (Adopted June 2, 2005, to take effect Jan. 1, 2006.)
may be taken as a guide to procedure in an origi- Sec. 84a-5. Evidence
nal action in this court. The Connecticut Code of Evidence may be
amended Sept. 16, 2015, to take effect Jan. 1, 2016.) taken as a guide to the admission of evidence in
HISTORY—2016: Prior to 2016, this section was titled an original action in the supreme court.
‘‘Pleadings and Motions.’’ In 2016, what is now the first sen- (Adopted June 2, 2005, to take effect Jan. 1, 2006.)
tence was added to this section. In addition, ‘‘Thereafter,’’ was
added to the beginning of what is now the second sentence, Sec. 84a-6. Other Officers
and the ‘‘u’’ in ‘‘unless’’ was made lowercase. The court may appoint such other officers as the
court deems advisable in carrying out its original
Sec. 84a-3. Discovery jurisdiction. The costs of such officers shall be
The rules of practice pertaining to discovery taxed in accordance with Section 84a-4 (c).
shall not apply in original actions in the supreme (Adopted June 2, 2005, to take effect Jan. 1, 2006.)
519
CHAPTER 85
SANCTIONS
Sec. Sec.
85-1. Lack of Diligence in Prosecuting or Defending 85-2. Other Actions Subject to Sanctions
Appeal 85-3. Procedure on Sanctions
Sec. 85-1. Lack of Diligence in Prosecuting (4) Presentation of unnecessary or unwar-

or Defending Appeal ranted issues on appeal.
If a party shall fail to prosecute an appeal with (5) Presentation of a frivolous appeal or frivo-
proper diligence, the court may dismiss the appeal lous issues on appeal.
(6) Presentation of a frivolous defense or
with costs. If a party shall fail to defend against
defenses on appeal.
an appeal with proper diligence, the court may (7) Failure to attend preargument settlement
set aside in whole or in part the judgment under conferences.
attack, with costs, and direct the entry of an appro- (8) Disregard of rules governing withdrawal of
priate final judgment by the trial court against the appeals.
party guilty of the failure. If that party is a defend- (9) Repeated failures to meet deadlines.
ant in the action, the directed judgment may be Offenders will be subject, at the discretion of
in the nature of a judgment by default for such the court, to appropriate discipline, including the
amount as may, upon a hearing in damages, be prohibition against appearing in the court or filing
found to be due. If that party is a plaintiff in the any papers in the court for a reasonable and defi-
action, the directed judgment may be one dismiss- nite period of time, the imposition of a fine pursu-
ing the action as to that plaintiff, and the judgment ant to General Statutes § 51-84, and costs and
shall operate as an adjudication upon the merits. payment of expenses, together with attorney’s
The statutory provisions regarding the opening of fees to the opposing party.
judgments of nonsuit and by default shall not apply The sanction of prohibition against filing any
to a judgment directed under the provisions of papers in the court shall not prevent an offender
this rule. from filing a motion for reconsideration of that
(P.B. 1978-1997, Sec. 4184A.) sanction within seven days.
Offenders subject to such discipline include
Sec. 85-2. Other Actions Subject to both counsel and self-represented parties and, if
Sanctions appropriate, parties represented by counsel.
(P.B. 1978-1997, Sec. 4184B.)
Actions which may result in the imposition of
sanctions include, but are not limited to, the fol- Sec. 85-3. Procedure on Sanctions
lowing: Sanctions may be imposed by the court, on its
(1) Failure to comply with rules and orders of own motion, or on motion by any party to the
the court. appeal. A motion for sanctions may be filed at any
(2) Filing of any papers which unduly delay the time. Before the court imposes any sanction on
its own motion, it shall provide notice to the parties
progress of an appeal.
and an opportunity to respond.
(3) Presentation of unnecessary or unwar- (P.B. 1978-1997, Sec. 4184C.) (Amended Jan. 31, 2013,
ranted motions or opposition to motions. to take effect April 19, 2013.)
520
CHAPTER 86
RULE CHANGES; EFFECTIVE DATE; APPLICABILITY
Sec. Sec.
86-1. Publication of Rules; Effective Date 86-2. Rule Changes; Applicability to Pending Appeals
Sec. 86-1. Publication of Rules; Effective Sec. 86-2. Rule Changes; Applicability to
Date Pending Appeals
Whenever a new rule is adopted or a change
Each rule hereafter adopted by the justices of is made to an existing rule, the new rule or rule
the supreme court and the judges of the appellate change shall apply to all appeals pending on the
court shall be promulgated by being published effective date of the new rule or rule change and
once in the Connecticut Law Journal. The rule to all appeals filed thereafter. Appellate papers
filed prior to the effective date of any new rule or
shall become effective at such date as the justices rule change need not be refiled.
and judges shall prescribe, but not less than sixty Any difficulty occasioned by the application of
days after its promulgation. The justices and a new rule or rule change to appeals filed prior
judges may waive the sixty day provision if they to the effective date thereof shall be resolved in
deem that circumstances require that a rule or a the spirit of Section 60-1.
change in an existing rule be adopted expedi- take effect Jan. 1, 2001; amended Sept. 16, 2015, to take
tiously. effect Jan. 1, 2016.)
HISTORY—2016: In 2016, in the final sentence of this sec-
(P.B. 1978-1997, Sec. 4188.) (Amended May 12, 2004, to tion, ‘‘taken’’ was deleted after ‘‘appeals’’ and was replaced
take effect Jan. 1, 2005.) with ‘‘filed.’’
521
REFERENCE TABLE
REFERENCE TABLE
Rules in the Practice Book of 1978 as amended* to Rules in the Practice Book of 1998. The numbers in the
center column are the temporary rule numbers assigned in the Connecticut Law Journal (CLJ) of July 29, 1997.
P.B. 1978-1997 CLJ P.B. 1998 P.B. 1978-1997 CLJ P.B. 1998
Sec. Sec. Sec. Sec.
1 . . . . . . . . . . . . . . . . . . . . . . . 1-1 28A . . . . . . . . . . . . . . . . . . . . . . 2-39
None . . . . . . . . . 1A . . . . . . . . . . . 1-2 28B . . . . . . . . . . . . . . . . . . . . . . 2-40
2 . . . . . . . . . . . . . . . . . . . . . . . 1-3 28B.1 . . . . . . . . . . . . . . . . . . . . . 2-41
3 . . . . . . . . . . . . . . . . . . . . . . . 1-4 28C . . . . . . . . . . . . . . . . . . . . . . 2-42
4 . . . . . . . . . . . . . . . . . . . . . . . 1-5 28D . . . . . . . . . . . . . . . . . . . . . . 2-43
5 . . . . . . . . . . . . . . . . . . . . . . . 1-6 29 . . . . . . . . . . . . . . . . . . . . . . . 2-44
5A. . . . . . . . . . . . . . . . . . . . . . . 1-7 30 . . . . . . . . . . . . . . . . . . . . . . . 2-45
6 . . . . . . . . . . . . . . . . . . . . . . . 1-8 30A . . . . . . . . . . . . . . . . . . . . . . 2-46
7 . . . . . . . . . . . . . . . . . . . . . . . 1-9 31 . . . . . . . . . . . . . . . . . . . . . . . 2-47
7A Title . . . . . . . . . . . . . . . . . . . . None 31A . . . . . . . . . . . . . . . . . . . . . . 2-48
7B. . . . . . . . . . . . . . . . . . . . . . . 1-10 31B . . . . . . . . . . . . . . . . . . . . . . 2-49
7C . . . . . . . . . . . . . . . . . . . . . . 1-11 32 . . . . . . . . . . . . . . . . . . . . . . . 2-50
8 . . . . . . . . . . . . . . . . . . . . . . . 2-1 34 . . . . . . . . . . . . . . . . . . . . . . . 2-51
9 . . . . . . . . . . . . . . . . . . . . . . . 2-2 35 . . . . . . . . . . . . . . . . . . . . . . . 2-52
10 Title . . . . . . . . . . . . . . . . . . . . None 36 . . . . . . . . . . . . . . . . . . . . . . . 2-53
11 . . . . . . . . . . . . . . . . . . . . . . . 2-3 36A . . . . . . . . . . . . . . . . . . . . . . 2-54
12 . . . . . . . . . . . . . . . . . . . . . . . 2-4 37 . . . . . . . . . . . . . . . . . . . . . . . 2-55
13 . . . . . . . . . . . . . . . . . . . . . . . 2-5 38 Title . . . . . . . . . . . . . . . . . . . . None
14 . . . . . . . . . . . . . . . . . . . . . . . 2-6 39 . . . . . . . . . . . . . . . . . . . . . . . 2-56
15A . . . . . . . . . . . . . . . . . . . . . . 2-7 40 . . . . . . . . . . . . . . . . . . . . . . . 2-57
16 . . . . . . . . . . . . . . . . . . . . . . . 2-8 41 . . . . . . . . . . . . . . . . . . . . . . . 2-58
17 . . . . . . . . . . . . . . . . . . . . . . . 2-9 42 . . . . . . . . . . . . . . . . . . . . . . . 2-59
18 . . . . . . . . . . . . . . . . . . . . . . . 2-10 44 . . . . . . . . . . . . . . . . . . . . . . . 2-60
18A . . . . . . . . . . . . . . . . . . . . . . 2-11 45 . . . . . . . . . . . . . . . . . . . . . . . 2-61
19 . . . . . . . . . . . . . . . . . . . . . . . 2-12 46 . . . . . . . . . . . . . . . . . . . . . . . 2-62
20 Title . . . . . . . . . . . . . . . . . . . . None 46A . . . . . . . . . . . . . . . . . . . . . . 2-63
21 . . . . . . . . . . . . . . . . . . . . . . . 2-13 46B . . . . . . . . . . . . . . . . . . . . . . 2-64
22 . . . . . . . . . . . . . . . . . . . . . . . 2-14 46C . . . . . . . . . . . . . . . . . . . . . . 2-65
23 . . . . . . . . . . . . . . . . . . . . . . . 2-15 47 . . . . . . . . . . . . . . . . . . . . . . . 2-66
24 . . . . . . . . . . . . . . . . . . . . . . . 2-16 48 . . . . . . . . . . . . . . . . . . . . . . . 2-67
24A Title . . . . . . . . . . . . . . . . . . . None 48A . . . . . . . . . . . . . . . . . . . . . . None
24B . . . . . . . . . . . . . . . . . . . . . . 2-17 49 . . . . . . . . . . . . . . . . . . . . . . . 8-1
24C . . . . . . . . . . . . . . . . . . . . . . 2-18 50 . . . . . . . . . . . . . . . . . . . . . . . 8-2
24D . . . . . . . . . . . . . . . . . . . . . . 2-19 51 . . . . . . . . . . . . . . . . . . . . . . . 8-3
24E . . . . . . . . . . . . . . . . . . . . . . 2-20 52 . . . . . . . . . . . . . . . . . . . . . . . 8-4
24F . . . . . . . . . . . . . . . . . . . . . . 2-21 53 . . . . . . . . . . . . . . . . . . . . . . . 8-5
25 . . . . . . . . . . . . . . . . . . . . . . . 2-22 54 . . . . . . . . . . . . . . . . . . . . . . . 8-6
26 . . . . . . . . . . . . . . . . . . . . . . . 2-23 55 . . . . . . . . . . . . . . . . . . . . . . . 8-7
26A . . . . . . . . . . . . . . . . . . . . . . 2-24 56 . . . . . . . . . . . . . . . . . . . . . . . 8-8
26B . . . . . . . . . . . . . . . . . . . . . . 2-25 57 . . . . . . . . . . . . . . . . . . . . . . . 8-9
27 . . . . . . . . . . . . . . . . . . . . . . . 2-26 58 . . . . . . . . . . . . . . . . . . . . . . . 8-10
27A . . . . . . . . . . . . . . . . . . . . . . 2-27 59 . . . . . . . . . . . . . . . . . . . . . . . 8-11
27A.1 . . . . . . . . . . . . . . . . . . . . . 2-28 60 . . . . . . . . . . . . . . . . . . . . . . . 8-12
27B . . . . . . . . . . . . . . . . . . . . . . 2-29 63 Title . . . . . . . . . . . . . . . . . . . . None
27C Title . . . . . . . . . . . . . . . . . . . None 64(a) . . . . . . . . . 7P . . . . . . . . . . . 3-1
27D . . . . . . . . . . . . . . . . . . . . . . 2-30 64(b) . . . . . . . . . 7Q. . . . . . . . . . . 3-2
27E . . . . . . . . . . . . . . . . . . . . . . 2-31 64(b) . . . . . . . . . 7R. . . . . . . . . . . 3-3
27F . . . . . . . . . . . . . . . . . . . . . . 2-32 64(c) . . . . . . . . . 7S . . . . . . . . . . . 3-4
27G . . . . . . . . . . . . . . . . . . . . . . 2-33 None . . . . . . . . . 7T . . . . . . . . . . . 3-5
27H . . . . . . . . . . . . . . . . . . . . . . 2-34 None . . . . . . . . . 7U. . . . . . . . . . . 3-6
27J . . . . . . . . . . . . . . . . . . . . . . 2-35 None . . . . . . . . . 7V . . . . . . . . . . . 3-7
27M. . . . . . . . . . . . . . . . . . . . . . 2-36 65 . . . . . . . . . . . 7W . . . . . . . . . . 3-8
27M.1. . . . . . . . . . . . . . . . . . . . . 2-37 68 . . . . . . . . . . . 7CC . . . . . . . . . . 3-14
27N . . . . . . . . . . . . . . . . . . . . . . 2-38 69 . . . . . . . . . . . 7DD . . . . . . . . . . 3-15
28 Title . . . . . . . . . . . . . . . . . . . . None 70 . . . . . . . . . . . 7EE . . . . . . . . . . 3-16
* Rules repealed prior to 1995 are not represented in this table.
523
REFERENCE TABLE
P.B. 1978-1997 CLJ P.B. 1998 P.B. 1978-1997 CLJ P.B. 1998
Sec. Sec. Sec. Sec.
71 . . . . . . . . . . . 7FF . . . . . . . . . . 3-17 128 . . . . . . . . . . . . . . . . . . . . . . 10-18
72 . . . . . . . . . . . 7GG. . . . . . . . . . 3-18 129 . . . . . . . . . . . . . . . . . . . . . . 10-19
73 . . . . . . . . . . . 7HH . . . . . . . . . . 3-19 130 Title . . . . . . . . . . . . . . . . . . . None
74 . . . . . . . . . . . 7II . . . . . . . . . . . 3-20 131 . . . . . . . . . . . . . . . . . . . . . . 10-20
75 . . . . . . . . . . . 7JJ . . . . . . . . . . 3-21 132 Title . . . . . . . . . . . . . . . . . . . None
76 . . . . . . . . . . . 7Z . . . . . . . . . . . 3-11 133 . . . . . . . . . . . . . . . . . . . . . . 10-21
77 . . . . . . . . . . . 7X . . . . . . . . . . . 3-9 134 . . . . . . . . . . . . . . . . . . . . . . 10-22
77(d) . . . . . . . . . 7Y . . . . . . . . . . . 3-10 135 . . . . . . . . . . . . . . . . . . . . . . 10-23
78 . . . . . . . . . . . 7AA . . . . . . . . . . 3-12 136 . . . . . . . . . . . . . . . . . . . . . . 10-24
79 . . . . . . . . . . . 7BB . . . . . . . . . . 3-13 137 . . . . . . . . . . . . . . . . . . . . . . 10-25
80 . . . . . . . . . . . . . . . . . . . . . . . 9-1 138 . . . . . . . . . . . . . . . . . . . . . . 10-26
81 . . . . . . . . . . . . . . . . . . . . . . . 9-2 139 . . . . . . . . . . . . . . . . . . . . . . 10-27
82 Title . . . . . . . . . . . . . . . . . . . . None 140 . . . . . . . . . . . . . . . . . . . . . . 10-28
83 . . . . . . . . . . . . . . . . . . . . . . . 9-3 141 . . . . . . . . . . . . . . . . . . . . . . 10-29
84 . . . . . . . . . . . . . . . . . . . . . . . 9-4 142 . . . . . . . . . . . . . . . . . . . . . . 10-30
84A . . . . . . . . . . . . . . . . . . . . . . 9-5 143 . . . . . . . . . . . . . . . . . . . . . . 10-31
85 . . . . . . . . . . . . . . . . . . . . . . . 9-6 144 . . . . . . . . . . . . . . . . . . . . . . 10-32
86 Title . . . . . . . . . . . . . . . . . . . . None 145 . . . . . . . . . . . . . . . . . . . . . . 10-33
87 . . . . . . . . . . . . . . . . . . . . . . . 9-7 146 . . . . . . . . . . . . . . . . . . . . . . 10-34
88 . . . . . . . . . . . . . . . . . . . . . . . 9-8 147 . . . . . . . . . . . . . . . . . . . . . . 10-35
89 . . . . . . . . . . . . . . . . . . . . . . . 9-9 148 . . . . . . . . . . . . . . . . . . . . . . 10-36
90 . . . . . . . . . . . . . . . . . . . . . . . 9-10 149 . . . . . . . . . . . . . . . . . . . . . . 10-37
91 . . . . . . . . . . . . . . . . . . . . . . . 9-11 150 . . . . . . . . . . . . . . . . . . . . . . 10-38
92 . . . . . . . . . . . . . . . . . . . . . . . 9-12 151 Title . . . . . . . . . . . . . . . . . . . None
93 . . . . . . . . . . . . . . . . . . . . . . . 9-13 152 . . . . . . . . . . . . . . . . . . . . . . 10-39
94 . . . . . . . . . . . . . . . . . . . . . . . 9-14 153 . . . . . . . . . . . . . . . . . . . . . . 10-40
95 . . . . . . . . . . . . . . . . . . . . . . . 9-15 154 . . . . . . . . . . . . . . . . . . . . . . 10-41
96 . . . . . . . . . . . . . . . . . . . . . . . 9-16 155 . . . . . . . . . . . . . . . . . . . . . . 10-42
97 . . . . . . . . . . . . . . . . . . . . . . . 9-17 156 . . . . . . . . . . . . . . . . . . . . . . 10-43
98 Title . . . . . . . . . . . . . . . . . . . . None 157 . . . . . . . . . . . . . . . . . . . . . . 10-44
99 . . . . . . . . . . . . . . . . . . . . . . . 9-18 158 . . . . . . . . . . . . . . . . . . . . . . 10-45
100 . . . . . . . . . . . . . . . . . . . . . . 9-19 159 Title . . . . . . . . . . . . . . . . . . . None
101 . . . . . . . . . . . . . . . . . . . . . . 9-20 160 . . . . . . . . . . . . . . . . . . . . . . 10-46
102 . . . . . . . . . . . . . . . . . . . . . . 9-21 161 . . . . . . . . . . . . . . . . . . . . . . 10-47
103 . . . . . . . . . . . . . . . . . . . . . . 9-22 162 . . . . . . . . . . . . . . . . . . . . . . 10-48
104 . . . . . . . . . . . . . . . . . . . . . . 9-23 163 . . . . . . . . . . . . . . . . . . . . . . 10-49
105 . . . . . . . . . . . . . . . . . . . . . . 9-24 164 . . . . . . . . . . . . . . . . . . . . . . 10-50
106 . . . . . . . . . . . . . . . . . . . . . . 9-25 165 . . . . . . . . . . . . . . . . . . . . . . 10-51
107 Title . . . . . . . . . . . . . . . . . . . None 166 . . . . . . . . . . . . . . . . . . . . . . 10-52
108 . . . . . . . . . . . . . . . . . . . . . . 10-1 167 . . . . . . . . . . . . . . . . . . . . . . 10-53
109 . . . . . . . . . . . . . . . . . . . . . . 10-2 168 . . . . . . . . . . . . . . . . . . . . . . 10-54
109A . . . . . . . . . . . . . . . . . . . . . 10-3 169 . . . . . . . . . . . . . . . . . . . . . . 10-55
110 . . . . . . . . . . . . . . . . . . . . . . 10-4 170 Title . . . . . . . . . . . . . . . . . . . None
111 . . . . . . . . . . . . . . . . . . . . . . 10-5 171 . . . . . . . . . . . . . . . . . . . . . . 10-56
112 . . . . . . . . . . . . . . . . . . . . . . 10-6 172 . . . . . . . . . . . . . . . . . . . . . . 10-57
113 . . . . . . . . . . . . . . . . . . . . . . 10-7 173 . . . . . . . . . . . . . . . . . . . . . . 10-58
114 . . . . . . . . . . . . . . . . . . . . . . 10-8 174 Title . . . . . . . . . . . . . . . . . . . None
115 . . . . . . . . . . . . . . . . . . . . . . 10-9 175 . . . . . . . . . . . . . . . . . . . . . . 10-59
116 . . . . . . . . . . . . . . . . . . . . . . 10-10 176 . . . . . . . . . . . . . . . . . . . . . . 10-60
117 . . . . . . . . . . . . . . . . . . . . . . 10-11 177 . . . . . . . . . . . . . . . . . . . . . . 10-61
118 . . . . . . . . . . 7KK . . . . . . . . . . 4-1 178 . . . . . . . . . . . . . . . . . . . . . . 10-62
119 . . . . . . . . . . 7LL . . . . . . . . . . 4-2 179 . . . . . . . . . . . . . . . . . . . . . . 10-63
120 Title . . . . . . . . . . . . . . . . . . . None 180 . . . . . . . . . . . . . . . . . . . . . . 10-64
121 . . . . . . . . . . . . . . . . . . . . . . 10-12 181 . . . . . . . . . . . . . . . . . . . . . . 10-65
122 . . . . . . . . . . . . . . . . . . . . . . 10-13 182 . . . . . . . . . . . . . . . . . . . . . . 10-66
123 . . . . . . . . . . . . . . . . . . . . . . 10-14 183 . . . . . . . . . . . . . . . . . . . . . . 10-67
124 . . . . . . . . . . . . . . . . . . . . . . 10-15 184 Title . . . . . . . . . . . . . . . . . . . None
125 . . . . . . . . . . . . . . . . . . . . . . 10-16 185 . . . . . . . . . . . . . . . . . . . . . . 10-68
126 . . . . . . . . . . . . . . . . . . . . . . 10-17 186 . . . . . . . . . . . . . . . . . . . . . . 10-69
127 . . . . . . . . . . 7MM . . . . . . . . . 4-3 187 . . . . . . . . . . . . . . . . . . . . . . 10-70
524
REFERENCE TABLE
P.B. 1978-1997 CLJ P.B. 1998 P.B. 1978-1997 CLJ P.B. 1998
Sec. Sec. Sec. Sec.
189 . . . . . . . . . . . . . . . . . . . . . . 10-71 240 . . . . . . . . . . . . . . . . . . . . . . 13-24
190 . . . . . . . . . . . . . . . . . . . . . . 10-72 241 . . . . . . . . . . . . . . . . . . . . . . 13-25
191 . . . . . . . . . . . . . . . . . . . . . . 10-73 242 Title . . . . . . . . . . . . . . . . . . . None
192 . . . . . . . . . . . . . . . . . . . . . . 10-74 243 . . . . . . . . . . . . . . . . . . . . . . 13-26
193 . . . . . . . . . . . . . . . . . . . . . . 10-75 244 . . . . . . . . . . . . . . . . . . . . . . 13-27
194 . . . . . . . . . . . . . . . . . . . . . . 10-76 245 . . . . . . . . . . . . . . . . . . . . . . 13-28
195 . . . . . . . . . . . . . . . . . . . . . . 10-77 246 . . . . . . . . . . . . . . . . . . . . . . 13-29
195A . . . . . . . . . . . . . . . . . . . . . 10-78 247 . . . . . . . . . . . . . . . . . . . . . . 13-30
195B . . . . . . . . . . . . . . . . . . . . . 10-79 248 . . . . . . . . . . . . . . . . . . . . . . 13-31
196 . . . . . . . . . . . . . . . . . . . . . . 11-1 249 . . . . . . . . . . . . . . . . . . . . . . 13-32
197 . . . . . . . . . . . . . . . . . . . . . . 11-2 250 . . . . . . . . . . 7CCC . . . . . . . . . 7-1
198 . . . . . . . . . . . . . . . . . . . . . . 11-3 250A . . . . . . . . . . . . . . . . . . . . . 14-1
199 . . . . . . . . . . . . . . . . . . . . . . 11-4 250B . . . . . . . . . . . . . . . . . . . . . 14-2
200 . . . . . . . . . . . . . . . . . . . . . . 11-5 251 . . . . . . . . . . . . . . . . . . . . . . 14-3
201 . . . . . . . . . . . . . . . . . . . . . . 11-6 252 Title . . . . . . . . . . . . . . . . . . . None
202 . . . . . . . . . . . . . . . . . . . . . . 11-7 253 . . . . . . . . . . . . . . . . . . . . . . None
202A . . . . . . . . . . . . . . . . . . . . . 11-8 254 . . . . . . . . . . . . . . . . . . . . . . 14-4
203 . . . . . . . . . . . . . . . . . . . . . . 11-9 255 . . . . . . . . . . . . . . . . . . . . . . 14-5
204 . . . . . . . . . . . . . . . . . . . . . . 11-10 256 . . . . . . . . . . . . . . . . . . . . . . 14-6
204A . . . . . . . . . . . . . . . . . . . . . 11-11 257 . . . . . . . . . . . . . . . . . . . . . . 14-7
204B . . . . . . . . . . . . . . . . . . . . . 11-12 258 . . . . . . . . . . . . . . . . . . . . . . 14-8
205 Title . . . . . . . . . . . . . . . . . . . None 259 . . . . . . . . . . . . . . . . . . . . . . 14-9
206 . . . . . . . . . . . . . . . . . . . . . . 11-13 260 . . . . . . . . . . . . . . . . . . . . . . 14-10
207 . . . . . . . . . . . . . . . . . . . . . . 11-14 262 Title . . . . . . . . . . . . . . . . . . . None
208 . . . . . . . . . . . . . . . . . . . . . . 11-15 263 . . . . . . . . . . . . . . . . . . . . . . 14-11
209 . . . . . . . . . . . . . . . . . . . . . . 11-16 264 . . . . . . . . . . . . . . . . . . . . . . 14-12
210 . . . . . . . . . . . . . . . . . . . . . . 11-17 265 . . . . . . . . . . . . . . . . . . . . . . 14-13
211 . . . . . . . . . . . . . . . . . . . . . . 11-18 267 . . . . . . . . . . . . . . . . . . . . . . None
211A . . . . . . . . . . . . . . . . . . . . . 11-19 268 . . . . . . . . . . . . . . . . . . . . . . 14-14
211B . . . . . . . . . . . . . . . . . . . . . 11-20 269 Title . . . . . . . . . . . . . . . . . . . None
212 . . . . . . . . . . . . . . . . . . . . . . 12-1 270 . . . . . . . . . . . . . . . . . . . . . . 14-15
213 . . . . . . . . . . . . . . . . . . . . . . 12-2 271 . . . . . . . . . . . . . . . . . . . . . . 14-16
215 . . . . . . . . . . . . . . . . . . . . . . 12-3 272 . . . . . . . . . . . . . . . . . . . . . . None
216 . . . . . . . . . . . . . . . . . . . . . . 13-1 273 . . . . . . . . . . . . . . . . . . . . . . 14-17
217 Title . . . . . . . . . . . . . . . . . . . None 274 . . . . . . . . . . . . . . . . . . . . . . 14-18
218 . . . . . . . . . . . . . . . . . . . . . . 13-2 274A . . . . . . . . . . . . . . . . . . . . . 14-19
219 . . . . . . . . . . . . . . . . . . . . . . 13-3 276 . . . . . . . . . . . . . . . . . . . . . . 14-20
220 . . . . . . . . . . . . . . . . . . . . . . 13-4 277 . . . . . . . . . . . . . . . . . . . . . . 14-21
221 . . . . . . . . . . . . . . . . . . . . . . 13-5 278 . . . . . . . . . . . . . . . . . . . . . . 14-22
222 Title . . . . . . . . . . . . . . . . . . . None 279 . . . . . . . . . . . . . . . . . . . . . . 14-23
223 . . . . . . . . . . . . . . . . . . . . . . 13-6 280 . . . . . . . . . . . . . . . . . . . . . . 14-24
224 . . . . . . . . . . . . . . . . . . . . . . 13-7 281 . . . . . . . . . . . . . . . . . . . . . . 14-25
225 . . . . . . . . . . . . . . . . . . . . . . 13-8 282 . . . . . . . . . . . . . . . . . . . . . . None
226 Title . . . . . . . . . . . . . . . . . . . None 283 . . . . . . . . . . . . . . . . . . . . . . 15-1
227 . . . . . . . . . . . . . . . . . . . . . . 13-9 284 . . . . . . . . . . . . . . . . . . . . . . 15-2
228 . . . . . . . . . . . . . . . . . . . . . . 13-10 284A . . . . . . . . . . . . . . . . . . . . . 15-3
229 . . . . . . . . . . . . . . . . . . . . . . 13-11 285A . . . . . . . . . 7NN . . . . . . . . . . 5-1
230 . . . . . . . . . . . . . . . . . . . . . . 13-12 286 . . . . . . . . . . 7PP . . . . . . . . . . 5-3
230A . . . . . . . . . . . . . . . . . . . . . 13-13 287 . . . . . . . . . . 7QQ. . . . . . . . . . 5-4
231 . . . . . . . . . . . . . . . . . . . . . . 13-14 288 . . . . . . . . . . 7RR . . . . . . . . . . 5-5
232 . . . . . . . . . . . . . . . . . . . . . . 13-15 289 . . . . . . . . . . 7SS . . . . . . . . . . 5-6
233 . . . . . . . . . . . . . . . . . . . . . . 13-16 290 . . . . . . . . . . . . . . . . . . . . . . 15-4
234 . . . . . . . . . . . . . . . . . . . . . . 13-17 291 . . . . . . . . . . 7TT . . . . . . . . . . 5-7
235 . . . . . . . . . . . . . . . . . . . . . . 13-18 292 Title . . . . . . . . . . . . . . . . . . . None
236 . . . . . . . . . . . . . . . . . . . . . . 13-19 293 . . . . . . . . . . 7UU . . . . . . . . . . 5-8
236A . . . . . . . . . . . . . . . . . . . . . 13-20 294 . . . . . . . . . . 7VV . . . . . . . . . . 5-9
236B . . . . . . . . . . . . . . . . . . . . . 13-21 295 . . . . . . . . . . . . . . . . . . . . . . 15-5
237 Title . . . . . . . . . . . . . . . . . . . None 296 . . . . . . . . . . . . . . . . . . . . . . 15-6
238 . . . . . . . . . . . . . . . . . . . . . . 13-22 297 . . . . . . . . . . . . . . . . . . . . . . 15-7
239 . . . . . . . . . . . . . . . . . . . . . . 13-23 299 . . . . . . . . . . 7D. . . . . . . . . . . 1-12
525
REFERENCE TABLE
P.B. 1978-1997 CLJ P.B. 1998 P.B. 1978-1997 CLJ P.B. 1998
Sec. Sec. Sec. Sec.
300 . . . . . . . . . . 7F . . . . . . . . . . . 1-13 338 . . . . . . . . . . 7AAA . . . . . . . . . 6-4
301 . . . . . . . . . . . . . . . . . . . . . . None 339 . . . . . . . . . . 7BBB . . . . . . . . . 6-5
302 . . . . . . . . . . . . . . . . . . . . . . 15-8 340 . . . . . . . . . . . . . . . . . . . . . . 17-10
303 . . . . . . . . . . . . . . . . . . . . . . 16-4(c) 341 Title . . . . . . . . . . . . . . . . . . . None
303A . . . . . . . . . . . . . . . . . . . . . 16-1 342 . . . . . . . . . . . . . . . . . . . . . . 17-11
None . . . . . . . . . 303B . . . . . . . . . 16-2 343 . . . . . . . . . . . . . . . . . . . . . . 17-12
None . . . . . . . . . 303C . . . . . . . . . 16-3 344 . . . . . . . . . . . . . . . . . . . . . . 17-13
304 . . . . . . . . . . . . . . . . . . . . . . 16-4 345 Title . . . . . . . . . . . . . . . . . . . None
None . . . . . . . . . 304A . . . . . . . . . 16-5 346 . . . . . . . . . . . . . . . . . . . . . . 17-14
305 . . . . . . . . . . . . . . . . . . . . . . 16-6 347 . . . . . . . . . . . . . . . . . . . . . . 17-15
305A . . . . . . . . . . . . . . . . . . . . . 16-7 348 . . . . . . . . . . . . . . . . . . . . . . 17-16
None . . . . . . . . . 305B . . . . . . . . . 16-8 349 . . . . . . . . . . . . . . . . . . . . . . 17-17
306 . . . . . . . . . . . . . . . . . . . . . . 16-9 350 . . . . . . . . . . . . . . . . . . . . . . 17-18
307 . . . . . . . . . . . . . . . . . . . . . . 16-10 351 . . . . . . . . . . . . . . . . . . . . . . 17-19
308 . . . . . . . . . . . . . . . . . . . . . . 16-11 352 . . . . . . . . . . . . . . . . . . . . . . 17-20
None . . . . . . . . . 308A . . . . . . . . . 16-12 353 . . . . . . . . . . . . . . . . . . . . . . 17-21
309 . . . . . . . . . . . . . . . . . . . . . . 16-13 354 . . . . . . . . . . . . . . . . . . . . . . 17-22
309A . . . . . . . . . . . . . . . . . . . . . 16-14 355 Title . . . . . . . . . . . . . . . . . . . None
309B . . . . . . . . . . . . . . . . . . . . . 16-15 356 . . . . . . . . . . . . . . . . . . . . . . 17-23
None . . . . . . . . . 309C . . . . . . . . . 16-16 357 . . . . . . . . . . . . . . . . . . . . . . 17-24
311 . . . . . . . . . . . . . . . . . . . . . . 16-17 358 . . . . . . . . . . . . . . . . . . . . . . 17-25
312 . . . . . . . . . . . . . . . . . . . . . . 16-18 359 . . . . . . . . . . . . . . . . . . . . . . 17-26
313 . . . . . . . . . . . . . . . . . . . . . . 16-19 360 . . . . . . . . . . . . . . . . . . . . . . 17-27
314 Title . . . . . . . . . . . . . . . . . . . None 360A . . . . . . . . . . . . . . . . . . . . . None
315 . . . . . . . . . . . . . . . . . . . . . . 16-20 361 . . . . . . . . . . . . . . . . . . . . . . 17-28
316 . . . . . . . . . . . . . . . . . . . . . . 16-21 362 . . . . . . . . . . . . . . . . . . . . . . 17-29
317 . . . . . . . . . . . . . . . . . . . . . . 16-22 362A . . . . . . . . . . . . . . . . . . . . . 17-30
318 . . . . . . . . . . . . . . . . . . . . . . 16-23 363 . . . . . . . . . . . . . . . . . . . . . . 17-31
318A . . . . . . . . . . . . . . . . . . . . . 16-24 363A . . . . . . . . . . . . . . . . . . . . . 17-32
None . . . . . . . . . 318B . . . . . . . . . 16-25 364 . . . . . . . . . . . . . . . . . . . . . . 17-33
None . . . . . . . . . 318C . . . . . . . . . 16-26 365 Title . . . . . . . . . . . . . . . . . . . None
None . . . . . . . . . 318D . . . . . . . . . 16-27 367 . . . . . . . . . . . . . . . . . . . . . . 17-34
None . . . . . . . . . 318E . . . . . . . . . 16-28 368 . . . . . . . . . . . . . . . . . . . . . . 17-35
None . . . . . . . . . 318F . . . . . . . . . 16-29 369 . . . . . . . . . . . . . . . . . . . . . . 17-36
None . . . . . . . . . 318G . . . . . . . . . 16-30 370 . . . . . . . . . . . . . . . . . . . . . . None
None . . . . . . . . . 318H . . . . . . . . . 16-31 371 . . . . . . . . . . . . . . . . . . . . . . 17-37
None . . . . . . . . . 318I . . . . . . . . . . 16-32 372 . . . . . . . . . . . . . . . . . . . . . . 17-38
None . . . . . . . . . 318J . . . . . . . . . 16-33 373 . . . . . . . . . . . . . . . . . . . . . . 17-39
None . . . . . . . . . 318K . . . . . . . . . 16-34 374 . . . . . . . . . . . . . . . . . . . . . . 17-40
319 Title . . . . . . . . . . . . . . . . . . . None 375 . . . . . . . . . . . . . . . . . . . . . . 17-41
320 . . . . . . . . . . . . . . . . . . . . . . 16-35 376 . . . . . . . . . . . . . . . . . . . . . . 17-42
320A . . . . . . . . . . . . . . . . . . . . . 16-36 377 . . . . . . . . . . . . . . . . . . . . . . 17-43
321 . . . . . . . . . . . . . . . . . . . . . . 16-37 378 Title . . . . . . . . . . . . . . . . . . . None
322 . . . . . . . . . . . . . . . . . . . . . . 16-38 379 . . . . . . . . . . . . . . . . . . . . . . 17-44
323 . . . . . . . . . . . . . . . . . . . . . . 17-1 380 . . . . . . . . . . . . . . . . . . . . . . 17-45
324 . . . . . . . . . . . . . . . . . . . . . . 17-2 381 . . . . . . . . . . . . . . . . . . . . . . 17-46
325 . . . . . . . . . . . . . . . . . . . . . . 17-3 382 . . . . . . . . . . . . . . . . . . . . . . 17-47
326 . . . . . . . . . . . . . . . . . . . . . . 17-4 383 . . . . . . . . . . . . . . . . . . . . . . 17-48
327 . . . . . . . . . . . . . . . . . . . . . . 17-5 384 . . . . . . . . . . . . . . . . . . . . . . 17-49
328 . . . . . . . . . . . . . . . . . . . . . . 17-6 385 . . . . . . . . . . . . . . . . . . . . . . 17-50
329 . . . . . . . . . . . . . . . . . . . . . . None 386 . . . . . . . . . . . . . . . . . . . . . . 17-51
330 . . . . . . . . . . . . . . . . . . . . . . None 387 . . . . . . . . . . . . . . . . . . . . . . 17-52
331 Title . . . . . . . . . . . . . . . . . . . None 387A . . . . . . . . . . . . . . . . . . . . . 17-53
332 . . . . . . . . . . . . . . . . . . . . . . 17-7 388 Title . . . . . . . . . . . . . . . . . . . None
333 . . . . . . . . . . . . . . . . . . . . . . 17-8 389 . . . . . . . . . . . . . . . . . . . . . . 17-54
334 . . . . . . . . . . . . . . . . . . . . . . 17-9 390 . . . . . . . . . . . . . . . . . . . . . . 17-55
334A . . . . . . . . . 7XX . . . . . . . . . . 6-1 391 . . . . . . . . . . . . . . . . . . . . . . 17-56
335 Title . . . . . . . . . . . . . . . . . . . None 392 . . . . . . . . . . . . . . . . . . . . . . 17-57
336 . . . . . . . . . . 7YY . . . . . . . . . . 6-2 393 . . . . . . . . . . . . . . . . . . . . . . 17-58
337 . . . . . . . . . . 7ZZ . . . . . . . . . . 6-3 394 . . . . . . . . . . . . . . . . . . . . . . 17-59
526
REFERENCE TABLE
P.B. 1978-1997 CLJ P.B. 1998 P.B. 1978-1997 CLJ P.B. 1998
Sec. Sec. Sec. Sec.
395 . . . . . . . . . . 7DDD . . . . . . . . . 7-2 445 . . . . . . . . . . . . . . . . . . . . . . 19-19
395A . . . . . . . . . . . . . . . . . . . . . 7-19 446 . . . . . . . . . . . . . . . . . . . . . . 20-1
396 . . . . . . . . . . 7EEE . . . . . . . . . 7-3 447 . . . . . . . . . . . . . . . . . . . . . . 20-2
397 . . . . . . . . . . 7FFF . . . . . . . . . 7-4 448 . . . . . . . . . . . . . . . . . . . . . . 20-3
397A . . . . . . . . . . . . . . . . . . . . . 7-20 449 . . . . . . . . . . . . . . . . . . . . . . 20-4
397B . . . . . . . . . 7TTT . . . . . . . . . 7-18 450 . . . . . . . . . . . . . . . . . . . . . . 20-5
398 . . . . . . . . . . 7GGG. . . . . . . . . 7-5 451 . . . . . . . . . . . . . . . . . . . . . . 20-6
399 . . . . . . . . . . 7HHH . . . . . . . . . 7-6 452 Title . . . . . . . . . . . . . . . . . . . None
400 . . . . . . . . . . 7III . . . . . . . . . . 7-7 453 . . . . . . . . . . 1201 . . . . . . . . . 25-2
401 . . . . . . . . . . . . . . . . . . . . . . 7-21 454 . . . . . . . . . . 1207 . . . . . . . . . 25-7
402 . . . . . . . . . . 7JJJ. . . . . . . . . . 7-8 455 . . . . . . . . . . 1208 . . . . . . . . . 25-8
403 . . . . . . . . . . 7KKK . . . . . . . . . 7-9 456 . . . . . . . . . . 1209 . . . . . . . . . 25-9
403A Title . . . . . . . . . . . . . . . . . . None 457 . . . . . . . . . . 1210 . . . . . . . . . 25-10
403B . . . . . . . . . 7LLL . . . . . . . . . 7-10 458 . . . . . . . . . . 1255 . . . . . . . . . 25-53
403C . . . . . . . . . 7MMM . . . . . . . . 7-11 459 . . . . . . . . . . . . . . . . . . . . . . None
403D . . . . . . . . . 7NNN . . . . . . . . . 7-12 460 . . . . . . . . . . . . . . . . . . . . . . None
403E . . . . . . . . . 7OOO. . . . . . . . . 7-13 461 . . . . . . . . . . 1229 . . . . . . . . . 25-28
403F . . . . . . . . . 7PPP . . . . . . . . . 7-14 462 . . . . . . . . . . 1230 . . . . . . . . . 25-29
403G . . . . . . . . . 7QQQ. . . . . . . . . 7-15 463 . . . . . . . . . . 1231 . . . . . . . . . 25-30
403H . . . . . . . . . 7RRR . . . . . . . . . 7-16 464 . . . . . . . . . . 1227 . . . . . . . . . 25-26
405 . . . . . . . . . . 7SSS . . . . . . . . . 7-17 464A . . . . . . . . . 1236 . . . . . . . . . 25-35
406 . . . . . . . . . . . . . . . . . . . . . . None 465 Title . . . . . . . . . . . . . . . . . . . None
407 . . . . . . . . . . . . . . . . . . . . . . 18-1 466 . . . . . . . . . . . . . . . . . . . . . . None
408 . . . . . . . . . . . . . . . . . . . . . . None 467 . . . . . . . . . . . . . . . . . . . . . . None
409 . . . . . . . . . . . . . . . . . . . . . . 18-2 468 . . . . . . . . . . . . . . . . . . . . . . None
410 . . . . . . . . . . . . . . . . . . . . . . 18-3 469 . . . . . . . . . . . . . . . . . . . . . . None
411 . . . . . . . . . . . . . . . . . . . . . . 18-4 470 . . . . . . . . . . . . . . . . . . . . . . None
412 . . . . . . . . . . . . . . . . . . . . . . 18-5 471 . . . . . . . . . . . . . . . . . . . . . . None
413 . . . . . . . . . . . . . . . . . . . . . . 18-6 472 . . . . . . . . . . 1237 . . . . . . . . . 25-36
414 . . . . . . . . . . . . . . . . . . . . . . 18-7 473 . . . . . . . . . . 1238 . . . . . . . . . 25-37
415 . . . . . . . . . . . . . . . . . . . . . . 18-8 474 . . . . . . . . . . . . . . . . . . . . . . None
416 . . . . . . . . . . . . . . . . . . . . . . 18-9 475 . . . . . . . . . . . . . . . . . . . . . . None
417 . . . . . . . . . . . . . . . . . . . . . . 18-10 476 . . . . . . . . . . 1259 . . . . . . . . . 25-57
418 . . . . . . . . . . . . . . . . . . . . . . 18-11 477 . . . . . . . . . . 1260 . . . . . . . . . 25-58
419 . . . . . . . . . . . . . . . . . . . . . . 18-12 478 . . . . . . . . . . 1261 . . . . . . . . . 25-59
420 . . . . . . . . . . . . . . . . . . . . . . 18-13 479 . . . . . . . . . . 1262 . . . . . . . . . 25-60
421 . . . . . . . . . . . . . . . . . . . . . . 18-14 479A . . . . . . . . . 1267 . . . . . . . . . 25-65
422 . . . . . . . . . . . . . . . . . . . . . . 18-15 479B . . . . . . . . . 1268 . . . . . . . . . 25-66
423 . . . . . . . . . . . . . . . . . . . . . . 18-16 481 . . . . . . . . . . 1269 . . . . . . . . . 25-67
424 . . . . . . . . . . . . . . . . . . . . . . 18-17 481A . . . . . . . . . 1271 . . . . . . . . . 25-69
425 . . . . . . . . . . . . . . . . . . . . . . 18-18 484 . . . . . . . . . . 1264 . . . . . . . . . 25-62
427 . . . . . . . . . . . . . . . . . . . . . . 18-19 484A . . . . . . . . . 1265 . . . . . . . . . 25-63
428 . . . . . . . . . . . . . . . . . . . . . . 19-1 484B . . . . . . . . . 1266 . . . . . . . . . 25-64
429 . . . . . . . . . . . . . . . . . . . . . . 19-2 484C . . . . . . . . . 1270 . . . . . . . . . 25-68
430 . . . . . . . . . . . . . . . . . . . . . . 19-3 485 . . . . . . . . . . . . . . . . . . . . . . 21-1
430A . . . . . . . . . . . . . . . . . . . . . 19-4 486 . . . . . . . . . . . . . . . . . . . . . . 21-2
431 . . . . . . . . . . . . . . . . . . . . . . 19-5 487 . . . . . . . . . . . . . . . . . . . . . . 21-3
432 . . . . . . . . . . . . . . . . . . . . . . 19-6 488 . . . . . . . . . . . . . . . . . . . . . . 21-4
433 . . . . . . . . . . . . . . . . . . . . . . 19-7 489 . . . . . . . . . . . . . . . . . . . . . . 21-5
434 . . . . . . . . . . . . . . . . . . . . . . 19-8 490 . . . . . . . . . . . . . . . . . . . . . . 21-6
435 . . . . . . . . . . . . . . . . . . . . . . 19-9 491 Title . . . . . . . . . . . . . . . . . . . None
436 . . . . . . . . . . . . . . . . . . . . . . 19-10 492 . . . . . . . . . . . . . . . . . . . . . . 21-7
437 . . . . . . . . . . . . . . . . . . . . . . 19-11 493 . . . . . . . . . . . . . . . . . . . . . . 21-8
438 . . . . . . . . . . . . . . . . . . . . . . 19-12 494 . . . . . . . . . . . . . . . . . . . . . . 21-9
439 . . . . . . . . . . . . . . . . . . . . . . 19-13 495 . . . . . . . . . . . . . . . . . . . . . . 21-10
440 . . . . . . . . . . . . . . . . . . . . . . 19-14 496 . . . . . . . . . . . . . . . . . . . . . . 21-11
441 . . . . . . . . . . . . . . . . . . . . . . 19-15 497 . . . . . . . . . . . . . . . . . . . . . . 21-12
442 . . . . . . . . . . . . . . . . . . . . . . 19-16 498 . . . . . . . . . . . . . . . . . . . . . . 21-13
443 . . . . . . . . . . . . . . . . . . . . . . 19-17 499 . . . . . . . . . . . . . . . . . . . . . . 21-14
444 . . . . . . . . . . . . . . . . . . . . . . 19-18 500 . . . . . . . . . . . . . . . . . . . . . . 21-15
527
REFERENCE TABLE
P.B. 1978-1997 CLJ P.B. 1998 P.B. 1978-1997 CLJ P.B. 1998
Sec. Sec. Sec. Sec.
501 . . . . . . . . . . . . . . . . . . . . . . 21-16 529T . . . . . . . . . . . . . . . . . . . . . 23-41
502 . . . . . . . . . . . . . . . . . . . . . . 21-17 529U . . . . . . . . . . . . . . . . . . . . . 23-42
503 . . . . . . . . . . . . . . . . . . . . . . 21-18 530 . . . . . . . . . . . . . . . . . . . . . . None
504 Title . . . . . . . . . . . . . . . . . . . None 531 . . . . . . . . . . . . . . . . . . . . . . None
505 . . . . . . . . . . . . . . . . . . . . . . 21-19 532 . . . . . . . . . . . . . . . . . . . . . . None
506 . . . . . . . . . . . . . . . . . . . . . . 21-20 533 . . . . . . . . . . . . . . . . . . . . . . None
507 . . . . . . . . . . . . . . . . . . . . . . 21-21 534 . . . . . . . . . . . . . . . . . . . . . . None
508 . . . . . . . . . . . . . . . . . . . . . . 21-22 535 . . . . . . . . . . . . . . . . . . . . . . None
509 . . . . . . . . . . . . . . . . . . . . . . 21-23 536 . . . . . . . . . . . . . . . . . . . . . . None
510 . . . . . . . . . . . . . . . . . . . . . . 21-24 537 Title . . . . . . . . . . . . . . . . . . . None
511A . . . . . . . . . . . . . . . . . . . . . 22-1 538 . . . . . . . . . . . . . . . . . . . . . . 23-43
511B . . . . . . . . . . . . . . . . . . . . . 22-2 539 . . . . . . . . . . . . . . . . . . . . . . 23-44
514 . . . . . . . . . . . . . . . . . . . . . . 22-3 540 Title . . . . . . . . . . . . . . . . . . . None
515 Title . . . . . . . . . . . . . . . . . . . None 541 . . . . . . . . . . . . . . . . . . . . . . 23-45
515A . . . . . . . . . . . . . . . . . . . . . 22-4 542 . . . . . . . . . . . . . . . . . . . . . . 23-46
516 . . . . . . . . . . . . . . . . . . . . . . 22-5 543 . . . . . . . . . . . . . . . . . . . . . . 23-47
516A . . . . . . . . . . . . . . . . . . . . . 22-6 544 . . . . . . . . . . . . . . . . . . . . . . 23-48
518 . . . . . . . . . . . . . . . . . . . . . . 22-7 545 . . . . . . . . . . . . . . . . . . . . . . 23-49
518A . . . . . . . . . . . . . . . . . . . . . 22-8 546 . . . . . . . . . . . . . . . . . . . . . . 23-50
519 . . . . . . . . . . . . . . . . . . . . . . 22-9 546A . . . . . . . . . . . . . . . . . . . . . 23-51
525 . . . . . . . . . . . . . . . . . . . . . . 23-1 546B Title . . . . . . . . . . . . . . . . . . None
525A . . . . . . . . . . . . . . . . . . . . . 23-2 546C . . . . . . . . . . . . . . . . . . . . . 23-52
525B . . . . . . . . . . . . . . . . . . . . . 23-3 546D . . . . . . . . . . . . . . . . . . . . . 23-53
525C . . . . . . . . . . . . . . . . . . . . . 23-4 546E . . . . . . . . . . . . . . . . . . . . . 23-54
525D . . . . . . . . . . . . . . . . . . . . . 23-5 546F . . . . . . . . . . . . . . . . . . . . . 23-55
525E . . . . . . . . . . . . . . . . . . . . . 23-6 546G . . . . . . . . . . . . . . . . . . . . . 23-56
525F . . . . . . . . . . . . . . . . . . . . . 23-7 546H . . . . . . . . . . . . . . . . . . . . . 23-57
525G . . . . . . . . . . . . . . . . . . . . . 23-8 546J . . . . . . . . . . . . . . . . . . . . . 23-58
525H . . . . . . . . . . . . . . . . . . . . . 23-9 546K . . . . . . . . . . . . . . . . . . . . . 23-59
525I. . . . . . . . . . . . . . . . . . . . . . 23-10 546L Title . . . . . . . . . . . . . . . . . . None
525J . . . . . . . . . . . . . . . . . . . . . 23-11 546M . . . . . . . . . . . . . . . . . . . . . 23-60
525K . . . . . . . . . . . . . . . . . . . . . 23-12 546N . . . . . . . . . . . . . . . . . . . . . 23-61
526 . . . . . . . . . . . . . . . . . . . . . . 23-16 546O . . . . . . . . . . . . . . . . . . . . . 23-62
526A . . . . . . . . . . . . . . . . . . . . . 23-17 546P . . . . . . . . . . . . . . . . . . . . . 23-63
None . . . . . . . . . 526L . . . . . . . . . 23-13 546Q . . . . . . . . . . . . . . . . . . . . . 23-64
None . . . . . . . . . 526M . . . . . . . . . 23-14 546R . . . . . . . . . . . . . . . . . . . . . 23-65
None . . . . . . . . . 526N . . . . . . . . . 23-15 546S . . . . . . . . . . . . . . . . . . . . . 23-66
527 . . . . . . . . . . . . . . . . . . . . . . 23-18 546T . . . . . . . . . . . . . . . . . . . . . 23-67
528 . . . . . . . . . . . . . . . . . . . . . . 23-19 547 . . . . . . . . . . . . . . . . . . . . . . 24-1
528A . . . . . . . . . . . . . . . . . . . . . 23-20 548 . . . . . . . . . . . . . . . . . . . . . . 24-2
529 . . . . . . . . . . . . . . . . . . . . . . 23-21 549 . . . . . . . . . . . . . . . . . . . . . . 24-3
529A . . . . . . . . . . . . . . . . . . . . . 23-22 550 . . . . . . . . . . . . . . . . . . . . . . 24-4
529B . . . . . . . . . . . . . . . . . . . . . 23-23 551 . . . . . . . . . . . . . . . . . . . . . . 24-5
529C . . . . . . . . . . . . . . . . . . . . . 23-24 552 . . . . . . . . . . . . . . . . . . . . . . 24-6
529D . . . . . . . . . . . . . . . . . . . . . 23-25 553 . . . . . . . . . . . . . . . . . . . . . . 24-7
529E . . . . . . . . . . . . . . . . . . . . . 23-26 555 Title . . . . . . . . . . . . . . . . . . . None
529F . . . . . . . . . . . . . . . . . . . . . 23-27 556 . . . . . . . . . . . . . . . . . . . . . . 24-8
529G . . . . . . . . . . . . . . . . . . . . . 23-28 557 . . . . . . . . . . . . . . . . . . . . . . 24-9
529H . . . . . . . . . . . . . . . . . . . . . 23-29 559 . . . . . . . . . . . . . . . . . . . . . . 24-10
529I. . . . . . . . . . . . . . . . . . . . . . 23-30 561 . . . . . . . . . . . . . . . . . . . . . . 24-11
529J . . . . . . . . . . . . . . . . . . . . . 23-31 562 . . . . . . . . . . . . . . . . . . . . . . 24-12
529K . . . . . . . . . . . . . . . . . . . . . 23-32 563 . . . . . . . . . . . . . . . . . . . . . . 24-13
529L . . . . . . . . . . . . . . . . . . . . . 23-33 564 . . . . . . . . . . . . . . . . . . . . . . 24-14
529M . . . . . . . . . . . . . . . . . . . . . 23-34 565 . . . . . . . . . . . . . . . . . . . . . . 24-15
529N . . . . . . . . . . . . . . . . . . . . . 23-35 566 Title . . . . . . . . . . . . . . . . . . . None
529O . . . . . . . . . . . . . . . . . . . . . 23-36 567 . . . . . . . . . . . . . . . . . . . . . . 24-16
529P . . . . . . . . . . . . . . . . . . . . . 23-37 568 . . . . . . . . . . . . . . . . . . . . . . 24-17
529Q . . . . . . . . . . . . . . . . . . . . . 23-38 569 . . . . . . . . . . . . . . . . . . . . . . 24-18
529R . . . . . . . . . . . . . . . . . . . . . 23-39 570 . . . . . . . . . . . . . . . . . . . . . . 24-19
529S . . . . . . . . . . . . . . . . . . . . . 23-40 571 . . . . . . . . . . . . . . . . . . . . . . 24-20
528
REFERENCE TABLE
P.B. 1978-1997 CLJ P.B. 1998 P.B. 1978-1997 CLJ P.B. 1998
Sec. Sec. Sec. Sec.
572 . . . . . . . . . . . . . . . . . . . . . . 24-21 644 . . . . . . . . . . . . . . . . . . . . . . 37-8
573 Title . . . . . . . . . . . . . . . . . . . None 645 . . . . . . . . . . . . . . . . . . . . . . 37-9
574 . . . . . . . . . . . . . . . . . . . . . . 24-22 646 Title . . . . . . . . . . . . . . . . . . . None
575 . . . . . . . . . . . . . . . . . . . . . . 24-23 647 . . . . . . . . . . . . . . . . . . . . . . 37-10
576 Title . . . . . . . . . . . . . . . . . . . None 648 . . . . . . . . . . . . . . . . . . . . . . 37-11
577 . . . . . . . . . . . . . . . . . . . . . . 24-24 649 Title . . . . . . . . . . . . . . . . . . . None
578 . . . . . . . . . . . . . . . . . . . . . . 24-25 650 . . . . . . . . . . . . . . . . . . . . . . 37-12
579 . . . . . . . . . . . . . . . . . . . . . . 24-26 652 Title . . . . . . . . . . . . . . . . . . . None
580 . . . . . . . . . . . . . . . . . . . . . . 24-27 653 Title . . . . . . . . . . . . . . . . . . . None
581 . . . . . . . . . . . . . . . . . . . . . . 24-28 654 . . . . . . . . . . . . . . . . . . . . . . 38-1
582 . . . . . . . . . . . . . . . . . . . . . . 24-29 655 Title . . . . . . . . . . . . . . . . . . . None
583 . . . . . . . . . . . . . . . . . . . . . . 24-30 656 . . . . . . . . . . . . . . . . . . . . . . 38-2
584 . . . . . . . . . . . . . . . . . . . . . . 24-31 657 . . . . . . . . . . . . . . . . . . . . . . 38-3
585 . . . . . . . . . . . . . . . . . . . . . . 24-32 658 . . . . . . . . . . . . . . . . . . . . . . 38-4
589 Title . . . . . . . . . . . . . . . . . . . None 659 . . . . . . . . . . . . . . . . . . . . . . 38-5
590 . . . . . . . . . . . . . . . . . . . . . . 24-33 660 Title . . . . . . . . . . . . . . . . . . . None
592 Title . . . . . . . . . . . . . . . . . . . None 661 . . . . . . . . . . . . . . . . . . . . . . 38-6
593 . . . . . . . . . . . . . . . . . . . . . . 36-1 662 Title . . . . . . . . . . . . . . . . . . . None
593A . . . . . . . . . . . . . . . . . . . . . 36-2 663 . . . . . . . . . . . . . . . . . . . . . . 38-7
594 . . . . . . . . . . . . . . . . . . . . . . 36-3 664 . . . . . . . . . . . . . . . . . . . . . . 38-8
595 . . . . . . . . . . . . . . . . . . . . . . 36-4 665 . . . . . . . . . . . . . . . . . . . . . . 38-9
596 . . . . . . . . . . . . . . . . . . . . . . 36-5 666 . . . . . . . . . . . . . . . . . . . . . . 38-10
597 . . . . . . . . . . . . . . . . . . . . . . 36-6 668 . . . . . . . . . . . . . . . . . . . . . . 38-11
598 Title . . . . . . . . . . . . . . . . . . . None 669 . . . . . . . . . . . . . . . . . . . . . . 38-12
599 . . . . . . . . . . . . . . . . . . . . . . 36-7 670 . . . . . . . . . . . . . . . . . . . . . . None
600 Title . . . . . . . . . . . . . . . . . . . None 671 Title . . . . . . . . . . . . . . . . . . . None
601 . . . . . . . . . . . . . . . . . . . . . . 36-8 672 Title . . . . . . . . . . . . . . . . . . . None
602 . . . . . . . . . . . . . . . . . . . . . . 36-9 673 . . . . . . . . . . . . . . . . . . . . . . 38-13
603 . . . . . . . . . . . . . . . . . . . . . . 36-10 674 . . . . . . . . . . . . . . . . . . . . . . 38-14
604 Title . . . . . . . . . . . . . . . . . . . None 675 . . . . . . . . . . . . . . . . . . . . . . 38-15
615 Title . . . . . . . . . . . . . . . . . . . None 675A . . . . . . . . . . . . . . . . . . . . . 38-16
616 . . . . . . . . . . . . . . . . . . . . . . 36-11 676 . . . . . . . . . . . . . . . . . . . . . . 38-17
617 . . . . . . . . . . . . . . . . . . . . . . 36-12 677 . . . . . . . . . . . . . . . . . . . . . . 38-18
618 . . . . . . . . . . . . . . . . . . . . . . 36-13 680 Title . . . . . . . . . . . . . . . . . . . None
619 . . . . . . . . . . . . . . . . . . . . . . 36-14 681 Title . . . . . . . . . . . . . . . . . . . None
620 . . . . . . . . . . . . . . . . . . . . . . 36-15 682 . . . . . . . . . . . . . . . . . . . . . . 38-19
621 Title . . . . . . . . . . . . . . . . . . . None 683 . . . . . . . . . . . . . . . . . . . . . . 38-20
622 . . . . . . . . . . . . . . . . . . . . . . 36-16 684 . . . . . . . . . . . . . . . . . . . . . . 38-21
623 . . . . . . . . . . . . . . . . . . . . . . 36-17 None . . . . . . . . . 684A . . . . . . . . . 38-22
624 . . . . . . . . . . . . . . . . . . . . . . 36-18 685 . . . . . . . . . . . . . . . . . . . . . . 38-23
625 . . . . . . . . . . . . . . . . . . . . . . 36-19 686 Title . . . . . . . . . . . . . . . . . . . None
626 . . . . . . . . . . . . . . . . . . . . . . 36-20 687 . . . . . . . . . . . . . . . . . . . . . . 39-1
627 . . . . . . . . . . . . . . . . . . . . . . 36-21 688 . . . . . . . . . . . . . . . . . . . . . . 39-2
628 . . . . . . . . . . . . . . . . . . . . . . 36-22 689 . . . . . . . . . . . . . . . . . . . . . . 39-3
629 . . . . . . . . . . . . . . . . . . . . . . None 690 . . . . . . . . . . . . . . . . . . . . . . 39-4
630 . . . . . . . . . . . . . . . . . . . . . . None 691 Title . . . . . . . . . . . . . . . . . . . None
631 . . . . . . . . . . . . . . . . . . . . . . None 692 . . . . . . . . . . . . . . . . . . . . . . 39-5
632 . . . . . . . . . . . . . . . . . . . . . . None 693 . . . . . . . . . . . . . . . . . . . . . . 39-6
633 . . . . . . . . . . . . . . . . . . . . . . None 694 . . . . . . . . . . . . . . . . . . . . . . 39-7
635 . . . . . . . . . . . . . . . . . . . . . . 37-1 696 . . . . . . . . . . . . . . . . . . . . . . 39-8
635A . . . . . . . . . . . . . . . . . . . . . 37-2 697 . . . . . . . . . . . . . . . . . . . . . . 39-9
636 Title . . . . . . . . . . . . . . . . . . . None 698 . . . . . . . . . . . . . . . . . . . . . . 39-10
637 . . . . . . . . . . . . . . . . . . . . . . 37-3 699 Title . . . . . . . . . . . . . . . . . . . None
638 . . . . . . . . . . . . . . . . . . . . . . 37-4 700 . . . . . . . . . . . . . . . . . . . . . . 39-11
639 Title . . . . . . . . . . . . . . . . . . . None 701 . . . . . . . . . . . . . . . . . . . . . . 39-12
640 . . . . . . . . . . . . . . . . . . . . . . 37-5 702 . . . . . . . . . . . . . . . . . . . . . . 39-13
641 . . . . . . . . . . . . . . . . . . . . . . 37-6 703 Title . . . . . . . . . . . . . . . . . . . None
642 Title . . . . . . . . . . . . . . . . . . . None 704 . . . . . . . . . . . . . . . . . . . . . . 39-14
643 . . . . . . . . . . . . . . . . . . . . . . 37-7 705 . . . . . . . . . . . . . . . . . . . . . . 39-15
529
REFERENCE TABLE
P.B. 1978-1997 CLJ P.B. 1998 P.B. 1978-1997 CLJ P.B. 1998
Sec. Sec. Sec. Sec.
706 . . . . . . . . . . . . . . . . . . . . . . 39-16 763 . . . . . . . . . . . . . . . . . . . . . . 40-21
707 . . . . . . . . . . . . . . . . . . . . . . 39-17 764 . . . . . . . . . . . . . . . . . . . . . . 40-22
708 Title . . . . . . . . . . . . . . . . . . . None 765 . . . . . . . . . . . . . . . . . . . . . . 40-23
709 . . . . . . . . . . . . . . . . . . . . . . 39-18 766 . . . . . . . . . . . . . . . . . . . . . . None
710 Title . . . . . . . . . . . . . . . . . . . None 767 . . . . . . . . . . . . . . . . . . . . . . 40-24
711 . . . . . . . . . . . . . . . . . . . . . . 39-19 768 . . . . . . . . . . . . . . . . . . . . . . 40-25
712 . . . . . . . . . . . . . . . . . . . . . . 39-20 769 . . . . . . . . . . . . . . . . . . . . . . 40-26
713 . . . . . . . . . . . . . . . . . . . . . . 39-21 769A . . . . . . . . . . . . . . . . . . . . . 40-27
714 Title . . . . . . . . . . . . . . . . . . . None 770 . . . . . . . . . . . . . . . . . . . . . . 40-28
715 . . . . . . . . . . . . . . . . . . . . . . 39-22 771 . . . . . . . . . . . . . . . . . . . . . . 40-29
716 . . . . . . . . . . . . . . . . . . . . . . 39-23 772 . . . . . . . . . . . . . . . . . . . . . . 40-30
717 . . . . . . . . . . . . . . . . . . . . . . 39-24 773 . . . . . . . . . . . . . . . . . . . . . . 40-31
718 . . . . . . . . . . . . . . . . . . . . . . 39-25 774 . . . . . . . . . . . . . . . . . . . . . . None
720 . . . . . . . . . . . . . . . . . . . . . . 39-26 776 . . . . . . . . . . . . . . . . . . . . . . 40-32
721 . . . . . . . . . . . . . . . . . . . . . . 39-27 777 . . . . . . . . . . . . . . . . . . . . . . 40-33
722 . . . . . . . . . . . . . . . . . . . . . . 39-28 778 . . . . . . . . . . . . . . . . . . . . . . 40-34
723 Title . . . . . . . . . . . . . . . . . . . None 779 . . . . . . . . . . . . . . . . . . . . . . 40-35
724 Title . . . . . . . . . . . . . . . . . . . None 780 . . . . . . . . . . . . . . . . . . . . . . 40-36
725 . . . . . . . . . . . . . . . . . . . . . . 39-29 781 . . . . . . . . . . . . . . . . . . . . . . 40-37
726 . . . . . . . . . . . . . . . . . . . . . . 39-30 782 . . . . . . . . . . . . . . . . . . . . . . 40-38
727 . . . . . . . . . . . . . . . . . . . . . . 39-31 783 . . . . . . . . . . . . . . . . . . . . . . 40-39
728 . . . . . . . . . . . . . . . . . . . . . . 39-32 784 Title . . . . . . . . . . . . . . . . . . . None
730 . . . . . . . . . . . . . . . . . . . . . . 39-33 785 . . . . . . . . . . . . . . . . . . . . . . 40-40
731 Title . . . . . . . . . . . . . . . . . . . None 786 . . . . . . . . . . . . . . . . . . . . . . 40-41
732 . . . . . . . . . . . . . . . . . . . . . . 40-1 787 . . . . . . . . . . . . . . . . . . . . . . 40-42
733 . . . . . . . . . . . . . . . . . . . . . . 40-2 788 . . . . . . . . . . . . . . . . . . . . . . 40-43
734 . . . . . . . . . . . . . . . . . . . . . . 40-3 789 Title . . . . . . . . . . . . . . . . . . . None
735 . . . . . . . . . . . . . . . . . . . . . . 40-4 790 Title . . . . . . . . . . . . . . . . . . . None
735A . . . . . . . . . . . . . . . . . . . . . 40-5 791 . . . . . . . . . . . . . . . . . . . . . . 40-44
736 Title . . . . . . . . . . . . . . . . . . . None 792 . . . . . . . . . . . . . . . . . . . . . . 40-45
737 . . . . . . . . . . . . . . . . . . . . . . 40-6 793 . . . . . . . . . . . . . . . . . . . . . . 40-46
737A . . . . . . . . . . . . . . . . . . . . . 40-7 794 . . . . . . . . . . . . . . . . . . . . . . 40-47
737B . . . . . . . . . . . . . . . . . . . . . 40-8 795 . . . . . . . . . . . . . . . . . . . . . . 40-48
738 . . . . . . . . . . . . . . . . . . . . . . 40-9 796 . . . . . . . . . . . . . . . . . . . . . . 40-49
739 . . . . . . . . . . . . . . . . . . . . . . 40-10 797 . . . . . . . . . . . . . . . . . . . . . . 40-50
740 Title . . . . . . . . . . . . . . . . . . . None 798 . . . . . . . . . . . . . . . . . . . . . . 40-51
741 . . . . . . . . . . . . . . . . . . . . . . 40-11 799 . . . . . . . . . . . . . . . . . . . . . . 40-52
742 . . . . . . . . . . . . . . . . . . . . . . 40-12 800 . . . . . . . . . . . . . . . . . . . . . . 40-53
743 . . . . . . . . . . . . . . . . . . . . . . 40-13 801 . . . . . . . . . . . . . . . . . . . . . . 40-54
744 . . . . . . . . . . . . . . . . . . . . . . None 802 . . . . . . . . . . . . . . . . . . . . . . 40-55
745 . . . . . . . . . . . . . . . . . . . . . . None 803 . . . . . . . . . . . . . . . . . . . . . . 40-56
746 . . . . . . . . . . . . . . . . . . . . . . 40-14 804 . . . . . . . . . . . . . . . . . . . . . . 40-57
747 . . . . . . . . . . . . . . . . . . . . . . None 805 . . . . . . . . . . . . . . . . . . . . . . 40-58
749 . . . . . . . . . . . . . . . . . . . . . . 40-15 807 . . . . . . . . . . . . . . . . . . . . . . 41-1
750 . . . . . . . . . . . . . . . . . . . . . . None 808 . . . . . . . . . . . . . . . . . . . . . . 41-2
751 Title . . . . . . . . . . . . . . . . . . . None 809 . . . . . . . . . . . . . . . . . . . . . . 41-3
752 . . . . . . . . . . . . . . . . . . . . . . None 810 . . . . . . . . . . . . . . . . . . . . . . 41-4
753 . . . . . . . . . . . . . . . . . . . . . . None 811 . . . . . . . . . . . . . . . . . . . . . . 41-5
754 . . . . . . . . . . . . . . . . . . . . . . 40-16 812 . . . . . . . . . . . . . . . . . . . . . . 41-6
755 . . . . . . . . . . . . . . . . . . . . . . None 813 . . . . . . . . . . . . . . . . . . . . . . 41-7
757 Title . . . . . . . . . . . . . . . . . . . None 815 . . . . . . . . . . . . . . . . . . . . . . 41-8
758 . . . . . . . . . . . . . . . . . . . . . . 40-17 816 . . . . . . . . . . . . . . . . . . . . . . 41-9
759 . . . . . . . . . . . . . . . . . . . . . . 40-18 817 . . . . . . . . . . . . . . . . . . . . . . 41-10
760 . . . . . . . . . . . . . . . . . . . . . . 40-19 818 . . . . . . . . . . . . . . . . . . . . . . 41-11
760A . . . . . . . . . . . . . . . . . . . . . 40-20 820 Title . . . . . . . . . . . . . . . . . . . None
761 . . . . . . . . . . . . . . . . . . . . . . None 821 . . . . . . . . . . . . . . . . . . . . . . 41-12
762 Title . . . . . . . . . . . . . . . . . . . None 822 . . . . . . . . . . . . . . . . . . . . . . 41-13
530
REFERENCE TABLE
P.B. 1978-1997 CLJ P.B. 1998 P.B. 1978-1997 CLJ P.B. 1998
Sec. Sec. Sec. Sec.
823 . . . . . . . . . . . . . . . . . . . . . . 41-14 877 . . . . . . . . . . . . . . . . . . . . . . None
824 . . . . . . . . . . . . . . . . . . . . . . 41-15 878 Title . . . . . . . . . . . . . . . . . . . None
825 . . . . . . . . . . . . . . . . . . . . . . 41-16 879 . . . . . . . . . . . . . . . . . . . . . . 42-37
826 . . . . . . . . . . . . . . . . . . . . . . 41-17 880 . . . . . . . . . . . . . . . . . . . . . . 42-38
827 Title . . . . . . . . . . . . . . . . . . . None 881 . . . . . . . . . . . . . . . . . . . . . . 42-39
828 . . . . . . . . . . . . . . . . . . . . . . 41-18 882 Title . . . . . . . . . . . . . . . . . . . None
829 . . . . . . . . . . . . . . . . . . . . . . 41-19 883 . . . . . . . . . . . . . . . . . . . . . . 42-40
830 Title . . . . . . . . . . . . . . . . . . . None 884 . . . . . . . . . . . . . . . . . . . . . . 42-41
831 . . . . . . . . . . . . . . . . . . . . . . 41-20 885 . . . . . . . . . . . . . . . . . . . . . . 42-42
832 . . . . . . . . . . . . . . . . . . . . . . 41-21 886 Title . . . . . . . . . . . . . . . . . . . None
833 . . . . . . . . . . . . . . . . . . . . . . 41-22 887 . . . . . . . . . . . . . . . . . . . . . . 42-43
834 Title . . . . . . . . . . . . . . . . . . . None 888 . . . . . . . . . . . . . . . . . . . . . . 42-44
835 . . . . . . . . . . . . . . . . . . . . . . 41-23 889 . . . . . . . . . . . . . . . . . . . . . . 42-45
836 . . . . . . . . . . . . . . . . . . . . . . 41-24 890 Title . . . . . . . . . . . . . . . . . . . None
837 . . . . . . . . . . . . . . . . . . . . . . 41-25 891 Title . . . . . . . . . . . . . . . . . . . None
838 Title . . . . . . . . . . . . . . . . . . . None 892 . . . . . . . . . . . . . . . . . . . . . . 42-46
839 . . . . . . . . . . . . . . . . . . . . . . 42-1 893 . . . . . . . . . . . . . . . . . . . . . . 42-47
840 . . . . . . . . . . . . . . . . . . . . . . 42-2 894 . . . . . . . . . . . . . . . . . . . . . . 42-48
841 . . . . . . . . . . . . . . . . . . . . . . 42-3 895 . . . . . . . . . . . . . . . . . . . . . . 42-49
842 . . . . . . . . . . . . . . . . . . . . . . 42-4 896 Title . . . . . . . . . . . . . . . . . . . None
843 . . . . . . . . . . . . . . . . . . . . . . 42-5 897 Title . . . . . . . . . . . . . . . . . . . None
844 . . . . . . . . . . . . . . . . . . . . . . 42-6 898 . . . . . . . . . . . . . . . . . . . . . . 42-50
845 . . . . . . . . . . . . . . . . . . . . . . 42-7 899 . . . . . . . . . . . . . . . . . . . . . . 42-51
845A . . . . . . . . . . . . . . . . . . . . . 42-8 900 . . . . . . . . . . . . . . . . . . . . . . 42-52
845B . . . . . . . . . . . . . . . . . . . . . 42-9 901 Title . . . . . . . . . . . . . . . . . . . None
846 Title . . . . . . . . . . . . . . . . . . . None 902 . . . . . . . . . . . . . . . . . . . . . . 42-53
846A . . . . . . . . . . . . . . . . . . . . . 42-10 903 . . . . . . . . . . . . . . . . . . . . . . 42-54
847 . . . . . . . . . . . . . . . . . . . . . . 42-11 904 . . . . . . . . . . . . . . . . . . . . . . 42-55
848 . . . . . . . . . . . . . . . . . . . . . . 42-12 905 . . . . . . . . . . . . . . . . . . . . . . 42-56
849 . . . . . . . . . . . . . . . . . . . . . . 42-13 906 Title . . . . . . . . . . . . . . . . . . . None
850 . . . . . . . . . . . . . . . . . . . . . . 42-14 907 . . . . . . . . . . . . . . . . . . . . . . 43-1
850A . . . . . . . . . 7RR . . . . . . . . . . 5-5 908 . . . . . . . . . . . . . . . . . . . . . . 43-2
850B . . . . . . . . . . . . . . . . . . . . . 42-15 909 Title . . . . . . . . . . . . . . . . . . . None
851 Title . . . . . . . . . . . . . . . . . . . None 910 . . . . . . . . . . . . . . . . . . . . . . 43-3
852 . . . . . . . . . . . . . . . . . . . . . . 42-16 911 . . . . . . . . . . . . . . . . . . . . . . 43-4
853 . . . . . . . . . . . . . . . . . . . . . . 42-17 912 . . . . . . . . . . . . . . . . . . . . . . 43-5
854 . . . . . . . . . . . . . . . . . . . . . . 42-18 913 . . . . . . . . . . . . . . . . . . . . . . 43-6
854A . . . . . . . . . . . . . . . . . . . . . 42-19 914 Title . . . . . . . . . . . . . . . . . . . None
855 . . . . . . . . . . . . . . . . . . . . . . 42-20 915 . . . . . . . . . . . . . . . . . . . . . . 43-7
856 . . . . . . . . . . . . . . . . . . . . . . 42-21 916 . . . . . . . . . . . . . . . . . . . . . . 43-8
857 . . . . . . . . . . . . . . . . . . . . . . 42-22 917 . . . . . . . . . . . . . . . . . . . . . . 43-9
858 . . . . . . . . . . . . . . . . . . . . . . 42-23 918 Title . . . . . . . . . . . . . . . . . . . None
859 Title . . . . . . . . . . . . . . . . . . . None 919 . . . . . . . . . . . . . . . . . . . . . . 43-10
860 . . . . . . . . . . . . . . . . . . . . . . 42-24 920 Title . . . . . . . . . . . . . . . . . . . None
861 . . . . . . . . . . . . . . . . . . . . . . 42-25 921 . . . . . . . . . . . . . . . . . . . . . . 43-11
862 Title . . . . . . . . . . . . . . . . . . . None 922 . . . . . . . . . . . . . . . . . . . . . . 43-12
863 . . . . . . . . . . . . . . . . . . . . . . 42-26 923 Title . . . . . . . . . . . . . . . . . . . None
864 . . . . . . . . . . . . . . . . . . . . . . 42-27 924 . . . . . . . . . . . . . . . . . . . . . . 43-13
865 . . . . . . . . . . . . . . . . . . . . . . 42-28 925 . . . . . . . . . . . . . . . . . . . . . . 43-14
866 Title . . . . . . . . . . . . . . . . . . . None 926 . . . . . . . . . . . . . . . . . . . . . . 43-15
867 . . . . . . . . . . . . . . . . . . . . . . 42-29 927 . . . . . . . . . . . . . . . . . . . . . . 43-16
868 . . . . . . . . . . . . . . . . . . . . . . 42-30 928 Title . . . . . . . . . . . . . . . . . . . None
869 . . . . . . . . . . . . . . . . . . . . . . 42-31 929 . . . . . . . . . . . . . . . . . . . . . . 43-17
870 . . . . . . . . . . . . . . . . . . . . . . 42-32 930 Title . . . . . . . . . . . . . . . . . . . None
871 . . . . . . . . . . . . . . . . . . . . . . 42-33 931 . . . . . . . . . . . . . . . . . . . . . . 43-18
872 . . . . . . . . . . . . . . . . . . . . . . 42-34 932 . . . . . . . . . . . . . . . . . . . . . . 43-19
873 Title . . . . . . . . . . . . . . . . . . . None 932A . . . . . . . . . . . . . . . . . . . . . 43-20
874 . . . . . . . . . . . . . . . . . . . . . . 42-35 933 Title . . . . . . . . . . . . . . . . . . . None
875 . . . . . . . . . . 7QQ. . . . . . . . . . 5-4 934 . . . . . . . . . . . . . . . . . . . . . . 43-21
876 . . . . . . . . . . . . . . . . . . . . . . 42-36 935 . . . . . . . . . . . . . . . . . . . . . . 43-22
531
REFERENCE TABLE
P.B. 1978-1997 CLJ P.B. 1998 P.B. 1978-1997 CLJ P.B. 1998
Sec. Sec. Sec. Sec.
937 . . . . . . . . . . . . . . . . . . . . . . 43-23 991 . . . . . . . . . . 7J . . . . . . . . . . . 1-18
938 . . . . . . . . . . . . . . . . . . . . . . 43-24 992 . . . . . . . . . . 7K . . . . . . . . . . . 1-19
939 . . . . . . . . . . . . . . . . . . . . . . 43-25 993 . . . . . . . . . . 7L . . . . . . . . . . . 1-20
940 . . . . . . . . . . . . . . . . . . . . . . 43-26 994 . . . . . . . . . . 7M . . . . . . . . . . 1-21
941 . . . . . . . . . . . . . . . . . . . . . . 43-27 995 Title . . . . . . . . . . . . . . . . . . . None
942 . . . . . . . . . . . . . . . . . . . . . . 43-28 996 . . . . . . . . . . 7N. . . . . . . . . . . 1-22
943 . . . . . . . . . . . . . . . . . . . . . . 43-29 997 . . . . . . . . . . 7O. . . . . . . . . . . 1-23
944 . . . . . . . . . . . . . . . . . . . . . . None 997A . . . . . . . . . . . . . . . . . . . . . 44-19
945 . . . . . . . . . . . . . . . . . . . . . . 43-30 998 . . . . . . . . . . . . . . . . . . . . . . 44-20
947 . . . . . . . . . . . . . . . . . . . . . . 43-31 1000 . . . . . . . . . . . . . . . . . . . . . 44-21
948 . . . . . . . . . . . . . . . . . . . . . . 43-32 1002 . . . . . . . . . . . . . . . . . . . . . 44-22
949 Title . . . . . . . . . . . . . . . . . . . None 1003 Title . . . . . . . . . . . . . . . . . . None
950 . . . . . . . . . . . . . . . . . . . . . . 43-33 1004 . . . . . . . . . . . . . . . . . . . . . 44-23
951 Title . . . . . . . . . . . . . . . . . . . None 1005 . . . . . . . . . . . . . . . . . . . . . 44-24
952 . . . . . . . . . . . . . . . . . . . . . . 43-34 1006 Title . . . . . . . . . . . . . . . . . . None
953 . . . . . . . . . . . . . . . . . . . . . . 43-35 1007 . . . . . . . . . . . . . . . . . . . . . 44-25
954 . . . . . . . . . . . . . . . . . . . . . . 43-36 1008 . . . . . . . . . . . . . . . . . . . . . 44-26
955 . . . . . . . . . . . . . . . . . . . . . . 43-37 1008A . . . . . . . . . . . . . . . . . . . . 44-27
956 . . . . . . . . . . . . . . . . . . . . . . 43-38 1009 Title . . . . . . . . . . . . . . . . . . None
956A Title . . . . . . . . . . . . . . . . . . None 1010 . . . . . . . . . . . . . . . . . . . . . 44-28
956B . . . . . . . . . . . . . . . . . . . . . 43-39 1011 . . . . . . . . . . . . . . . . . . . . . 44-29
956C . . . . . . . . . . . . . . . . . . . . . 43-40 1011A Title. . . . . . . . . . . . . . . . . . None
956D . . . . . . . . . . . . . . . . . . . . . 43-41 1011D . . . . . . . . . . . . . . . . . . . . 44-30
956E . . . . . . . . . . . . . . . . . . . . . 43-42 1011E . . . . . . . . 7TTT . . . . . . . . . 7-18
956F . . . . . . . . . . . . . . . . . . . . . 43-43 1012A . . . . . . . . . . . . . . . . . . . . 44-31
957 Title . . . . . . . . . . . . . . . . . . . None 1013 Title . . . . . . . . . . . . . . . . . . None
958 Title . . . . . . . . . . . . . . . . . . . None 1014 . . . . . . . . . . . . . . . . . . . . . 44-32
959 . . . . . . . . . . . . . . . . . . . . . . 44-1 1015 . . . . . . . . . . . . . . . . . . . . . 44-33
960 . . . . . . . . . . . . . . . . . . . . . . 44-2 1016 . . . . . . . . . . . . . . . . . . . . . 44-34
961 . . . . . . . . . . . . . . . . . . . . . . 44-3 1017 . . . . . . . . . . . . . . . . . . . . . 44-35
962 Title . . . . . . . . . . . . . . . . . . . None 1018 . . . . . . . . . . . . . . . . . . . . . None
963 . . . . . . . . . . . . . . . . . . . . . . 44-4 1019 . . . . . . . . . . . . . . . . . . . . . None
964 . . . . . . . . . . . . . . . . . . . . . . 44-5 1020 . . . . . . . . . . . . . . . . . . . . . None
965 . . . . . . . . . . . . . . . . . . . . . . 44-6 1020A . . . . . . . . . . . . . . . . . . . . 44-36
966 Title . . . . . . . . . . . . . . . . . . . None 1021 . . . . . . . . . . . . . . . . . . . . . 44-37
967 . . . . . . . . . . . . . . . . . . . . . . 44-7 1023.1 . . . . . . . . . . . . . . . . . . . . 26-1
968 . . . . . . . . . . . . . . . . . . . . . . 44-8 1024.1(1). . . . . . . . . . . . . . . . . . . 27-1
969 . . . . . . . . . . . . . . . . . . . . . . 44-9 1024.1(2). . . . . . . . . . . . . . . . . . . 27-2
970 . . . . . . . . . . . . . . . . . . . . . . 44-10 1025.1(1). . . . . . . . . . . . . . . . . . . 27-3
971 Title . . . . . . . . . . . . . . . . . . . None 1025.1(2). . . . . . . . . . . . . . . . . . . 27-4
972 . . . . . . . . . . . . . . . . . . . . . . 44-11 1025.1(3). . . . . . . . . . . . . . . . . . . 27-5
973 . . . . . . . . . . . . . . . . . . . . . . 44-12 1025.1(4). . . . . . . . . . . . . . . . . . . 27-5
974 Title . . . . . . . . . . . . . . . . . . . None 1025.1(5). . . . . . . . . . . . . . . . . . . 27-7
975 . . . . . . . . . . . . . . . . . . . . . . 44-13 1025.1(6). . . . . . . . . . . . . . . . . . . 27-7
976 . . . . . . . . . . . . . . . . . . . . . . 44-14 1025.1(7). . . . . . . . . . . . . . . . . . . 27-8
977 . . . . . . . . . . . . . . . . . . . . . . 44-15 1025.1(8). . . . . . . . . . . . . . . . . . . 27-6
978 . . . . . . . . . . . . . . . . . . . . . . 44-16 1025.1(9). . . . . . . . . . . . . . . . . . . 27-6
979 . . . . . . . . . . . . . . . . . . . . . . 44-17 1026.1 . . . . . . . . . . . . . . . . . . . . 28-1
980 Title . . . . . . . . . . . . . . . . . . . None 1027.1(1). . . . . . . . . . . . . . . . . . . 29-1
981 . . . . . . . . . . . . . . . . . . . . . . 44-18 1027.1(2). . . . . . . . . . . . . . . . . . . 29-1
982 . . . . . . . . . . . . . . . . . . . . . . None 1027.1(3). . . . . . . . . . . . . . . . . . . 29-2
983 . . . . . . . . . . 7WW . . . . . . . . . 5-10 1027.1(4). . . . . . . . . . . . . . . . . . . 29-2
984 Title . . . . . . . . . . . . . . . . . . . None 1030.1(1). . . . . . . . . . . . . . . . . . . 30-1
985 . . . . . . . . . . 7F . . . . . . . . . . . 1-14 1030.1(2). . . . . . . . . . . . . . . . . . . 30-2
986 . . . . . . . . . . 7G. . . . . . . . . . . 1-15 1030.1(3). . . . . . . . . . . . . . . . . . . 30-3
987 Title . . . . . . . . . . . . . . . . . . . None 1030.1(4). . . . . . . . . . . . . . . . . . . 30-4
988 . . . . . . . . . . 7H. . . . . . . . . . . 1-16 1031.1(1). . . . . . . . . . . . . . . . . . . 30-5
989 . . . . . . . . . . 7I . . . . . . . . . . . 1-17 1031.1(2). . . . . . . . . . . . . . . . . . . 30-6
532
REFERENCE TABLE
P.B. 1978-1997 CLJ P.B. 1998 P.B. 1978-1997 CLJ P.B. 1998
Sec. Sec. Sec. Sec.
1031.1(3). . . . . . . . . . . . . . . . . . . 30-7 None . . . . . . . . . 1200 . . . . . . . . . 25-1
1031.1(4). . . . . . . . . . . . . . . . . . . 30-8 [453] . . . . . . . . . 1201 . . . . . . . . . 25-2
1032.1(1). . . . . . . . . . . . . . . . . . . 30-9 None . . . . . . . . . 1202 . . . . . . . . . 25-3
1032.1(2), (3) . . . . . . . . . . . . . . . . 30-10 None . . . . . . . . . 1203 . . . . . . . . . 25-4
1032.1(4). . . . . . . . . . . . . . . . . . . 30-11 None . . . . . . . . . 1204 . . . . . . . . . 25-5
1033.1(1). . . . . . . . . . . . . . . . . . . 31-1 None . . . . . . . . . 1205 . . . . . . . . . 25-6
1033.1(2). . . . . . . . . . . . . . . . . . . 31-1 [454] . . . . . . . . . 1207 . . . . . . . . . 25-7
1033.1(3). . . . . . . . . . . . . . . . . . . 31-1 [455] . . . . . . . . . 1208 . . . . . . . . . 25-8
1033.1(4). . . . . . . . . . . . . . . . . . . 31-2 [456] . . . . . . . . . 1209 . . . . . . . . . 25-9
1033.1(5). . . . . . . . . . . . . . . . . . . 31-3 [457] . . . . . . . . . 1210 . . . . . . . . . 25-10
1033.1(6). . . . . . . . . . . . . . . . . . . 31-4 None . . . . . . . . . 1211 . . . . . . . . . 25-11
1034.1(1). . . . . . . . . . . . . . . . . . . 31-5 None . . . . . . . . . 1212 . . . . . . . . . 25-12
1034.1(2). . . . . . . . . . . . . . . . . . . 31-6 None . . . . . . . . . 1213 . . . . . . . . . 25-13
1034.1(3). . . . . . . . . . . . . . . . . . . 31-6 None . . . . . . . . . 1214 . . . . . . . . . 25-14
1034.1(4). . . . . . . . . . . . . . . . . . . 31-7 None . . . . . . . . . 1215 . . . . . . . . . 25-15
1030.1(5). . . . . . . . . . . . . . . . . . . 31-8 None . . . . . . . . . 1217 . . . . . . . . . 25-16
1030.1(6). . . . . . . . . . . . . . . . . . . 31-9 None . . . . . . . . . 1218 . . . . . . . . . 25-17
1035.1 . . . . . . . . . . . . . . . . . . . . 31-10 None . . . . . . . . . 1219 . . . . . . . . . 25-18
1036.1 . . . . . . . . . . . . . . . . . . . . 31-11 None . . . . . . . . . 1220 . . . . . . . . . 25-19
1037.1 . . . . . . . . . . . . . . . . . . . . 31-12 None . . . . . . . . . 1221 . . . . . . . . . 25-20
1038.1 . . . . . . . . . . . . . . . . . . . . 31-13 None . . . . . . . . . 1222 . . . . . . . . . 25-21
1040.1(1). . . . . . . . . . . . . . . . . . . 32-1 None . . . . . . . . . 1223 . . . . . . . . . 25-22
1040.1(2). . . . . . . . . . . . . . . . . . . 32-1 None . . . . . . . . . 1224 . . . . . . . . . 25-23
1040.1(3). . . . . . . . . . . . . . . . . . . 32-2 None . . . . . . . . . 1225 . . . . . . . . . 25-24
1040.1(4). . . . . . . . . . . . . . . . . . . 32-2 None . . . . . . . . . 1226 . . . . . . . . . 25-25
1040.1(5). . . . . . . . . . . . . . . . . . . 32-3 [464] . . . . . . . . . 1227 . . . . . . . . . 25-26
1040.1(6). . . . . . . . . . . . . . . . . . . 32-4 None . . . . . . . . . 1228 . . . . . . . . . 25-27
1040.1(7). . . . . . . . . . . . . . . . . . . 32-5 [461] . . . . . . . . . 1229 . . . . . . . . . 25-28
1041.1(1). . . . . . . . . . . . . . . . . . . 32-6 [462] . . . . . . . . . 1230 . . . . . . . . . 25-29
1041.1(2). . . . . . . . . . . . . . . . . . . 32-7 [463] . . . . . . . . . 1231 . . . . . . . . . 25-30
1041.1(3). . . . . . . . . . . . . . . . . . . 32-8 None . . . . . . . . . 1232 . . . . . . . . . 25-31
1041.1(4). . . . . . . . . . . . . . . . . . . 32-9 None . . . . . . . . . 1233 . . . . . . . . . 25-32
1042.1(1). . . . . . . . . . . . . . . . . . . 33-1 None . . . . . . . . . 1234 . . . . . . . . . 25-33
1042.1(2). . . . . . . . . . . . . . . . . . . 33-1 None . . . . . . . . . 1235 . . . . . . . . . 25-34
1042.1(3). . . . . . . . . . . . . . . . . . . 33-2 [464A] . . . . . . . . 1236 . . . . . . . . . 25-35
1042.1(4). . . . . . . . . . . . . . . . . . . 33-3 [472] . . . . . . . . . 1237 . . . . . . . . . 25-36
1042.1(5). . . . . . . . . . . . . . . . . . . 33-4 [473] . . . . . . . . . 1238 . . . . . . . . . 25-37
1042.1(6). . . . . . . . . . . . . . . . . . . 33-3 None . . . . . . . . . 1239 . . . . . . . . . 25-38
1043.1(1). . . . . . . . . . . . . . . . . . . 33-5 None . . . . . . . . . 1240 . . . . . . . . . 25-39
1043.1(2). . . . . . . . . . . . . . . . . . . 33-5 None . . . . . . . . . 1242 . . . . . . . . . 25-40
1043.1(3). . . . . . . . . . . . . . . . . . . 33-6 None . . . . . . . . . 1243 . . . . . . . . . 25-41
1043.1(4). . . . . . . . . . . . . . . . . . . 33-7 None . . . . . . . . . 1244 . . . . . . . . . 25-42
1044.1 . . . . . . . . . . . . . . . . . . . . 33-8 None . . . . . . . . . 1245 . . . . . . . . . 25-43
1045.1(1). . . . . . . . . . . . . . . . . . . 33-9 None . . . . . . . . . 1246 . . . . . . . . . 25-44
1045.1(2). . . . . . . . . . . . . . . . . . . 33-10 None . . . . . . . . . 1247 . . . . . . . . . 25-45
1045.1(3). . . . . . . . . . . . . . . . . . . 33-11 None . . . . . . . . . 1248 . . . . . . . . . 25-46
1046.1 . . . . . . . . . . . . . . . . . . . . 33-12 None . . . . . . . . . 1249 . . . . . . . . . 25-47
1047.1 . . . . . . . . . . . . . . . . . . . . 33-13 None . . . . . . . . . 1250 . . . . . . . . . 25-48
1048.1 . . . . . . . . . . . . . . . . . . . . 34-1 None . . . . . . . . . 1251 . . . . . . . . . 25-49
1049.1 . . . . . . . . . . . . . . . . . . . . 34-2 None . . . . . . . . . 1252 . . . . . . . . . 25-50
1050.1 . . . . . . . . . . . . . . . . . . . . 34-3 None . . . . . . . . . 1253 . . . . . . . . . 25-51
1051.1 . . . . . . . . . . . . . . . . . . . . 34-4 None . . . . . . . . . 1254 . . . . . . . . . 25-52
1055.1 . . . . . . . . . . . . . . . . . . . . 35-1 [458] . . . . . . . . . 1255 . . . . . . . . . 25-53
1056.1 . . . . . . . . . . . . . . . . . . . . None None . . . . . . . . . 1256 . . . . . . . . . 25-54
1057.1 . . . . . . . . . . . . . . . . . . . . 35-2 None . . . . . . . . . 1257 . . . . . . . . . 25-55
1058.1 . . . . . . . . . . . . . . . . . . . . 35-3 None . . . . . . . . . 1258 . . . . . . . . . 25-56
1059.1 . . . . . . . . . . . . . . . . . . . . 35-4 [476] . . . . . . . . . 1259 . . . . . . . . . 25-57
1060.1 . . . . . . . . . . . . . . . . . . . . 35-5 [477] . . . . . . . . . 1260 . . . . . . . . . 25-58
1061.1 . . . . . . . . . . . . . . . . . . . . None [478] . . . . . . . . . 1261 . . . . . . . . . 25-59
1062.1 . . . . . . . . . . . . . . . . . . . . None [479] . . . . . . . . . 1262 . . . . . . . . . 25-60
533
REFERENCE TABLE
P.B. 1978-1997 CLJ P.B. 1998 P.B. 1978-1997 CLJ P.B. 1998
Sec. Sec. Sec. Sec.
None . . . . . . . . . 1263 . . . . . . . . . 25-61 4053 . . . . . . . . . . . . . . . . . . . . . 66-6
[484] . . . . . . . . . 1264 . . . . . . . . . 25-62 4054 . . . . . . . . . . . . . . . . . . . . . 66-7
[484A] . . . . . . . . 1265 . . . . . . . . . 25-63 4055 . . . . . . . . . . . . . . . . . . . . . None
[484B] . . . . . . . . 1266 . . . . . . . . . 25-64 4056 . . . . . . . . . . . . . . . . . . . . . 66-8
[479A] . . . . . . . . 1267 . . . . . . . . . 25-65 4058 Title . . . . . . . . . . . . . . . . . . None
[479B] . . . . . . . . 1268 . . . . . . . . . 25-66 4059 . . . . . . . . . . . . . . . . . . . . . 64-1
[481] . . . . . . . . . 1269 . . . . . . . . . 25-67 4060 . . . . . . . . . . . . . . . . . . . . . 64-2
[484C] . . . . . . . . 1270 . . . . . . . . . 25-68 4061 . . . . . . . . . . . . . . . . . . . . . 60-5
[481A] . . . . . . . . 1271 . . . . . . . . . 25-69 4064 . . . . . . . . . . . . . . . . . . . . . 67-1
4000 . . . . . . . . . . . . . . . . . . . . . 61-1 4064A . . . . . . . . . . . . . . . . . . . . 67-2
4001A . . . . . . . . . . . . . . . . . . . . 60-4 4064B . . . . . . . . . . . . . . . . . . . . 67-3
4002A . . . . . . . . . . . . . . . . . . . . 61-2 4064C . . . . . . . . . . . . . . . . . . . . 67-4
4002B . . . . . . . . . . . . . . . . . . . . 61-3 4064D . . . . . . . . . . . . . . . . . . . . 67-5
4002C . . . . . . . . . . . . . . . . . . . . 61-4 4064E . . . . . . . . . . . . . . . . . . . . 67-6
4002D . . . . . . . . . . . . . . . . . . . . 61-5 4064F . . . . . . . . . . . . . . . . . . . . 67-7
4003 . . . . . . . . . . . . . . . . . . . . . 61-6 4064G . . . . . . . . . . . . . . . . . . . . 67-8
4004 . . . . . . . . . . . . . . . . . . . . . 61-7 4064H . . . . . . . . . . . . . . . . . . . . 67-9
4005 . . . . . . . . . . . . . . . . . . . . . 61-8 4064J. . . . . . . . . . . . . . . . . . . . . 67-10
4006 . . . . . . . . . . . . . . . . . . . . . 61-9 4065 through 4078 . . . . . . . . . . . . . None
4007 . . . . . . . . . . . . . . . . . . . . . 61-10 4083 Title . . . . . . . . . . . . . . . . . . None
4009 . . . . . . . . . . . . . . . . . . . . . 63-1 4084 . . . . . . . . . . . . . . . . . . . . . 68-1
4010 . . . . . . . . . . . . . . . . . . . . . 63-2 4085 . . . . . . . . . . . . . . . . . . . . . 68-2
4011 Title . . . . . . . . . . . . . . . . . . None 4086 . . . . . . . . . . . . . . . . . . . . . 68-3
4012 . . . . . . . . . . . . . . . . . . . . . 63-3 4087 . . . . . . . . . . . . . . . . . . . . . 68-4
4013 . . . . . . . . . . . . . . . . . . . . . 63-4 4090 . . . . . . . . . . . . . . . . . . . . . 68-5
4014 . . . . . . . . . . . . . . . . . . . . . 62-7 4091 . . . . . . . . . . . . . . . . . . . . . 68-6
4015 . . . . . . . . . . . . . . . . . . . . . 63-5 4092 . . . . . . . . . . . . . . . . . . . . . 68-7
4016 Title . . . . . . . . . . . . . . . . . . None 4093 . . . . . . . . . . . . . . . . . . . . . 68-8
4017 . . . . . . . . . . . . . . . . . . . . . 63-6 4094 . . . . . . . . . . . . . . . . . . . . . 68-9
4018 . . . . . . . . . . . . . . . . . . . . . 63-7 4095 . . . . . . . . . . . . . . . . . . . . . 68-10
4019 . . . . . . . . . . . . . . . . . . . . . 63-8 4096 . . . . . . . . . . . . . . . . . . . . . 68-11
4022 Title . . . . . . . . . . . . . . . . . . None 4100 . . . . . . . . . . . . . . . . . . . . . 69-1
4023 . . . . . . . . . . . . . . . . . . . . . 65-1 4101 . . . . . . . . . . . . . . . . . . . . . 69-2
4024 . . . . . . . . . . . . . . . . . . . . . 65-2 4102 . . . . . . . . . . . . . . . . . . . . . 70-2
4025 . . . . . . . . . . . . . . . . . . . . . 65-3 4103 . . . . . . . . . . . . . . . . . . . . . 63-10
4026 . . . . . . . . . . . . . . . . . . . . . None 4104 . . . . . . . . . . . . . . . . . . . . . 69-3
4027 . . . . . . . . . . . . . . . . . . . . . 65-4 4106 . . . . . . . . . . . . . . . . . . . . . 70-1
4028 . . . . . . . . . . . . . . . . . . . . . 62-1 4107 . . . . . . . . . . . . . . . . . . . . . 70-3
4029 . . . . . . . . . . . . . . . . . . . . . 62-2 4108 . . . . . . . . . . . . . . . . . . . . . 70-4
4030 . . . . . . . . . . . . . . . . . . . . . 62-6 4109 . . . . . . . . . . . . . . . . . . . . . 70-5
4031 . . . . . . . . . . . . . . . . . . . . . 62-3 4111 . . . . . . . . . . . . . . . . . . . . . 70-6
4032 . . . . . . . . . . . . . . . . . . . . . 62-4 4112 . . . . . . . . . . . . . . . . . . . . . 70-7
4033 . . . . . . . . . . . . . . . . . . . . . 62-5 4115 . . . . . . . . . . . . . . . . . . . . . 70-8
4034 . . . . . . . . . . . . . . . . . . . . . 62-8 4116A . . . . . . . . . . . . . . . . . . . . 70-9
4035 . . . . . . . . . . . . . . . . . . . . . 62-9 4116B . . . . . . . . . . . . . . . . . . . . 70-10
4036 . . . . . . . . . . . . . . . . . . . . . 62-10 4117 . . . . . . . . . . . . . . . . . . . . . 71-1
4037 . . . . . . . . . . . . . . . . . . . . . 62-11 4118 . . . . . . . . . . . . . . . . . . . . . 71-2
4038 . . . . . . . . . . . . . . . . . . . . . 63-9 4119 . . . . . . . . . . . . . . . . . . . . . 71-3
4040 . . . . . . . . . . . . . . . . . . . . . 66-1 4120 . . . . . . . . . . . . . . . . . . . . . 71-4
4041 . . . . . . . . . . . . . . . . . . . . . 66-2 4121 . . . . . . . . . . . . . . . . . . . . . 71-5
4042 . . . . . . . . . . . . . . . . . . . . . 66-3 4123 . . . . . . . . . . . . . . . . . . . . . 71-6
4043 . . . . . . . . . . . . . . . . . . . . . 66-4 4126 . . . . . . . . . . . . . . . . . . . . . 84-1
4045 Title . . . . . . . . . . . . . . . . . . None 4127 . . . . . . . . . . . . . . . . . . . . . 84-2
4046 . . . . . . . . . . . . . . . . . . . . . 61-11 4128 . . . . . . . . . . . . . . . . . . . . . 84-3
4047 . . . . . . . . . . . . . . . . . . . . . 61-12 4129 . . . . . . . . . . . . . . . . . . . . . 84-4
4048 . . . . . . . . . . . . . . . . . . . . . 61-13 4130 . . . . . . . . . . . . . . . . . . . . . 84-5
4049 . . . . . . . . . . . . . . . . . . . . . 61-14 4131 . . . . . . . . . . . . . . . . . . . . . 84-6
4050 . . . . . . . . . . . . . . . . . . . . . 71-7 4132 . . . . . . . . . . . . . . . . . . . . . 84-7
4051 . . . . . . . . . . . . . . . . . . . . . 66-5 4135 . . . . . . . . . . . . . . . . . . . . . 65-2
4052 Title . . . . . . . . . . . . . . . . . . None 4136 . . . . . . . . . . . . . . . . . . . . . 84-8
534
REFERENCE TABLE
P.B. 1978-1997 CLJ P.B. 1998 P.B. 1978-1997 CLJ P.B. 1998
Sec. Sec. Sec. Sec.
4138 . . . . . . . . . . . . . . . . . . . . . 84-9 4165.4 . . . . . . . . . . . . . . . . . . . . 76-4
4139 . . . . . . . . . . . . . . . . . . . . . 84-1 4165.5 . . . . . . . . . . . . . . . . . . . . 76-5
4140 . . . . . . . . . . . . . . . . . . . . . 84-11 4165.6 . . . . . . . . . . . . . . . . . . . . 76-6
4141 . . . . . . . . . . . . . . . . . . . . . 84-12 4166 . . . . . . . . . . . . . . . . . . . . . 77-7
4142 . . . . . . . . . . . . . . . . . . . . . 81-1 4166A . . . . . . . . . . . . . . . . . . . . 78-1
4142.1 . . . . . . . . . . . . . . . . . . . . 81-2 4166B . . . . . . . . . . . . . . . . . . . . 79-1
4142.2 . . . . . . . . . . . . . . . . . . . . 81-3 4166B.1 . . . . . . . . . . . . . . . . . . . 79-2
4142.3 . . . . . . . . . . . . . . . . . . . . 81-4 4166B.2 . . . . . . . . . . . . . . . . . . . 79-3
4142.4 . . . . . . . . . . . . . . . . . . . . 81-5 4166B.3 . . . . . . . . . . . . . . . . . . . 79-4
4143 . . . . . . . . . . . . . . . . . . . . . 72-1 4166C . . . . . . . . . . . . . . . . . . . . 80-1
4143A . . . . . . . . . . . . . . . . . . . . 72-2 4168 . . . . . . . . . . . . . . . . . . . . . 82-1
4144 . . . . . . . . . . . . . . . . . . . . . 72-3 4169 . . . . . . . . . . . . . . . . . . . . . 82-2
4145 . . . . . . . . . . . . . . . . . . . . . 72-4 4170 . . . . . . . . . . . . . . . . . . . . . 82-3
4147 . . . . . . . . . . . . . . . . . . . . . 73-1 4171 . . . . . . . . . . . . . . . . . . . . . 82-4
4150 . . . . . . . . . . . . . . . . . . . . . 74-1 4172 . . . . . . . . . . . . . . . . . . . . . 82-5
4151 . . . . . . . . . . . . . . . . . . . . . 74-2 4173 . . . . . . . . . . . . . . . . . . . . . 82-6
4152 . . . . . . . . . . . . . . . . . . . . . 74-3 4174 . . . . . . . . . . . . . . . . . . . . . 82-7
4153 . . . . . . . . . . . . . . . . . . . . . 74-4 4177 . . . . . . . . . . . . . . . . . . . . . 83-1
4154 . . . . . . . . . . . . . . . . . . . . . 74-5 4178 . . . . . . . . . . . . . . . . . . . . . 83-2
4155 . . . . . . . . . . . . . . . . . . . . . 74-6 4179 . . . . . . . . . . . . . . . . . . . . . 83-3
4156 . . . . . . . . . . . . . . . . . . . . . 74-7 4180 . . . . . . . . . . . . . . . . . . . . . 83-4
4157 . . . . . . . . . . . . . . . . . . . . . 74-8 4182 . . . . . . . . . . . . . . . . . . . . . 60-1
4159 . . . . . . . . . . . . . . . . . . . . . 75-1 4183 . . . . . . . . . . . . . . . . . . . . . 60-2
4160 . . . . . . . . . . . . . . . . . . . . . 75-2 4184A . . . . . . . . . . . . . . . . . . . . 85-1
4161 . . . . . . . . . . . . . . . . . . . . . 75-3 4184B . . . . . . . . . . . . . . . . . . . . 85-2
4162 . . . . . . . . . . . . . . . . . . . . . 75-4 4184C . . . . . . . . . . . . . . . . . . . . 85-3
4163 . . . . . . . . . . . . . . . . . . . . . 75-5 4185 . . . . . . . . . . . . . . . . . . . . . 60-5
4164 . . . . . . . . . . . . . . . . . . . . . 75-6 4186 . . . . . . . . . . . . . . . . . . . . . 60-6
4165 . . . . . . . . . . . . . . . . . . . . . 76-1 4187 . . . . . . . . . . . . . . . . . . . . . 60-3
4165.1 . . . . . . . . . . . . . . . . . . . . 76-2 4188 . . . . . . . . . . . . . . . . . . . . . 86-1
4165.2 . . . . . . . . . . . . . . . . . . . . 76-3 4189 . . . . . . . . . . . . . . . . . . . . . 86-2
535
REFERENCE TABLE
REFERENCE TABLE
Rules in the Practice Book of 1998 from Rules in the Practice Book of 1978 as amended.* The numbers in the
center column are the temporary rule numbers assigned in the Connecticut Law Journal (CLJ) of July 29, 1997.
P.B.1998 CLJ P.B. 1978-1997 P.B.1998 CLJ P.B. 1978-1997
Sec. Sec. Sec. Sec. Sec. Sec.
1-1. . . . . . . . . . . . . . . . . . .1 2-31 . . . . . . . . . . . . . . . . . .27E
1-2. . . . . . . . .1A . . . . . . . . .None 2-32 . . . . . . . . . . . . . . . . . .27F
1-3. . . . . . . . . . . . . . . . . . .2 2-33 . . . . . . . . . . . . . . . . . .27G
1-4. . . . . . . . . . . . . . . . . . .3 2-34 . . . . . . . . . . . . . . . . . .27H
1-5. . . . . . . . . . . . . . . . . . .4 2-35 . . . . . . . . . . . . . . . . . .27J
1-6. . . . . . . . . . . . . . . . . . .5 2-36 . . . . . . . . . . . . . . . . . .27M
1-7. . . . . . . . . . . . . . . . . . .5A 2-37 . . . . . . . . . . . . . . . . . .27M.1
1-8. . . . . . . . . . . . . . . . . . .6 2-38 . . . . . . . . . . . . . . . . . .27N
1-9. . . . . . . . . . . . . . . . . . .7 2-39 . . . . . . . . . . . . . . . . . .28A
1-10 . . . . . . . . . . . . . . . . . .7B 2-40 . . . . . . . . . . . . . . . . . .28B
1-11 . . . . . . . . . . . . . . . . . .7C 2-41 . . . . . . . . . . . . . . . . . .28B.1
1-12 . . . . . . . .7D . . . . . . . . .299 2-42 . . . . . . . . . . . . . . . . . .28C
1-13 . . . . . . . .7F . . . . . . . . .300 2-43 . . . . . . . . . . . . . . . . . .28D
1-14 . . . . . . . .7F . . . . . . . . .985 2-44 . . . . . . . . . . . . . . . . . .29
1-15 . . . . . . . .7G . . . . . . . . .986 2-45 . . . . . . . . . . . . . . . . . .30
1-16 . . . . . . . .7H . . . . . . . . .988 2-46 . . . . . . . . . . . . . . . . . .30A
1-17 . . . . . . . .7I . . . . . . . . .989 2-47 . . . . . . . . . . . . . . . . . .31
1-18 . . . . . . . .7J . . . . . . . . .991 2-48 . . . . . . . . . . . . . . . . . .31A
1-19 . . . . . . . .7K . . . . . . . . .992 2-49 . . . . . . . . . . . . . . . . . .31B
1-20 . . . . . . . .7L . . . . . . . . .993 2-50 . . . . . . . . . . . . . . . . . .32
1-21 . . . . . . . .7M. . . . . . . . .994 2-51 . . . . . . . . . . . . . . . . . .34
1-22 . . . . . . . .7N . . . . . . . . .996 2-52 . . . . . . . . . . . . . . . . . .35
1-23 . . . . . . . .7O . . . . . . . . .997 2-53 . . . . . . . . . . . . . . . . . .36
2-1. . . . . . . . . . . . . . . . . . .8 2-54 . . . . . . . . . . . . . . . . . .36A
2-2. . . . . . . . . . . . . . . . . . .9 2-55 . . . . . . . . . . . . . . . . . .37
2-3. . . . . . . . . . . . . . . . . . .11 2-56 . . . . . . . . . . . . . . . . . .39
2-4. . . . . . . . . . . . . . . . . . .12 2-57 . . . . . . . . . . . . . . . . . .40
2-5. . . . . . . . . . . . . . . . . . .13 2-58 . . . . . . . . . . . . . . . . . .41
2-6. . . . . . . . . . . . . . . . . . .14 2-59 . . . . . . . . . . . . . . . . . .42
2-7. . . . . . . . . . . . . . . . . . .15A 2-60 . . . . . . . . . . . . . . . . . .44
2-8. . . . . . . . . . . . . . . . . . .16 2-61 . . . . . . . . . . . . . . . . . .45
2-9. . . . . . . . . . . . . . . . . . .17 2-62 . . . . . . . . . . . . . . . . . .46
2-10 . . . . . . . . . . . . . . . . . .18 2-63 . . . . . . . . . . . . . . . . . .46A
2-11 . . . . . . . . . . . . . . . . . .18A 2-64 . . . . . . . . . . . . . . . . . .46B
2-12 . . . . . . . . . . . . . . . . . .19 2-65 . . . . . . . . . . . . . . . . . .46C
2-13 . . . . . . . . . . . . . . . . . .21 2-66 . . . . . . . . . . . . . . . . . .47
2-14 . . . . . . . . . . . . . . . . . .22 2-67 . . . . . . . . . . . . . . . . . .48
2-15 . . . . . . . . . . . . . . . . . .23 3-1. . . . . . . . .7P . . . . . . . . .64(a)
2-16 . . . . . . . . . . . . . . . . . .24 3-2. . . . . . . . .7Q . . . . . . . . .64(b)
2-17 . . . . . . . . . . . . . . . . . .24B 3-3. . . . . . . . .7R . . . . . . . . .64(b)
2-18 . . . . . . . . . . . . . . . . . .24C 3-4. . . . . . . . .7S . . . . . . . . .64(c)
2-19 . . . . . . . . . . . . . . . . . .24D 3-5. . . . . . . . .7T . . . . . . . . .None
2-20 . . . . . . . . . . . . . . . . . .24E 3-6. . . . . . . . .7U . . . . . . . . .None
2-21 . . . . . . . . . . . . . . . . . .24F 3-7. . . . . . . . .7V . . . . . . . . .None
2-22 . . . . . . . . . . . . . . . . . .25 3-8. . . . . . . . .7W. . . . . . . . .65
2-23 . . . . . . . . . . . . . . . . . .26 3-9. . . . . . . . .7X . . . . . . . . .77
2-24 . . . . . . . . . . . . . . . . . .26A 3-10 . . . . . . . .7Y . . . . . . . . .77(d)
2-25 . . . . . . . . . . . . . . . . . .26B 3-11 . . . . . . . .7Z . . . . . . . . .76
2-26 . . . . . . . . . . . . . . . . . .27 3-12 . . . . . . . .7AA . . . . . . . .78
2-27 . . . . . . . . . . . . . . . . . .27A 3-13 . . . . . . . .7BB . . . . . . . .79
2-28 . . . . . . . . . . . . . . . . . .27A.1 3-14 . . . . . . . .7CC . . . . . . . .68
2-29 . . . . . . . . . . . . . . . . . .27B 3-15 . . . . . . . .7DD . . . . . . . .69
2-30 . . . . . . . . . . . . . . . . . .27D 3-16 . . . . . . . .7EE . . . . . . . .70
* Rules repealed prior to 1995 are not represented in this table.
536
REFERENCE TABLE
P.B.1998 CLJ P.B. 1978-1997 P.B.1998 CLJ P.B. 1978-1997

3-17 . . . . . . . .7FF . . . . . . . .71 9-2. . . . . . . . . . . . . . . . . . .81
3-18 . . . . . . . .7GG . . . . . . . .72 9-3. . . . . . . . . . . . . . . . . . .83
3-19 . . . . . . . .7HH . . . . . . . .73 9-4. . . . . . . . . . . . . . . . . . .84
3-20 . . . . . . . .7II . . . . . . . . .74 9-5. . . . . . . . . . . . . . . . . . .84A
3-21 . . . . . . . .7JJ . . . . . . . .75 9-6. . . . . . . . . . . . . . . . . . .85
4-1. . . . . . . . .7KK . . . . . . . .118 9-7. . . . . . . . . . . . . . . . . . .87
4-2. . . . . . . . .7LL . . . . . . . .119 9-8. . . . . . . . . . . . . . . . . . .88
4-3. . . . . . . . .7MM. . . . . . . .127 9-9. . . . . . . . . . . . . . . . . . .89
5-1. . . . . . . . .7NN . . . . . . . .285A 9-10 . . . . . . . . . . . . . . . . . .90
5-2. . . . . . . . . . . . . . . . . . .None 9-11 . . . . . . . . . . . . . . . . . .91
5-3. . . . . . . . .7PP . . . . . . . .286 9-12 . . . . . . . . . . . . . . . . . .92
5-4. . . . . . . . .7QQ . . . . . . . .287 9-13 . . . . . . . . . . . . . . . . . .93
5-4. . . . . . . . .7QQ . . . . . . . .875 9-14 . . . . . . . . . . . . . . . . . .94
5-5. . . . . . . . .7RR . . . . . . . .288 9-15 . . . . . . . . . . . . . . . . . .95
5-5. . . . . . . . .7RR . . . . . . . .850A 9-16 . . . . . . . . . . . . . . . . . .96
5-6. . . . . . . . .7SS . . . . . . . .289 9-17 . . . . . . . . . . . . . . . . . .97
5-7. . . . . . . . .7TT . . . . . . . .291 9-18 . . . . . . . . . . . . . . . . . .99
5-8. . . . . . . . .7UU . . . . . . . .293 9-19 . . . . . . . . . . . . . . . . . .100
5-9. . . . . . . . .7VV . . . . . . . .294 9-20 . . . . . . . . . . . . . . . . . .101
5-10 . . . . . . . .7WW . . . . . . .983 9-21 . . . . . . . . . . . . . . . . . .102
6-1. . . . . . . . .7XX . . . . . . . .334A 9-22 . . . . . . . . . . . . . . . . . .103
6-2. . . . . . . . .7YY . . . . . . . .336 9-23 . . . . . . . . . . . . . . . . . .104
6-3. . . . . . . . .7ZZ . . . . . . . .337 9-24 . . . . . . . . . . . . . . . . . .105
6-4. . . . . . . . .7AAA . . . . . . .338 9-25 . . . . . . . . . . . . . . . . . .106
6-5. . . . . . . . .7BBB . . . . . . .339 10-1 . . . . . . . . . . . . . . . . . .108
7-1. . . . . . . . .7CCC . . . . . . .250 10-2 . . . . . . . . . . . . . . . . . .109
7-2. . . . . . . . .7DDD . . . . . . .395 10-3 . . . . . . . . . . . . . . . . . .109A
7-3. . . . . . . . .7EEE . . . . . . .396 10-4 . . . . . . . . . . . . . . . . . .110
7-4. . . . . . . . .7FFF . . . . . . .397 10-5 . . . . . . . . . . . . . . . . . .111
7-5. . . . . . . . .7GGG . . . . . . .398 10-6 . . . . . . . . . . . . . . . . . .112
7-6. . . . . . . . .7HHH . . . . . . .399 10-7 . . . . . . . . . . . . . . . . . .113
7-7. . . . . . . . .7III. . . . . . . . .400 10-8 . . . . . . . . . . . . . . . . . .114
7-8. . . . . . . . .7JJJ . . . . . . . .402 10-9 . . . . . . . . . . . . . . . . . .115
7-9. . . . . . . . .7KKK . . . . . . .403 10-10 . . . . . . . . . . . . . . . . .116
7-10 . . . . . . . .7LLL. . . . . . . .403B 10-11 . . . . . . . . . . . . . . . . .117
7-11 . . . . . . . .7MMM . . . . . .403C 10-12 . . . . . . . . . . . . . . . . .121
7-12 . . . . . . . .7NNN . . . . . . .403D 10-13 . . . . . . . . . . . . . . . . .122
7-13 . . . . . . . .7OOO . . . . . . .403E 10-14 . . . . . . . . . . . . . . . . .123
7-14 . . . . . . . .7PPP . . . . . . .403F 10-15 . . . . . . . . . . . . . . . . .124
7-15 . . . . . . . .7QQQ . . . . . . .403G 10-16 . . . . . . . . . . . . . . . . .125
7-16 . . . . . . . .7RRR . . . . . . .403H 10-17 . . . . . . . . . . . . . . . . .126
7-17 . . . . . . . .7SSS . . . . . . .405 10-18 . . . . . . . . . . . . . . . . .128
7-18 . . . . . . . .7TTT . . . . . . .397B 10-19 . . . . . . . . . . . . . . . . .129
7-18 . . . . . . . .7TTT . . . . . . .1011E 10-20 . . . . . . . . . . . . . . . . .131
7-19 . . . . . . . . . . . . . . . . . .395A 10-21 . . . . . . . . . . . . . . . . .133
7-20 . . . . . . . . . . . . . . . . . .397A 10-22 . . . . . . . . . . . . . . . . .134
7-21 . . . . . . . . . . . . . . . . . .401 10-23 . . . . . . . . . . . . . . . . .135
8-1. . . . . . . . . . . . . . . . . . .49 10-24 . . . . . . . . . . . . . . . . .136
8-2. . . . . . . . . . . . . . . . . . .50 10-25 . . . . . . . . . . . . . . . . .137
8-3. . . . . . . . . . . . . . . . . . .51 10-26 . . . . . . . . . . . . . . . . .138
8-4. . . . . . . . . . . . . . . . . . .52 10-27 . . . . . . . . . . . . . . . . .139
8-5. . . . . . . . . . . . . . . . . . .53 10-28 . . . . . . . . . . . . . . . . .140
8-6. . . . . . . . . . . . . . . . . . .54 10-29 . . . . . . . . . . . . . . . . .141
8-7. . . . . . . . . . . . . . . . . . .55 10-30 . . . . . . . . . . . . . . . . .142
8-8. . . . . . . . . . . . . . . . . . .56 10-31 . . . . . . . . . . . . . . . . .143
8-9. . . . . . . . . . . . . . . . . . .57 10-32 . . . . . . . . . . . . . . . . .144
8-10 . . . . . . . . . . . . . . . . . .58 10-33 . . . . . . . . . . . . . . . . .145
8-11 . . . . . . . . . . . . . . . . . .59 10-34 . . . . . . . . . . . . . . . . .146
8-12 . . . . . . . . . . . . . . . . . .60 10-35 . . . . . . . . . . . . . . . . .147
9-1. . . . . . . . . . . . . . . . . . .80 10-36 . . . . . . . . . . . . . . . . .148
537
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10-37 . . . . . . . . . . . . . . . . .149 11-18 . . . . . . . . . . . . . . . . .211
10-38 . . . . . . . . . . . . . . . . .150 11-19 . . . . . . . . . . . . . . . . .211A
10-39 . . . . . . . . . . . . . . . . .152 11-20 . . . . . . . . . . . . . . . . .211B
10-40 . . . . . . . . . . . . . . . . .153 12-1 . . . . . . . . . . . . . . . . . .212
10-41 . . . . . . . . . . . . . . . . .154 12-2 . . . . . . . . . . . . . . . . . .213
10-42 . . . . . . . . . . . . . . . . .155 12-3 . . . . . . . . . . . . . . . . . .215
10-43 . . . . . . . . . . . . . . . . .156 13-1 . . . . . . . . . . . . . . . . . .216
10-44 . . . . . . . . . . . . . . . . .157 13-2 . . . . . . . . . . . . . . . . . .218
10-45 . . . . . . . . . . . . . . . . .158 13-3 . . . . . . . . . . . . . . . . . .219
10-46 . . . . . . . . . . . . . . . . .160 13-4 . . . . . . . . . . . . . . . . . .220
10-47 . . . . . . . . . . . . . . . . .161 13-5 . . . . . . . . . . . . . . . . . .221
10-48 . . . . . . . . . . . . . . . . .162 13-6 . . . . . . . . . . . . . . . . . .223
10-49 . . . . . . . . . . . . . . . . .163 13-7 . . . . . . . . . . . . . . . . . .224
10-50 . . . . . . . . . . . . . . . . .164 13-8 . . . . . . . . . . . . . . . . . .225
10-51 . . . . . . . . . . . . . . . . .165 13-9 . . . . . . . . . . . . . . . . . .227
10-52 . . . . . . . . . . . . . . . . .166 13-10 . . . . . . . . . . . . . . . . .228
10-53 . . . . . . . . . . . . . . . . .167 13-11 . . . . . . . . . . . . . . . . .229
10-54 . . . . . . . . . . . . . . . . .168 13-12 . . . . . . . . . . . . . . . . .230
10-55 . . . . . . . . . . . . . . . . .169 13-13 . . . . . . . . . . . . . . . . .230A
10-56 . . . . . . . . . . . . . . . . .171 13-14 . . . . . . . . . . . . . . . . .231
10-57 . . . . . . . . . . . . . . . . .172 13-15 . . . . . . . . . . . . . . . . .232
10-58 . . . . . . . . . . . . . . . . .173 13-16 . . . . . . . . . . . . . . . . .233
10-59 . . . . . . . . . . . . . . . . .175 13-17 . . . . . . . . . . . . . . . . .234
10-60 . . . . . . . . . . . . . . . . .176 13-18 . . . . . . . . . . . . . . . . .235
10-61 . . . . . . . . . . . . . . . . .177 13-19 . . . . . . . . . . . . . . . . .236
10-62 . . . . . . . . . . . . . . . . .178 13-20 . . . . . . . . . . . . . . . . .236A
10-63 . . . . . . . . . . . . . . . . .179 13-21 . . . . . . . . . . . . . . . . .236B
10-64 . . . . . . . . . . . . . . . . .180 13-22 . . . . . . . . . . . . . . . . .238
10-65 . . . . . . . . . . . . . . . . .181 13-23 . . . . . . . . . . . . . . . . .239
10-66 . . . . . . . . . . . . . . . . .182 13-24 . . . . . . . . . . . . . . . . .240
10-67 . . . . . . . . . . . . . . . . .183 13-25 . . . . . . . . . . . . . . . . .241
10-68 . . . . . . . . . . . . . . . . .185 13-26 . . . . . . . . . . . . . . . . .243
10-69 . . . . . . . . . . . . . . . . .186 13-27 . . . . . . . . . . . . . . . . .244
10-70 . . . . . . . . . . . . . . . . .187 13-28 . . . . . . . . . . . . . . . . .245
10-71 . . . . . . . . . . . . . . . . .189 13-29 . . . . . . . . . . . . . . . . .246
10-72 . . . . . . . . . . . . . . . . .190 13-30 . . . . . . . . . . . . . . . . .247
10-73 . . . . . . . . . . . . . . . . .191 13-31 . . . . . . . . . . . . . . . . .248
10-74 . . . . . . . . . . . . . . . . .192 13-32 . . . . . . . . . . . . . . . . .249
10-75 . . . . . . . . . . . . . . . . .193 14-1 . . . . . . . . . . . . . . . . . .250A
10-76 . . . . . . . . . . . . . . . . .194 14-2 . . . . . . . . . . . . . . . . . .250B
10-77 . . . . . . . . . . . . . . . . .195 14-3 . . . . . . . . . . . . . . . . . .251
10-78 . . . . . . . . . . . . . . . . .195A 14-4 . . . . . . . . . . . . . . . . . .254
10-79 . . . . . . . . . . . . . . . . .195B 14-5 . . . . . . . . . . . . . . . . . .255
11-1 . . . . . . . . . . . . . . . . . .196 14-6 . . . . . . . . . . . . . . . . . .256
11-2 . . . . . . . . . . . . . . . . . .197 14-7 . . . . . . . . . . . . . . . . . .257
11-3 . . . . . . . . . . . . . . . . . .198 14-8 . . . . . . . . . . . . . . . . . .258
11-4 . . . . . . . . . . . . . . . . . .199 14-9 . . . . . . . . . . . . . . . . . .259
11-5 . . . . . . . . . . . . . . . . . .200 14-10 . . . . . . . . . . . . . . . . .260
11-6 . . . . . . . . . . . . . . . . . .201 14-11 . . . . . . . . . . . . . . . . .263
11-7 . . . . . . . . . . . . . . . . . .202 14-12 . . . . . . . . . . . . . . . . .264
11-8 . . . . . . . . . . . . . . . . . .202A 14-13 . . . . . . . . . . . . . . . . .265
11-9 . . . . . . . . . . . . . . . . . .203 14-14 . . . . . . . . . . . . . . . . .268
11-10 . . . . . . . . . . . . . . . . .204 14-15 . . . . . . . . . . . . . . . . .270
11-11 . . . . . . . . . . . . . . . . .204A 14-16 . . . . . . . . . . . . . . . . .271
11-12 . . . . . . . . . . . . . . . . .204B 14-17 . . . . . . . . . . . . . . . . .273
11-13 . . . . . . . . . . . . . . . . .206 14-18 . . . . . . . . . . . . . . . . .274
11-14 . . . . . . . . . . . . . . . . .207 14-19 . . . . . . . . . . . . . . . . .274A
11-15 . . . . . . . . . . . . . . . . .208 14-20 . . . . . . . . . . . . . . . . .276
11-16 . . . . . . . . . . . . . . . . .209 14-21 . . . . . . . . . . . . . . . . .277
11-17 . . . . . . . . . . . . . . . . .210 14-22 . . . . . . . . . . . . . . . . .278
538
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14-23 . . . . . . . . . . . . . . . . .279 17-11 . . . . . . . . . . . . . . . . .342
14-24 . . . . . . . . . . . . . . . . .280 17-12 . . . . . . . . . . . . . . . . .343
14-25 . . . . . . . . . . . . . . . . .281 17-13 . . . . . . . . . . . . . . . . .344
15-1 . . . . . . . . . . . . . . . . . .283 17-14 . . . . . . . . . . . . . . . . .346
15-2 . . . . . . . . . . . . . . . . . .284 17-15 . . . . . . . . . . . . . . . . .347
15-3 . . . . . . . . . . . . . . . . . .284A 17-16 . . . . . . . . . . . . . . . . .348
15-4 . . . . . . . . . . . . . . . . . .290 17-17 . . . . . . . . . . . . . . . . .349
15-5 . . . . . . . . . . . . . . . . . .295 17-18 . . . . . . . . . . . . . . . . .350
15-6 . . . . . . . . . . . . . . . . . .296 17-19 . . . . . . . . . . . . . . . . .351
15-7 . . . . . . . . . . . . . . . . . .297 17-20 . . . . . . . . . . . . . . . . .352
15-8 . . . . . . . . . . . . . . . . . .302 17-21 . . . . . . . . . . . . . . . . .353
16-1 . . . . . . . . . . . . . . . . . .303A 17-22 . . . . . . . . . . . . . . . . .354
16-2 . . . . . . . .303B . . . . . . .None 17-23 . . . . . . . . . . . . . . . . .356
16-3 . . . . . . . .303C . . . . . . .None 17-24 . . . . . . . . . . . . . . . . .357
16-4(a), (b) . . . . . . . . . . . . . .304 17-25 . . . . . . . . . . . . . . . . .358
16-4(c) . . . . . . . . . . . . . . . .303 17-26 . . . . . . . . . . . . . . . . .359
16-5 . . . . . . . .304A . . . . . . .None 17-27 . . . . . . . . . . . . . . . . .360
16-6 . . . . . . . . . . . . . . . . . .305 17-28 . . . . . . . . . . . . . . . . .361
16-7 . . . . . . . . . . . . . . . . . .305A 17-29 . . . . . . . . . . . . . . . . .362
16-8 . . . . . . . .305B . . . . . . .None 17-30 . . . . . . . . . . . . . . . . .362A
16-9 . . . . . . . . . . . . . . . . . .306 17-31 . . . . . . . . . . . . . . . . .363
16-10 . . . . . . . . . . . . . . . . .307 17-32 . . . . . . . . . . . . . . . . .363A
16-11 . . . . . . . . . . . . . . . . .308 17-33 . . . . . . . . . . . . . . . . .364
16-12 . . . . . . .308A . . . . . . .None 17-34 . . . . . . . . . . . . . . . . .367
16-13 . . . . . . . . . . . . . . . . .309 17-35 . . . . . . . . . . . . . . . . .368
16-14 . . . . . . . . . . . . . . . . .309A 17-36 . . . . . . . . . . . . . . . . .369
16-15 . . . . . . . . . . . . . . . . .309B 17-37 . . . . . . . . . . . . . . . . .371
16-16 . . . . . . .309C . . . . . . .None 17-38 . . . . . . . . . . . . . . . . .372
16-17 . . . . . . . . . . . . . . . . .311 17-39 . . . . . . . . . . . . . . . . .373
16-18 . . . . . . . . . . . . . . . . .312 17-40 . . . . . . . . . . . . . . . . .374
16-19 . . . . . . . . . . . . . . . . .313 17-41 . . . . . . . . . . . . . . . . .375
16-20 . . . . . . . . . . . . . . . . .315 17-42 . . . . . . . . . . . . . . . . .376
16-21 . . . . . . . . . . . . . . . . .316 17-43 . . . . . . . . . . . . . . . . .377
16-22 . . . . . . . . . . . . . . . . .317 17-44 . . . . . . . . . . . . . . . . .379
16-23 . . . . . . . . . . . . . . . . .318 17-45 . . . . . . . . . . . . . . . . .380
16-24 . . . . . . . . . . . . . . . . .318A 17-46 . . . . . . . . . . . . . . . . .381
16-25 . . . . . . .318B . . . . . . .None 17-47 . . . . . . . . . . . . . . . . .382
16-26 . . . . . . .318C . . . . . . .None 17-48 . . . . . . . . . . . . . . . . .383
16-27 . . . . . . .318D . . . . . . .None 17-49 . . . . . . . . . . . . . . . . .384
16-28 . . . . . . .318E . . . . . . .None 17-50 . . . . . . . . . . . . . . . . .385
16-29 . . . . . . .318F . . . . . . .None 17-51 . . . . . . . . . . . . . . . . .386
16-30 . . . . . . .318G . . . . . . .None 17-52 . . . . . . . . . . . . . . . . .387
16-31 . . . . . . .318H . . . . . . .None 17-53 . . . . . . . . . . . . . . . . .387A
16-32 . . . . . . .318I . . . . . . . .None 17-54 . . . . . . . . . . . . . . . . .389
16-33 . . . . . . .318J. . . . . . . .None 17-55 . . . . . . . . . . . . . . . . .390
16-34 . . . . . . .318K . . . . . . .None 17-56 . . . . . . . . . . . . . . . . .391
16-35 . . . . . . . . . . . . . . . . .320 17-57 . . . . . . . . . . . . . . . . .392
16-36 . . . . . . . . . . . . . . . . .320A 17-58 . . . . . . . . . . . . . . . . .393
16-37 . . . . . . . . . . . . . . . . .321 17-59 . . . . . . . . . . . . . . . . .394
16-38 . . . . . . . . . . . . . . . . .322 18-1 . . . . . . . . . . . . . . . . . .407
17-1 . . . . . . . . . . . . . . . . . .323 18-2 . . . . . . . . . . . . . . . . . .409
17-2 . . . . . . . . . . . . . . . . . .324 18-3 . . . . . . . . . . . . . . . . . .410
17-3 . . . . . . . . . . . . . . . . . .325 18-4 . . . . . . . . . . . . . . . . . .411
17-4 . . . . . . . . . . . . . . . . . .326 18-5 . . . . . . . . . . . . . . . . . .412
17-5 . . . . . . . . . . . . . . . . . .327 18-6 . . . . . . . . . . . . . . . . . .413
17-6 . . . . . . . . . . . . . . . . . .328 18-7 . . . . . . . . . . . . . . . . . .414
17-7 . . . . . . . . . . . . . . . . . .332 18-8 . . . . . . . . . . . . . . . . . .415
17-8 . . . . . . . . . . . . . . . . . .333 18-9 . . . . . . . . . . . . . . . . . .416
17-9 . . . . . . . . . . . . . . . . . .334 18-10 . . . . . . . . . . . . . . . . .417
17-10 . . . . . . . . . . . . . . . . .340 18-11 . . . . . . . . . . . . . . . . .418
539
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P.B.1998 CLJ P.B. 1978-1997 P.B.1998 CLJ P.B. 1978-1997

18-12 . . . . . . . . . . . . . . . . .419 22-4 . . . . . . . . . . . . . . . . . .515A
18-13 . . . . . . . . . . . . . . . . .420 22-5 . . . . . . . . . . . . . . . . . .516
18-14 . . . . . . . . . . . . . . . . .421 22-6 . . . . . . . . . . . . . . . . . .516A
18-15 . . . . . . . . . . . . . . . . .422 22-7 . . . . . . . . . . . . . . . . . .518
18-16 . . . . . . . . . . . . . . . . .423 22-8 . . . . . . . . . . . . . . . . . .518A
18-17 . . . . . . . . . . . . . . . . .424 22-9 . . . . . . . . . . . . . . . . . .519
18-18 . . . . . . . . . . . . . . . . .425 23-1 . . . . . . . . . . . . . . . . . .525
18-19 . . . . . . . . . . . . . . . . .427 23-2 . . . . . . . . . . . . . . . . . .525A
19-1 . . . . . . . . . . . . . . . . . .428 23-3 . . . . . . . . . . . . . . . . . .525B
19-2 . . . . . . . . . . . . . . . . . .429 23-4 . . . . . . . . . . . . . . . . . .525C
19-3 . . . . . . . . . . . . . . . . . .430 23-5 . . . . . . . . . . . . . . . . . .525D
19-4 . . . . . . . . . . . . . . . . . .430A 23-6 . . . . . . . . . . . . . . . . . .525E
19-5 . . . . . . . . . . . . . . . . . .431 23-7 . . . . . . . . . . . . . . . . . .525F
19-6 . . . . . . . . . . . . . . . . . .432 23-8 . . . . . . . . . . . . . . . . . .525G
19-7 . . . . . . . . . . . . . . . . . .433 23-9 . . . . . . . . . . . . . . . . . .525H
19-8 . . . . . . . . . . . . . . . . . .434 23-10 . . . . . . . . . . . . . . . . .525I
19-9 . . . . . . . . . . . . . . . . . .435 23-11 . . . . . . . . . . . . . . . . .525J
19-10 . . . . . . . . . . . . . . . . .436 23-12 . . . . . . . . . . . . . . . . .525K
19-11 . . . . . . . . . . . . . . . . .437 23-13 . . . . . . .526L. . . . . . . .None
19-12 . . . . . . . . . . . . . . . . .438 23-14 . . . . . . .526M . . . . . . .None
19-13 . . . . . . . . . . . . . . . . .439 23-15 . . . . . . .526N . . . . . . .None
19-14 . . . . . . . . . . . . . . . . .440 23-16 . . . . . . . . . . . . . . . . .526
19-15 . . . . . . . . . . . . . . . . .441 23-17 . . . . . . . . . . . . . . . . .526A
19-16 . . . . . . . . . . . . . . . . .442 23-18 . . . . . . . . . . . . . . . . .527
19-17 . . . . . . . . . . . . . . . . .443 23-19 . . . . . . . . . . . . . . . . .528
19-18 . . . . . . . . . . . . . . . . .444 23-20 . . . . . . . . . . . . . . . . .528A
19-19 . . . . . . . . . . . . . . . . .445 23-21 . . . . . . . . . . . . . . . . .529
20-1 . . . . . . . . . . . . . . . . . .446 23-22 . . . . . . . . . . . . . . . . .529A
20-2 . . . . . . . . . . . . . . . . . .447 23-23 . . . . . . . . . . . . . . . . .529B
20-3 . . . . . . . . . . . . . . . . . .448 23-24 . . . . . . . . . . . . . . . . .529C
20-4 . . . . . . . . . . . . . . . . . .449 23-25 . . . . . . . . . . . . . . . . .529D
20-5 . . . . . . . . . . . . . . . . . .450 23-26 . . . . . . . . . . . . . . . . .529E
20-6 . . . . . . . . . . . . . . . . . .451 23-27 . . . . . . . . . . . . . . . . .529F
21-1 . . . . . . . . . . . . . . . . . .485 23-28 . . . . . . . . . . . . . . . . .529G
21-2 . . . . . . . . . . . . . . . . . .486 23-29 . . . . . . . . . . . . . . . . .529H
21-3 . . . . . . . . . . . . . . . . . .487 23-30 . . . . . . . . . . . . . . . . .529I
21-4 . . . . . . . . . . . . . . . . . .488 23-31 . . . . . . . . . . . . . . . . .529J
21-5 . . . . . . . . . . . . . . . . . .489 23-32 . . . . . . . . . . . . . . . . .529K
21-6 . . . . . . . . . . . . . . . . . .490 23-33 . . . . . . . . . . . . . . . . .529L
21-7 . . . . . . . . . . . . . . . . . .492 23-34 . . . . . . . . . . . . . . . . .529M
21-8 . . . . . . . . . . . . . . . . . .493 23-35 . . . . . . . . . . . . . . . . .529N
21-9 . . . . . . . . . . . . . . . . . .494 23-36 . . . . . . . . . . . . . . . . .529O
21-10 . . . . . . . . . . . . . . . . .495 23-37 . . . . . . . . . . . . . . . . .529P
21-11 . . . . . . . . . . . . . . . . .496 23-38 . . . . . . . . . . . . . . . . .529Q
21-12 . . . . . . . . . . . . . . . . .497 23-39 . . . . . . . . . . . . . . . . .529R
21-13 . . . . . . . . . . . . . . . . .498 23-40 . . . . . . . . . . . . . . . . .529S
21-14 . . . . . . . . . . . . . . . . .499 23-41 . . . . . . . . . . . . . . . . .529T
21-15 . . . . . . . . . . . . . . . . .500 23-42 . . . . . . . . . . . . . . . . .529U
21-16 . . . . . . . . . . . . . . . . .501 23-43 . . . . . . . . . . . . . . . . .538
21-17 . . . . . . . . . . . . . . . . .502 23-44 . . . . . . . . . . . . . . . . .539
21-18 . . . . . . . . . . . . . . . . .503 23-45 . . . . . . . . . . . . . . . . .541
21-19 . . . . . . . . . . . . . . . . .505 23-46 . . . . . . . . . . . . . . . . .542
21-20 . . . . . . . . . . . . . . . . .506 23-47 . . . . . . . . . . . . . . . . .543
21-21 . . . . . . . . . . . . . . . . .507 23-48 . . . . . . . . . . . . . . . . .544
21-22 . . . . . . . . . . . . . . . . .508 23-49 . . . . . . . . . . . . . . . . .545
21-23 . . . . . . . . . . . . . . . . .509 23-50 . . . . . . . . . . . . . . . . .546
21-24 . . . . . . . . . . . . . . . . .510 23-51 . . . . . . . . . . . . . . . . .546A
22-1 . . . . . . . . . . . . . . . . . .511A 23-52 . . . . . . . . . . . . . . . . .546C
22-2 . . . . . . . . . . . . . . . . . .511B 23-53 . . . . . . . . . . . . . . . . .546D
22-3 . . . . . . . . . . . . . . . . . .514 23-54 . . . . . . . . . . . . . . . . .546E
540
REFERENCE TABLE
P.B.1998 CLJ P.B. 1978-1997 P.B.1998 CLJ P.B. 1978-1997

23-55 . . . . . . . . . . . . . . . . .546F 25-15 . . . . . . .1215. . . . . . . .None
23-56 . . . . . . . . . . . . . . . . .546G 25-16 . . . . . . .1217. . . . . . . .None
23-57 . . . . . . . . . . . . . . . . .546H 25-17 . . . . . . .1218. . . . . . . .None
23-58 . . . . . . . . . . . . . . . . .546J 25-18 . . . . . . .1219. . . . . . . .None
23-59 . . . . . . . . . . . . . . . . .546K 25-19 . . . . . . .1220. . . . . . . .None
23-60 . . . . . . . . . . . . . . . . .546M 25-20 . . . . . . .1221. . . . . . . .None
23-61 . . . . . . . . . . . . . . . . .546N 25-21 . . . . . . .1222. . . . . . . .None
23-62 . . . . . . . . . . . . . . . . .546O 25-22 . . . . . . .1223. . . . . . . .None
23-63 . . . . . . . . . . . . . . . . .546P 25-23 . . . . . . .1224. . . . . . . .None
23-64 . . . . . . . . . . . . . . . . .546Q 25-24 . . . . . . .1225. . . . . . . .None
23-65 . . . . . . . . . . . . . . . . .546R 25-25 . . . . . . .1226. . . . . . . .None
23-66 . . . . . . . . . . . . . . . . .546S 25-26 . . . . . . .1227. . . . . . . .464
23-67 . . . . . . . . . . . . . . . . .546T 25-27 . . . . . . .1228. . . . . . . .None
24-1 . . . . . . . . . . . . . . . . . .547 25-28 . . . . . . .1229. . . . . . . .461
24-2 . . . . . . . . . . . . . . . . . .548 25-29 . . . . . . .1230. . . . . . . .462
24-3 . . . . . . . . . . . . . . . . . .549 25-30 . . . . . . .1231. . . . . . . .463
24-4 . . . . . . . . . . . . . . . . . .550 25-31 . . . . . . .1232. . . . . . . .None
24-5 . . . . . . . . . . . . . . . . . .551 25-32 . . . . . . .1233. . . . . . . .None
24-6 . . . . . . . . . . . . . . . . . .552 25-33 . . . . . . .1234. . . . . . . .None
24-7 . . . . . . . . . . . . . . . . . .553 25-34 . . . . . . .1235. . . . . . . .None
24-8 . . . . . . . . . . . . . . . . . .556 25-35 . . . . . . .1236. . . . . . . .464A
24-9 . . . . . . . . . . . . . . . . . .557 25-36 . . . . . . .1237. . . . . . . .472
24-10 . . . . . . . . . . . . . . . . .559 25-37 . . . . . . .1238. . . . . . . .473
24-11 . . . . . . . . . . . . . . . . .561 25-38 . . . . . . .1239. . . . . . . .None
24-12 . . . . . . . . . . . . . . . . .562 25-39 . . . . . . .1240. . . . . . . .None
24-13 . . . . . . . . . . . . . . . . .563 25-40 . . . . . . .1242. . . . . . . .None
24-14 . . . . . . . . . . . . . . . . .564 25-41 . . . . . . .1243. . . . . . . .None
24-15 . . . . . . . . . . . . . . . . .565 25-42 . . . . . . .1244. . . . . . . .None
24-16 . . . . . . . . . . . . . . . . .567 25-43 . . . . . . .1245. . . . . . . .None
24-17 . . . . . . . . . . . . . . . . .568 25-44 . . . . . . .1246. . . . . . . .None
24-18 . . . . . . . . . . . . . . . . .569 25-45 . . . . . . .1247. . . . . . . .None
24-19 . . . . . . . . . . . . . . . . .570 25-46 . . . . . . .1248. . . . . . . .None
24-20 . . . . . . . . . . . . . . . . .571 25-47 . . . . . . .1249. . . . . . . .None
24-21 . . . . . . . . . . . . . . . . .572 25-48 . . . . . . .1250. . . . . . . .None
24-22 . . . . . . . . . . . . . . . . .574 25-49 . . . . . . .1251. . . . . . . .None
24-23 . . . . . . . . . . . . . . . . .575 25-50 . . . . . . .1252. . . . . . . .None
24-24 . . . . . . . . . . . . . . . . .577 25-51 . . . . . . .1253. . . . . . . .None
24-25 . . . . . . . . . . . . . . . . .578 25-52 . . . . . . .1254. . . . . . . .None
24-26 . . . . . . . . . . . . . . . . .579 25-53 . . . . . . .1255. . . . . . . .458
24-27 . . . . . . . . . . . . . . . . .580 25-54 . . . . . . .1256. . . . . . . .None
24-28 . . . . . . . . . . . . . . . . .581 25-55 . . . . . . .1257. . . . . . . .None
24-29 . . . . . . . . . . . . . . . . .582 25-56 . . . . . . .1258. . . . . . . .None
24-30 . . . . . . . . . . . . . . . . .583 25-57 . . . . . . .1259. . . . . . . .476
24-31 . . . . . . . . . . . . . . . . .584 25-58 . . . . . . .1260. . . . . . . .477
24-32 . . . . . . . . . . . . . . . . .585 25-59 . . . . . . .1261. . . . . . . .478
24-33 . . . . . . . . . . . . . . . . .590 25-60 . . . . . . .1262. . . . . . . .479
25-1 . . . . . . . .1200. . . . . . . .None 25-61 . . . . . . .1263. . . . . . . .None
25-2 . . . . . . . .1201. . . . . . . .453 25-62 . . . . . . .1264. . . . . . . .484
25-3 . . . . . . . .1202. . . . . . . .None 25-63 . . . . . . .1265. . . . . . . .484A
25-4 . . . . . . . .1203. . . . . . . .None 25-64 . . . . . . .1266. . . . . . . .484B
25-5 . . . . . . . .1204. . . . . . . .None 25-65 . . . . . . .1267. . . . . . . .479A
25-6 . . . . . . . .1205. . . . . . . .None 25-66 . . . . . . .1268. . . . . . . .479B
25-7 . . . . . . . .1207. . . . . . . .454 25-67 . . . . . . .1269. . . . . . . .481
25-8 . . . . . . . .1208. . . . . . . .455 25-68 . . . . . . .1270. . . . . . . .484C
25-9 . . . . . . . .1209. . . . . . . .456 25-69 . . . . . . .1271. . . . . . . .481A
25-10 . . . . . . .1210. . . . . . . .457 26-1 . . . . . . . . . . . . . . . . . .1023.1
25-11 . . . . . . .1211. . . . . . . .None 27-1 . . . . . . . . . . . . . . . . . .1024.1(1)
25-12 . . . . . . .1212. . . . . . . .None 27-2 . . . . . . . . . . . . . . . . . .1024.1(2)
25-13 . . . . . . .1213. . . . . . . .None 27-3 . . . . . . . . . . . . . . . . . .1025.1(1)
25-14 . . . . . . .1214. . . . . . . .None 27-4 . . . . . . . . . . . . . . . . . .1025.1(2)
541
REFERENCE TABLE
P.B.1998 CLJ P.B. 1978-1997 P.B.1998 CLJ P.B. 1978-1997

27-5 . . . . . . . . . . . . . . . . . .1025.1(3) 33-7 . . . . . . . . . . . . . . . . . .1043.1(4)
27-5 . . . . . . . . . . . . . . . . . .1025.1(4) 33-8 . . . . . . . . . . . . . . . . . .1044.1
27-6 . . . . . . . . . . . . . . . . . .1025.1(8) 33-9 . . . . . . . . . . . . . . . . . .1045.1(1)
27-6 . . . . . . . . . . . . . . . . . .1025.1(9) 33-10 . . . . . . . . . . . . . . . . .1045.1(2)
27-7 . . . . . . . . . . . . . . . . . .1025.1(5) 33-11 . . . . . . . . . . . . . . . . .1045.1(3)
27-7 . . . . . . . . . . . . . . . . . .1025.1(6) 33-12 . . . . . . . . . . . . . . . . .1046.1
27-8 . . . . . . . . . . . . . . . . . .1025.1(7) 33-13 . . . . . . . . . . . . . . . . .1047.1
28-1 . . . . . . . . . . . . . . . . . .1026.1 34-1 . . . . . . . . . . . . . . . . . .1048.1
29-1 . . . . . . . . . . . . . . . . . .1027.1(1) 34-2 . . . . . . . . . . . . . . . . . .1049.1
29-1 . . . . . . . . . . . . . . . . . .1027.1(2) 34-3 . . . . . . . . . . . . . . . . . .1050.1
29-2 . . . . . . . . . . . . . . . . . .1027.1(3) 34-4 . . . . . . . . . . . . . . . . . .1051.1
29-2 . . . . . . . . . . . . . . . . . .1027.1(4) 35-1 . . . . . . . . . . . . . . . . . .1055.1
30-1 . . . . . . . . . . . . . . . . . .1030.1(1) 35-2 . . . . . . . . . . . . . . . . . .1057.1
30-2 . . . . . . . . . . . . . . . . . .1030.1(2) 35-3 . . . . . . . . . . . . . . . . . .1058.1
30-3 . . . . . . . . . . . . . . . . . .1030.1(3) 35-4 . . . . . . . . . . . . . . . . . .1059.1
30-4 . . . . . . . . . . . . . . . . . .1030.1(4) 35-5 . . . . . . . . . . . . . . . . . .1060.1
30-5 . . . . . . . . . . . . . . . . . .1031.1(1) 36-1 . . . . . . . . . . . . . . . . . .593
30-6 . . . . . . . . . . . . . . . . . .1031.1(2) 36-2 . . . . . . . . . . . . . . . . . .593A
30-7 . . . . . . . . . . . . . . . . . .1031.1(3) 36-3 . . . . . . . . . . . . . . . . . .594
30-8 . . . . . . . . . . . . . . . . . .1031.1(4) 36-4 . . . . . . . . . . . . . . . . . .595
30-9 . . . . . . . . . . . . . . . . . .1032.1(1) 36-5 . . . . . . . . . . . . . . . . . .596
30-10 . . . . . . . . . . . . . . . . .1032.1(2) 36-6 . . . . . . . . . . . . . . . . . .597
30-10 . . . . . . . . . . . . . . . . .1032.1(3) 36-7 . . . . . . . . . . . . . . . . . .599
30-11 . . . . . . . . . . . . . . . . .1032.1(4) 36-8 . . . . . . . . . . . . . . . . . .601
31-1 . . . . . . . . . . . . . . . . . .1033.1(1) 36-9 . . . . . . . . . . . . . . . . . .602
31-1 . . . . . . . . . . . . . . . . . .1033.1(2) 36-10 . . . . . . . . . . . . . . . . .603
31-1 . . . . . . . . . . . . . . . . . .1033.1(3) 36-11 . . . . . . . . . . . . . . . . .616
31-2 . . . . . . . . . . . . . . . . . .1033.1(4) 36-12 . . . . . . . . . . . . . . . . .617
31-3 . . . . . . . . . . . . . . . . . .1033.1(5) 36-13 . . . . . . . . . . . . . . . . .618
31-4 . . . . . . . . . . . . . . . . . .1033.1(6) 36-14 . . . . . . . . . . . . . . . . .619
31-5 . . . . . . . . . . . . . . . . . .1034.1(1) 36-15 . . . . . . . . . . . . . . . . .620
31-6 . . . . . . . . . . . . . . . . . .1034.1(2) 36-16 . . . . . . . . . . . . . . . . .622
31-6 . . . . . . . . . . . . . . . . . .1034.1(3) 36-17 . . . . . . . . . . . . . . . . .623
31-7 . . . . . . . . . . . . . . . . . .1034.1(4) 36-18 . . . . . . . . . . . . . . . . .624
31-8 . . . . . . . . . . . . . . . . . .1034.1(5) 36-19 . . . . . . . . . . . . . . . . .625
31-9 . . . . . . . . . . . . . . . . . .1034.1(6) 36-20 . . . . . . . . . . . . . . . . .626
31-10 . . . . . . . . . . . . . . . . .1035.1 36-21 . . . . . . . . . . . . . . . . .627
31-11 . . . . . . . . . . . . . . . . .1036.1 36-22 . . . . . . . . . . . . . . . . .628
31-12 . . . . . . . . . . . . . . . . .1037.1 37-1 . . . . . . . . . . . . . . . . . .635
31-13 . . . . . . . . . . . . . . . . .1038.1 37-2 . . . . . . . . . . . . . . . . . .635A
32-1 . . . . . . . . . . . . . . . . . .1040.1(1) 37-3 . . . . . . . . . . . . . . . . . .637
32-1 . . . . . . . . . . . . . . . . . .1040.1(2) 37-4 . . . . . . . . . . . . . . . . . .638
32-2 . . . . . . . . . . . . . . . . . .1040.1(3) 37-5 . . . . . . . . . . . . . . . . . .640
32-2 . . . . . . . . . . . . . . . . . .1040.1(4) 37-6 . . . . . . . . . . . . . . . . . .641
32-3 . . . . . . . . . . . . . . . . . .1040.1(5) 37-7 . . . . . . . . . . . . . . . . . .643
32-4 . . . . . . . . . . . . . . . . . .1040.1(6) 37-8 . . . . . . . . . . . . . . . . . .644
32-5 . . . . . . . . . . . . . . . . . .1040.1(7) 37-9 . . . . . . . . . . . . . . . . . .645
32-6 . . . . . . . . . . . . . . . . . .1041.1(1) 37-10 . . . . . . . . . . . . . . . . .647
32-7 . . . . . . . . . . . . . . . . . .1041.1(2) 37-11 . . . . . . . . . . . . . . . . .648
32-8 . . . . . . . . . . . . . . . . . .1041.1(3) 37-12 . . . . . . . . . . . . . . . . .650
32-9 . . . . . . . . . . . . . . . . . .1041.1(4) 38-1 . . . . . . . . . . . . . . . . . .654
33-1 . . . . . . . . . . . . . . . . . .1042.1(1) 38-2 . . . . . . . . . . . . . . . . . .656
33-1 . . . . . . . . . . . . . . . . . .1042.1(2) 38-3 . . . . . . . . . . . . . . . . . .657
33-2 . . . . . . . . . . . . . . . . . .1042.1(3) 38-4 . . . . . . . . . . . . . . . . . .658
33-3 . . . . . . . . . . . . . . . . . .1042.1(4) 38-5 . . . . . . . . . . . . . . . . . .659
33-3 . . . . . . . . . . . . . . . . . .1042.1(6) 38-6 . . . . . . . . . . . . . . . . . .661
33-4 . . . . . . . . . . . . . . . . . .1042.1(5) 38-7 . . . . . . . . . . . . . . . . . .663
33-5 . . . . . . . . . . . . . . . . . .1043.1(1) 38-8 . . . . . . . . . . . . . . . . . .664
33-5 . . . . . . . . . . . . . . . . . .1043.1(2) 38-9 . . . . . . . . . . . . . . . . . .665
33-6 . . . . . . . . . . . . . . . . . .1043.1(3) 38-10 . . . . . . . . . . . . . . . . .666
542
REFERENCE TABLE
P.B.1998 CLJ P.B. 1978-1997 P.B.1998 CLJ P.B. 1978-1997

38-11 . . . . . . . . . . . . . . . . .668 40-15 . . . . . . . . . . . . . . . . .749
38-12 . . . . . . . . . . . . . . . . .669 40-16 . . . . . . . . . . . . . . . . .754
38-13 . . . . . . . . . . . . . . . . .673 40-17 . . . . . . . . . . . . . . . . .758
38-14 . . . . . . . . . . . . . . . . .674 40-18 . . . . . . . . . . . . . . . . .759
38-15 . . . . . . . . . . . . . . . . .675 40-19 . . . . . . . . . . . . . . . . .760
38-16 . . . . . . . . . . . . . . . . .675A 40-20 . . . . . . . . . . . . . . . . .760A
38-17 . . . . . . . . . . . . . . . . .676 40-21 . . . . . . . . . . . . . . . . .763
38-18 . . . . . . . . . . . . . . . . .677 40-22 . . . . . . . . . . . . . . . . .764
38-19 . . . . . . . . . . . . . . . . .682 40-23 . . . . . . . . . . . . . . . . .765
38-20 . . . . . . . . . . . . . . . . .683 40-24 . . . . . . . . . . . . . . . . .767
38-21 . . . . . . . . . . . . . . . . .684 40-25 . . . . . . . . . . . . . . . . .768
38-22 . . . . . . .684A . . . . . . .None 40-26 . . . . . . . . . . . . . . . . .769
38-23 . . . . . . . . . . . . . . . . .685 40-27 . . . . . . . . . . . . . . . . .769A
39-1 . . . . . . . . . . . . . . . . . .687 40-28 . . . . . . . . . . . . . . . . .770
39-2 . . . . . . . . . . . . . . . . . .688 40-29 . . . . . . . . . . . . . . . . .771
39-3 . . . . . . . . . . . . . . . . . .689 40-30 . . . . . . . . . . . . . . . . .772
39-4 . . . . . . . . . . . . . . . . . .690 40-31 . . . . . . . . . . . . . . . . .773
39-5 . . . . . . . . . . . . . . . . . .692 40-32 . . . . . . . . . . . . . . . . .776
39-6 . . . . . . . . . . . . . . . . . .693 40-33 . . . . . . . . . . . . . . . . .777
39-7 . . . . . . . . . . . . . . . . . .694 40-34 . . . . . . . . . . . . . . . . .778
39-8 . . . . . . . . . . . . . . . . . .696 40-35 . . . . . . . . . . . . . . . . .779
39-9 . . . . . . . . . . . . . . . . . .697 40-36 . . . . . . . . . . . . . . . . .780
39-10 . . . . . . . . . . . . . . . . .698 40-37 . . . . . . . . . . . . . . . . .781
39-11 . . . . . . . . . . . . . . . . .700 40-38 . . . . . . . . . . . . . . . . .782
39-12 . . . . . . . . . . . . . . . . .701 40-39 . . . . . . . . . . . . . . . . .783
39-13 . . . . . . . . . . . . . . . . .702 40-40 . . . . . . . . . . . . . . . . .785
39-14 . . . . . . . . . . . . . . . . .704 40-41 . . . . . . . . . . . . . . . . .786
39-15 . . . . . . . . . . . . . . . . .705 40-42 . . . . . . . . . . . . . . . . .787
39-16 . . . . . . . . . . . . . . . . .706 40-43 . . . . . . . . . . . . . . . . .788
39-17 . . . . . . . . . . . . . . . . .707 40-44 . . . . . . . . . . . . . . . . .791
39-18 . . . . . . . . . . . . . . . . .709 40-45 . . . . . . . . . . . . . . . . .792
39-19 . . . . . . . . . . . . . . . . .711 40-46 . . . . . . . . . . . . . . . . .793
39-20 . . . . . . . . . . . . . . . . .712 40-47 . . . . . . . . . . . . . . . . .794
39-21 . . . . . . . . . . . . . . . . .713 40-48 . . . . . . . . . . . . . . . . .795
39-22 . . . . . . . . . . . . . . . . .715 40-49 . . . . . . . . . . . . . . . . .796
39-23 . . . . . . . . . . . . . . . . .716 40-50 . . . . . . . . . . . . . . . . .797
39-24 . . . . . . . . . . . . . . . . .717 40-51 . . . . . . . . . . . . . . . . .798
39-25 . . . . . . . . . . . . . . . . .718 40-52 . . . . . . . . . . . . . . . . .799
39-26 . . . . . . . . . . . . . . . . .720 40-53 . . . . . . . . . . . . . . . . .800
39-27 . . . . . . . . . . . . . . . . .721 40-54 . . . . . . . . . . . . . . . . .801
39-28 . . . . . . . . . . . . . . . . .722 40-55 . . . . . . . . . . . . . . . . .802
39-29 . . . . . . . . . . . . . . . . .725 40-56 . . . . . . . . . . . . . . . . .803
39-30 . . . . . . . . . . . . . . . . .726 40-57 . . . . . . . . . . . . . . . . .804
39-31 . . . . . . . . . . . . . . . . .727 40-58 . . . . . . . . . . . . . . . . .805
39-32 . . . . . . . . . . . . . . . . .728 41-1 . . . . . . . . . . . . . . . . . .807
39-33 . . . . . . . . . . . . . . . . .730 41-2 . . . . . . . . . . . . . . . . . .808
40-1 . . . . . . . . . . . . . . . . . .732 41-3 . . . . . . . . . . . . . . . . . .809
40-2 . . . . . . . . . . . . . . . . . .733 41-4 . . . . . . . . . . . . . . . . . .810
40-3 . . . . . . . . . . . . . . . . . .734 41-5 . . . . . . . . . . . . . . . . . .811
40-4 . . . . . . . . . . . . . . . . . .735 41-6 . . . . . . . . . . . . . . . . . .812
40-5 . . . . . . . . . . . . . . . . . .735A 41-7 . . . . . . . . . . . . . . . . . .813
40-6 . . . . . . . . . . . . . . . . . .737 41-8 . . . . . . . . . . . . . . . . . .815
40-7 . . . . . . . . . . . . . . . . . .737A 41-9 . . . . . . . . . . . . . . . . . .816
40-8 . . . . . . . . . . . . . . . . . .737B 41-10 . . . . . . . . . . . . . . . . .817
40-9 . . . . . . . . . . . . . . . . . .738 41-11 . . . . . . . . . . . . . . . . .818
40-10 . . . . . . . . . . . . . . . . .739 41-12 . . . . . . . . . . . . . . . . .821
40-11 . . . . . . . . . . . . . . . . .741 41-13 . . . . . . . . . . . . . . . . .822
40-12 . . . . . . . . . . . . . . . . .742 41-14 . . . . . . . . . . . . . . . . .823
40-13 . . . . . . . . . . . . . . . . .743 41-15 . . . . . . . . . . . . . . . . .824
40-14 . . . . . . . . . . . . . . . . .746 41-16 . . . . . . . . . . . . . . . . .825
543
REFERENCE TABLE
P.B.1998 CLJ P.B. 1978-1997 P.B.1998 CLJ P.B. 1978-1997

41-17 . . . . . . . . . . . . . . . . .826 42-52 . . . . . . . . . . . . . . . . .900
41-18 . . . . . . . . . . . . . . . . .828 42-53 . . . . . . . . . . . . . . . . .902
41-19 . . . . . . . . . . . . . . . . .829 42-54 . . . . . . . . . . . . . . . . .903
41-20 . . . . . . . . . . . . . . . . .831 42-55 . . . . . . . . . . . . . . . . .904
41-21 . . . . . . . . . . . . . . . . .832 42-56 . . . . . . . . . . . . . . . . .905
41-22 . . . . . . . . . . . . . . . . .833 43-1 . . . . . . . . . . . . . . . . . .907
41-23 . . . . . . . . . . . . . . . . .835 43-2 . . . . . . . . . . . . . . . . . .908
41-24 . . . . . . . . . . . . . . . . .836 43-3 . . . . . . . . . . . . . . . . . .910
41-25 . . . . . . . . . . . . . . . . .837 43-4 . . . . . . . . . . . . . . . . . .911
42-1 . . . . . . . . . . . . . . . . . .839 43-5 . . . . . . . . . . . . . . . . . .912
42-2 . . . . . . . . . . . . . . . . . .840 43-6 . . . . . . . . . . . . . . . . . .913
42-3 . . . . . . . . . . . . . . . . . .841 43-7 . . . . . . . . . . . . . . . . . .915
42-4 . . . . . . . . . . . . . . . . . .842 43-8 . . . . . . . . . . . . . . . . . .916
42-5 . . . . . . . . . . . . . . . . . .843 43-9 . . . . . . . . . . . . . . . . . .917
42-6 . . . . . . . . . . . . . . . . . .844 43-10 . . . . . . . . . . . . . . . . .919
42-7 . . . . . . . . . . . . . . . . . .845 43-11 . . . . . . . . . . . . . . . . .921
42-8 . . . . . . . . . . . . . . . . . .845A 43-12 . . . . . . . . . . . . . . . . .922
42-9 . . . . . . . . . . . . . . . . . .845B 43-13 . . . . . . . . . . . . . . . . .924
42-10 . . . . . . . . . . . . . . . . .846A 43-14 . . . . . . . . . . . . . . . . .925
42-11 . . . . . . . . . . . . . . . . .847 43-15 . . . . . . . . . . . . . . . . .926
42-12 . . . . . . . . . . . . . . . . .848 43-16 . . . . . . . . . . . . . . . . .927
42-13 . . . . . . . . . . . . . . . . .849 43-17 . . . . . . . . . . . . . . . . .929
42-14 . . . . . . . . . . . . . . . . .850 43-18 . . . . . . . . . . . . . . . . .931
42-15 . . . . . . . . . . . . . . . . .850B 43-19 . . . . . . . . . . . . . . . . .932
42-16 . . . . . . . . . . . . . . . . .852 43-20 . . . . . . . . . . . . . . . . .932A
42-17 . . . . . . . . . . . . . . . . .853 43-21 . . . . . . . . . . . . . . . . .934
42-18 . . . . . . . . . . . . . . . . .854 43-22 . . . . . . . . . . . . . . . . .935
42-19 . . . . . . . . . . . . . . . . .854A 43-23 . . . . . . . . . . . . . . . . .937
42-20 . . . . . . . . . . . . . . . . .855 43-24 . . . . . . . . . . . . . . . . .938
42-21 . . . . . . . . . . . . . . . . .856 43-25 . . . . . . . . . . . . . . . . .939
42-22 . . . . . . . . . . . . . . . . .857 43-26 . . . . . . . . . . . . . . . . .940
42-23 . . . . . . . . . . . . . . . . .858 43-27 . . . . . . . . . . . . . . . . .941
42-24 . . . . . . . . . . . . . . . . .860 43-28 . . . . . . . . . . . . . . . . .942
42-25 . . . . . . . . . . . . . . . . .861 43-29 . . . . . . . . . . . . . . . . .943
42-26 . . . . . . . . . . . . . . . . .863 43-30 . . . . . . . . . . . . . . . . .945
42-27 . . . . . . . . . . . . . . . . .864 43-31 . . . . . . . . . . . . . . . . .947
42-28 . . . . . . . . . . . . . . . . .865 43-32 . . . . . . . . . . . . . . . . .948
42-29 . . . . . . . . . . . . . . . . .867 43-33 . . . . . . . . . . . . . . . . .950
42-30 . . . . . . . . . . . . . . . . .868 43-34 . . . . . . . . . . . . . . . . .952
42-31 . . . . . . . . . . . . . . . . .869 43-35 . . . . . . . . . . . . . . . . .953
42-32 . . . . . . . . . . . . . . . . .870 43-36 . . . . . . . . . . . . . . . . .954
42-33 . . . . . . . . . . . . . . . . .871 43-37 . . . . . . . . . . . . . . . . .955
42-34 . . . . . . . . . . . . . . . . .872 43-38 . . . . . . . . . . . . . . . . .956
42-35 . . . . . . . . . . . . . . . . .874 43-39 . . . . . . . . . . . . . . . . .956B
42-36 . . . . . . . . . . . . . . . . .876 43-40 . . . . . . . . . . . . . . . . .956C
42-37 . . . . . . . . . . . . . . . . .879 43-41 . . . . . . . . . . . . . . . . .956D
42-38 . . . . . . . . . . . . . . . . .880 43-42 . . . . . . . . . . . . . . . . .956E
42-39 . . . . . . . . . . . . . . . . .881 43-43 . . . . . . . . . . . . . . . . .956F
42-40 . . . . . . . . . . . . . . . . .883 44-1 . . . . . . . . . . . . . . . . . .959
42-41 . . . . . . . . . . . . . . . . .884 44-2 . . . . . . . . . . . . . . . . . .960
42-42 . . . . . . . . . . . . . . . . .885 44-3 . . . . . . . . . . . . . . . . . .961
42-43 . . . . . . . . . . . . . . . . .887 44-4 . . . . . . . . . . . . . . . . . .963
42-44 . . . . . . . . . . . . . . . . .888 44-5 . . . . . . . . . . . . . . . . . .964
42-45 . . . . . . . . . . . . . . . . .889 44-6 . . . . . . . . . . . . . . . . . .965
42-46 . . . . . . . . . . . . . . . . .892 44-7 . . . . . . . . . . . . . . . . . .967
42-47 . . . . . . . . . . . . . . . . .893 44-8 . . . . . . . . . . . . . . . . . .968
42-48 . . . . . . . . . . . . . . . . .894 44-9 . . . . . . . . . . . . . . . . . .969
42-49 . . . . . . . . . . . . . . . . .895 44-10 . . . . . . . . . . . . . . . . .970
42-50 . . . . . . . . . . . . . . . . .898 44-11 . . . . . . . . . . . . . . . . .972
42-51 . . . . . . . . . . . . . . . . .899 44-12 . . . . . . . . . . . . . . . . .973
544
REFERENCE TABLE
P.B.1998 CLJ P.B. 1978-1997 P.B.1998 CLJ P.B. 1978-1997

44-13 . . . . . . . . . . . . . . . . .975 63-4 . . . . . . . . . . . . . . . . . .4013
44-14 . . . . . . . . . . . . . . . . .976 63-5 . . . . . . . . . . . . . . . . . .4015
44-15 . . . . . . . . . . . . . . . . .977 63-6 . . . . . . . . . . . . . . . . . .4017
44-16 . . . . . . . . . . . . . . . . .978 63-7 . . . . . . . . . . . . . . . . . .4018
44-17 . . . . . . . . . . . . . . . . .979 63-8 . . . . . . . . . . . . . . . . . .4019
44-18 . . . . . . . . . . . . . . . . .981 63-9 . . . . . . . . . . . . . . . . . .4038
44-19 . . . . . . . . . . . . . . . . .997A 63-10 . . . . . . . . . . . . . . . . .4103
44-20 . . . . . . . . . . . . . . . . .998 64-1 . . . . . . . . . . . . . . . . . .4059
44-21 . . . . . . . . . . . . . . . . .1000 64-2 . . . . . . . . . . . . . . . . . .4060
44-22 . . . . . . . . . . . . . . . . .1002 65-1 . . . . . . . . . . . . . . . . . .4023
44-23 . . . . . . . . . . . . . . . . .1004 65-2 . . . . . . . . . . . . . . . . . .4024,
44-24 . . . . . . . . . . . . . . . . .1005 4135
44-25 . . . . . . . . . . . . . . . . .1007 65-3 . . . . . . . . . . . . . . . . . .4025
44-26 . . . . . . . . . . . . . . . . .1008 65-4 . . . . . . . . . . . . . . . . . .4027
44-27 . . . . . . . . . . . . . . . . .1008A 66-1 . . . . . . . . . . . . . . . . . .4040
44-28 . . . . . . . . . . . . . . . . .1010 66-2 . . . . . . . . . . . . . . . . . .4041
44-29 . . . . . . . . . . . . . . . . .1011 66-3 . . . . . . . . . . . . . . . . . .4042
44-30 . . . . . . . . . . . . . . . . .1011D 66-4 . . . . . . . . . . . . . . . . . .4043
44-31 . . . . . . . . . . . . . . . . .1012A 66-5 . . . . . . . . . . . . . . . . . .4051
44-32 . . . . . . . . . . . . . . . . .1014 66-6 . . . . . . . . . . . . . . . . . .4053
44-33 . . . . . . . . . . . . . . . . .1015 66-7 . . . . . . . . . . . . . . . . . .4054
44-34 . . . . . . . . . . . . . . . . .1016 66-8 . . . . . . . . . . . . . . . . . .4056
44-35 . . . . . . . . . . . . . . . . .1017 67-1 . . . . . . . . . . . . . . . . . .4064
44-36 . . . . . . . . . . . . . . . . .1020A 67-2 . . . . . . . . . . . . . . . . . .4064A
44-37 . . . . . . . . . . . . . . . . .1021 67-3 . . . . . . . . . . . . . . . . . .4064B
60-1 . . . . . . . . . . . . . . . . . .4182 67-4 . . . . . . . . . . . . . . . . . .4064C
60-2 . . . . . . . . . . . . . . . . . .4183 67-5 . . . . . . . . . . . . . . . . . .4064D
60-3 . . . . . . . . . . . . . . . . . .4187 67-6 . . . . . . . . . . . . . . . . . .4064E
60-4 . . . . . . . . . . . . . . . . . .4001A 67-7 . . . . . . . . . . . . . . . . . .4064F
60-5 . . . . . . . . . . . . . . . . . .4061 67-8 . . . . . . . . . . . . . . . . . .4064G
60-5 . . . . . . . . . . . . . . . . . .4185 67-9 . . . . . . . . . . . . . . . . . .4064H
60-6 . . . . . . . . . . . . . . . . . .4186 67-10 . . . . . . . . . . . . . . . . .4064J
61-1 . . . . . . . . . . . . . . . . . .4000 68-1 . . . . . . . . . . . . . . . . . .4084
61-2 . . . . . . . . . . . . . . . . . .4002A 68-2 . . . . . . . . . . . . . . . . . .4085
61-3 . . . . . . . . . . . . . . . . . .4002B 68-3 . . . . . . . . . . . . . . . . . .4086
61-4 . . . . . . . . . . . . . . . . . .4002C 68-4 . . . . . . . . . . . . . . . . . .4087
61-5 . . . . . . . . . . . . . . . . . .4002D 68-5 . . . . . . . . . . . . . . . . . .4090
61-6 . . . . . . . . . . . . . . . . . .4003 68-6 . . . . . . . . . . . . . . . . . .4091
61-7 . . . . . . . . . . . . . . . . . .4004 68-7 . . . . . . . . . . . . . . . . . .4092
61-8 . . . . . . . . . . . . . . . . . .4005 68-8 . . . . . . . . . . . . . . . . . .4093
61-9 . . . . . . . . . . . . . . . . . .4006 68-9 . . . . . . . . . . . . . . . . . .4094
61-10 . . . . . . . . . . . . . . . . .4007 68-10 . . . . . . . . . . . . . . . . .4095
61-11 . . . . . . . . . . . . . . . . .4046 68-11 . . . . . . . . . . . . . . . . .4096
61-12 . . . . . . . . . . . . . . . . .4047 69-1 . . . . . . . . . . . . . . . . . .4100
61-13 . . . . . . . . . . . . . . . . .4048 69-2 . . . . . . . . . . . . . . . . . .4101
61-14 . . . . . . . . . . . . . . . . .4049 69-3 . . . . . . . . . . . . . . . . . .4104
62-1 . . . . . . . . . . . . . . . . . .4028 70-1 . . . . . . . . . . . . . . . . . .4106
62-2 . . . . . . . . . . . . . . . . . .4029 70-2 . . . . . . . . . . . . . . . . . .4102
62-3 . . . . . . . . . . . . . . . . . .4031 70-3 . . . . . . . . . . . . . . . . . .4107
62-4 . . . . . . . . . . . . . . . . . .4032 70-4 . . . . . . . . . . . . . . . . . .4108
62-5 . . . . . . . . . . . . . . . . . .4033 70-5 . . . . . . . . . . . . . . . . . .4109
62-6 . . . . . . . . . . . . . . . . . .4030 70-6 . . . . . . . . . . . . . . . . . .4111
62-7 . . . . . . . . . . . . . . . . . .4014 70-7 . . . . . . . . . . . . . . . . . .4112
62-8 . . . . . . . . . . . . . . . . . .4034 70-8 . . . . . . . . . . . . . . . . . .4115
62-9 . . . . . . . . . . . . . . . . . .4035 70-9 . . . . . . . . . . . . . . . . . .4116A
62-10 . . . . . . . . . . . . . . . . .4036 70-10 . . . . . . . . . . . . . . . . .4116B
62-11 . . . . . . . . . . . . . . . . .4037 71-1 . . . . . . . . . . . . . . . . . .4117
63-1 . . . . . . . . . . . . . . . . . .4009 71-2 . . . . . . . . . . . . . . . . . .4118
63-2 . . . . . . . . . . . . . . . . . .4010 71-3 . . . . . . . . . . . . . . . . . .4119
63-3 . . . . . . . . . . . . . . . . . .4012 71-4 . . . . . . . . . . . . . . . . . .4120
545
REFERENCE TABLE
P.B.1998 CLJ P.B. 1978-1997 P.B.1998 CLJ P.B. 1978-1997

71-5 . . . . . . . . . . . . . . . . . .4121 80-1 . . . . . . . . . . . . . . . . . .4166C
71-6 . . . . . . . . . . . . . . . . . .4123 81-1 . . . . . . . . . . . . . . . . . .4142
71-7 . . . . . . . . . . . . . . . . . .4050 81-2 . . . . . . . . . . . . . . . . . .4142.1
72-1 . . . . . . . . . . . . . . . . . .4143 81-3 . . . . . . . . . . . . . . . . . .4142.2
72-2 . . . . . . . . . . . . . . . . . .4143A 81-4 . . . . . . . . . . . . . . . . . .4142.3
72-3 . . . . . . . . . . . . . . . . . .4144 81-5 . . . . . . . . . . . . . . . . . .4142.4
72-4 . . . . . . . . . . . . . . . . . .4145 82-1 . . . . . . . . . . . . . . . . . .4168
73-1 . . . . . . . . . . . . . . . . . .4147 82-2 . . . . . . . . . . . . . . . . . .4169
74-1 . . . . . . . . . . . . . . . . . .4150 82-3 . . . . . . . . . . . . . . . . . .4170
74-2 . . . . . . . . . . . . . . . . . .4151 82-4 . . . . . . . . . . . . . . . . . .4171
74-3 . . . . . . . . . . . . . . . . . .4152 82-5 . . . . . . . . . . . . . . . . . .4172
74-4 . . . . . . . . . . . . . . . . . .4153 82-6 . . . . . . . . . . . . . . . . . .4173
74-5 . . . . . . . . . . . . . . . . . .4154 82-7 . . . . . . . . . . . . . . . . . .4174
74-6 . . . . . . . . . . . . . . . . . .4155 83-1 . . . . . . . . . . . . . . . . . .4177
74-7 . . . . . . . . . . . . . . . . . .4156 83-2 . . . . . . . . . . . . . . . . . .4178
74-8 . . . . . . . . . . . . . . . . . .4157 83-3 . . . . . . . . . . . . . . . . . .4179
75-1 . . . . . . . . . . . . . . . . . .4159 83-4 . . . . . . . . . . . . . . . . . .4180
75-2 . . . . . . . . . . . . . . . . . .4160 84-1 . . . . . . . . . . . . . . . . . .4126
75-3 . . . . . . . . . . . . . . . . . .4161 84-2 . . . . . . . . . . . . . . . . . .4127
75-4 . . . . . . . . . . . . . . . . . .4162 84-3 . . . . . . . . . . . . . . . . . .4128
75-5 . . . . . . . . . . . . . . . . . .4163 84-4 . . . . . . . . . . . . . . . . . .4129
75-6 . . . . . . . . . . . . . . . . . .4164 84-5 . . . . . . . . . . . . . . . . . .4130
76-1 . . . . . . . . . . . . . . . . . .4165 84-6 . . . . . . . . . . . . . . . . . .4131
76-2 . . . . . . . . . . . . . . . . . .4165.1 84-7 . . . . . . . . . . . . . . . . . .4132
76-3 . . . . . . . . . . . . . . . . . .4165.2 84-8 . . . . . . . . . . . . . . . . . .4136
76-4 . . . . . . . . . . . . . . . . . .4165.4 84-9 . . . . . . . . . . . . . . . . . .4138
76-5 . . . . . . . . . . . . . . . . . .4165.5 84-10 . . . . . . . . . . . . . . . . .4139
76-6 . . . . . . . . . . . . . . . . . .4165.6 84-11 . . . . . . . . . . . . . . . . .4140
77-1 . . . . . . . . . . . . . . . . . .4166 84-12 . . . . . . . . . . . . . . . . .4141
78-1 . . . . . . . . . . . . . . . . . .4166A 85-1 . . . . . . . . . . . . . . . . . .4184A
79-1 . . . . . . . . . . . . . . . . . .4166B 85-2 . . . . . . . . . . . . . . . . . .4184B
79-2 . . . . . . . . . . . . . . . . . .4166B.1 85-3 . . . . . . . . . . . . . . . . . .4184C
79-3 . . . . . . . . . . . . . . . . . .4166B.2 86-1 . . . . . . . . . . . . . . . . . .4188
79-4 . . . . . . . . . . . . . . . . . .4166B.3 86-2 . . . . . . . . . . . . . . . . . .4189
546
TABLE OF PRACTICE BOOK CHANGES
TABLE OF PRACTICE BOOK CHANGES*

Action Effective Action Effective
Taken Date Taken Date
Rules of Prof. Conduct Rule 4.1 . . . . . . . . . . . . . . . . am Jan. 1, 2007
Preamble . . . . . . . . . . . . . . . . am Jan. 1, 2007 Rule 4.2 . . . . . . . . . . . . . . . . am Oct. 1, 2013
Scope . . . . . . . . . . . . . . . . . . am Jan. 1, 2007 Rule 4.3 . . . . . . . . . . . . . . . . am Jan. 1, 2007;
Rule 1.0 . . . . . . . . . . . . . . . . ad Jan. 1, 2007; am Oct. 1, 2013
am Jan. 1, 2014 Rule 4.4 . . . . . . . . . . . . . . . . am Jan. 1, 2007;
Rule 1.2 (title) . . . . . . . . . . . . . am Jan. 1, 2007 am Jan. 1, 2014
Rule 1.2 . . . . . . . . . . . . . . . . am Jan. 1, 2007; Rule 5.1 (title) . . . . . . . . . . . . . am Jan. 1, 2007
am Jan. 1, 2008; Rule 5.1 . . . . . . . . . . . . . . . . am Jan. 1, 2007
am Jan. 1, 2015 Rule 5.2 . . . . . . . . . . . . . . . . am Jan. 1, 2007
Rule 1.4 . . . . . . . . . . . . . . . . am Jan. 1, 2007 Rule 5.3 (title) . . . . . . . . . . . . . am Jan. 1, 2015
Rule 1.5 . . . . . . . . . . . . . . . . am Jan. 1, 2007; Rule 5.3 . . . . . . . . . . . . . . . . am Jan. 1, 2007
am Oct. 1, 2013 Rule 5.4 . . . . . . . . . . . . . . . . am Jan. 1, 2007
Rule 1.6 . . . . . . . . . . . . . . . . am Jan. 1, 2007; Rule 5.5 . . . . . . . . . . . . . . . . am Jan. 1, 2000;
am Jan. 1, 2014 am Jan. 1, 2003;
Rule 1.7 (title) . . . . . . . . . . . . . am Jan. 1, 2007 am Jan. 1, 2008;
Rule 1.7 . . . . . . . . . . . . . . . . am Jan. 1, 2007 am Jan. 1, 2009;
Rule 1.8 . . . . . . . . . . . . . . . . am Jan. 1, 2007; am Jan. 1, 2013;
am Jan. 1, 2008 am Jan. 1, 2015
Rule 1.9 (title) . . . . . . . . . . . . . am Jan. 1, 2007 Rule 5.6 . . . . . . . . . . . . . . . . am Jan. 1, 2007
Rule 1.9 . . . . . . . . . . . . . . . . am Jan. 1, 2007 Rule 6.5 . . . . . . . . . . . . . . . . ad Jan. 1, 2007
Rule 1.10 (title) . . . . . . . . . . . . am Jan. 1, 2007 Rule 7.1 . . . . . . . . . . . . . . . . am Jan. 1, 2007
Rule 1.10 . . . . . . . . . . . . . . . . am Jan. 1, 2007; Rule 7.2 . . . . . . . . . . . . . . . . am Jan. 1, 2007;
am Jan. 1, 2013; am Jan. 1, 2013;
am Jan. 1, 2014 Rule 7.3 (title) . . . . . . . . . . . . . am Jan. 1, 2015
Rule 1.11 (title) . . . . . . . . . . . . am Jan. 1, 2007 Rule 7.3 . . . . . . . . . . . . . . . . am Jan. 1, 2007;
Rule 1.11 . . . . . . . . . . . . . . . . am Jan. 1, 2007 am Jan. 1, 2015
Rule 1.12 (title) . . . . . . . . . . . . am Jan. 1, 2007 Rule 7.4 . . . . . . . . . . . . . . . . am Jan. 1, 2009
Rule 1.12 . . . . . . . . . . . . . . . . am Jan. 1, 2007; Rule 7.4A. . . . . . . . . . . . . . . . am Jan. 1, 2006;
am Jan. 1, 2015 am Jan. 1, 2008;
Rule 1.13 . . . . . . . . . . . . . . . . am Jan. 1, 2007 am Jan. 1, 2009;
Rule 1.14 (title) . . . . . . . . . . . . am Jan. 1, 2007 am Jan. 1, 2015
am Jan. 1, 2009; Rule 7.4C. . . . . . . . . . . . . . . . am Jan. 1, 2009;
Rule 1.14 . . . . . . . . . . . . . . . . am Jan. 1, 2007; am Jan. 1, 2016
am Jan. 1, 2009 Rule 8.3 . . . . . . . . . . . . . . . . am Jan. 1, 2007;
Rule 1.15 . . . . . . . . . . . . . . . . am Sept. 1, 2006; am Aug. 1, 2008
am Sept. 1, 2007; Rule 8.4 . . . . . . . . . . . . . . . . am Jan. 1, 2007
am Aug. 1, 2008; Rule 8.5 (title) . . . . . . . . . . . . . am Jan. 1, 2007
am Aug. 1, 2010; Rule 8.5 . . . . . . . . . . . . . . . . am Jan. 1, 2007
am Jan. 1, 2012; Code, Jud. Conduct rw Jan. 1, 2011
am Jan. 1, 2016 P.B. Section
Rule 1.16 . . . . . . . . . . . . . . . . am Jan. 1, 2002; 1-1 (title) . . . . . . . . . . . . . . . . am Jan. 1, 2012
am Jan. 1, 2007 1-1 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2001;
Rule 1.17 . . . . . . . . . . . . . . . . ad Jan. 1, 2007 am Jan. 1, 2012
Rule 1.18 . . . . . . . . . . . . . . . . ad Jan. 1, 2007; 1-4 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2007
am Jan. 1, 2015 1-9 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2014
Rule 2.2 . . . . . . . . . . . . . . . . rp Jan. 1, 2007 1-9A . . . . . . . . . . . . . . . . . . . ad Jan. 1, 2009;
Rule 2.3 . . . . . . . . . . . . . . . . am Jan. 1, 2007 am Jan. 1, 2016
Rule 2.4 . . . . . . . . . . . . . . . . ad Jan. 1, 2007 1-9B . . . . . . . . . . . . . . . . . . . ad Jan. 1, 2011
Rule 3.1 . . . . . . . . . . . . . . . . am Jan. 1, 2007 1-10 (title) . . . . . . . . . . . . . . . am Jan. 1, 2008
Rule 3.3 . . . . . . . . . . . . . . . . am Jan. 1, 2007 1-10 . . . . . . . . . . . . . . . . . . . am Oct. 1, 2005;
Rule 3.5 . . . . . . . . . . . . . . . . am Jan. 1, 2007; am Jan. 1, 2008;
am Jan. 1, 2008 am Aug. 1, 2008
Rule 3.6 . . . . . . . . . . . . . . . . am Jan. 1, 2003; 1-10 (b) . . . . . . . . . . . . . . . . . ex Oct. 1, 2006;
am Jan. 1, 2007 ex Oct. 1, 2007
Rule 3.7 . . . . . . . . . . . . . . . . am Jan. 1, 2007 1-10A . . . . . . . . . . . . . . . . . . ad Jan. 1, 2008
Rule 3.8 . . . . . . . . . . . . . . . . am Jan. 1, 2015 1-10B . . . . . . . . . . . . . . . . . . ad Jan. 1, 2008;
Rule 3.9 . . . . . . . . . . . . . . . . am Jan. 1, 2007 am Jan. 1, 2012
*This table is designed to reflect, at a glance, changes made in the Practice Book since its effective date of October 1, 1997.
The first and third columns indicate the sections changed or added and the effective dates thereof. Under ‘‘Action Taken,’’ in
the second column, the abbreviations signify: ad (adopted); am (amended); def (deferred until); ex (extended); int (interim) and
rp (repealed); rw (rewritten); tr (transferred); tc (technical change: title).
547

1-11 (title) . . . . . . . . . . . . . . . am Jan. 1, 2008 2-20 . . . . . . . . . . . . . . . . . . . am Sept. 1, 1998;
1-11 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2008; am Jan. 1, 2014
rp Jan. 1, 2012 2-27 (title) . . . . . . . . . . . . . . . am Jan. 1, 2008
1-11A . . . . . . . . . . . . . . . . . . ad Jan. 1, 2008; 2-27 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2002;
am Jan. 1, 2012 am July 1, 2003;
1-11B . . . . . . . . . . . . . . . . . . ad Jan. 1, 2008 def Jan. 1, 2004;
1-11C (title). . . . . . . . . . . . . . . am Jan. 1, 2012 am Jan. 1, 2007;
1-11C . . . . . . . . . . . . . . . . . . ad Jan. 1, 2008; am Jan. 1, 2008;
am Jan. 1, 2012 am Jan. 1, 2009;
1-11D . . . . . . . . . . . . . . . . . . ad Jan. 1, 2011; am Jan. 1, 2012
rp Jan. 1, 2013 2-27 (e) . . . . . . . . . . . . . . . . . am July 1, 2007
1-13A . . . . . . . . . . . . . . . . . . ad Jan. 1, 2000 2-28 . . . . . . . . . . . . . . . . . . . am July 1, 2003;
1-14 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2000 def Jan. 1, 2004;
1-15 . . . . . . . . . . . . . . . . . . . rp Jan. 1, 2000 am Jan. 1, 2007
1-16 (title) . . . . . . . . . . . . . . . am Jan. 1, 2000 2-28A . . . . . . . . . . . . . . . . . . ad July 1, 2007;
1-16 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2000 am Jan. 1, 2011
1-17 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2000 2-28B . . . . . . . . . . . . . . . . . . ad July 1, 2007
1-18 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2000 2-29 . . . . . . . . . . . . . . . . . . . am July 1, 2003;
1-19 (title) . . . . . . . . . . . . . . . am Jan. 1, 2000 def Jan. 1, 2004
1-19 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2000 2-31 . . . . . . . . . . . . . . . . . . . am July 1, 2003;
1-20 (title) . . . . . . . . . . . . . . . am Jan. 1, 2000 def Jan. 1, 2004
1-20 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2000 2-32 . . . . . . . . . . . . . . . . . . . am Jan. 1, 1999;
1-21 (title) . . . . . . . . . . . . . . . am Jan. 1, 2000 am Jan. 1, 2000;
1-21 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2000 am July 1, 2003;
1-21A . . . . . . . . . . . . . . . . . . ad Jan. 1, 2000 def & am Jan. 1, 2004;
1-24 . . . . . . . . . . . . . . . . . . . ad Jan. 1, 2008 am Jan. 1, 2005;
1-25 . . . . . . . . . . . . . . . . . . . ad Jan. 1, 2015 am Jan. 1, 2006;
2-1 . . . . . . . . . . . . . . . . . . . am Sept. 1, 1998 am Jan. 1, 2009;
2-4 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2012 am Jan. 1, 2013;
2-4A . . . . . . . . . . . . . . . . . . . ad Jan. 1, 2007 am Jan. 1, 2014
2-5 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2011 2-34 . . . . . . . . . . . . . . . . . . . am July 1, 2003;
2-5A (title) . . . . . . . . . . . . . . . am Sept. 1, 2011 def Jan. 1, 2004;
2-5A . . . . . . . . . . . . . . . . . . . ad Jan. 1, 2011; am Jan. 1, 2010
am Sept. 1, 2011 2-34A . . . . . . . . . . . . . . . . . . ad July 1, 2003;
2-8 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2008; def & am Jan. 1, 2004;
am Jan. 1, 2011 am Jan. 1, 2005;
2-9 (title) . . . . . . . . . . . . . . . . am Jan. 1, 2009 am Jan. 1, 2013
2-9 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2009; 2-35 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2000;
am Jan. 1, 2011 am July 1, 2003;
2-11 (title) . . . . . . . . . . . . . . . am Jan. 1, 2009 def Jan. 1, 2004;
2-11 . . . . . . . . . . . . . . . . . . . am Sept. 1, 1998 am Jan. 1, 2007;
2-11A . . . . . . . . . . . . . . . . . . ad Jan. 1, 2009; am Jan. 1, 2008;
am Jan. 1, 2014 am Jan. 1, 2009;
2-12 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2007; am Jan. 1, 2013
am Jan. 1, 2011 2-36 . . . . . . . . . . . . . . . . . . . am July 1, 2003;
2-13 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2000; def Jan. 1, 2004;
am Jan. 1, 2010; am Jan. 1, 2007
am Jan. 1, 2011; 2-37 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2000
am Jan. 1, 2012; 2-38 . . . . . . . . . . . . . . . . . . . am Sept. 1, 1998;
am Sept. 1, 2012; am Jan. 1, 2000;
am Jan. 1, 2015 am July 1, 2003;
2-14 . . . . . . . . . . . . . . . . . . . rp Jan. 1, 2012 def & am Jan. 1, 2004;
2-15 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2011; am Jan. 1, 2008;
rp Jan. 1, 2012 am Jan. 1, 2009;
2-15A . . . . . . . . . . . . . . . . . . ad Jan. 1, 2008; am Jan. 1, 2014;
am Jan. 1, 2009; am Jan. 1, 2015
am Jan. 1, 2010; 2-39 . . . . . . . . . . . . . . . . . . . am Sept. 1, 1998;
am Jan. 1, 2013 am Jan. 1, 2002;
2-16 . . . . . . . . . . . . . . . . . . . am July 1, 2003; am July 1, 2003;
def Jan. 1, 2004; def Jan. 1, 2004
am Jan. 1, 2008; 2-40 (title) . . . . . . . . . . . . . . . am Oct. 1, 2014
am Jan. 1, 2012 2-40 . . . . . . . . . . . . . . . . . . . am July 1, 2003;
2-17 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2011 def Jan. 1, 2004;
2-18 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2011 am Jan. 1, 2007;
548

am Oct. 1, 2014 am Jan. 1, 2006;
2-41 (title) . . . . . . . . . . . . . . . am Oct. 1, 2014 am Jan. 1, 2013
2-41 . . . . . . . . . . . . . . . . . . . am Sept. 1, 1998; 2-71 . . . . . . . . . . . . . . . . . . . ad Jan. 1, 1999
am July 1, 2003; 2-72 . . . . . . . . . . . . . . . . . . . ad Jan. 1, 1999
def Jan. 1, 2004; 2-73 . . . . . . . . . . . . . . . . . . . ad Jan. 1, 1999;
am Jan. 1, 2007; am May 17, 2005
am Jan. 1, 2014; 2-74 . . . . . . . . . . . . . . . . . . . ad Jan. 1, 1999;
am Oct. 1, 2014 am Jan. 1, 2012
2-42 . . . . . . . . . . . . . . . . . . . am July 1, 2003; 2-75 . . . . . . . . . . . . . . . . . . . ad Jan. 1, 1999
def Jan. 1, 2004; 2-76 . . . . . . . . . . . . . . . . . . . ad Jan. 1, 1999;
am Jan. 1, 2007 am May 17, 2005;
2-44A . . . . . . . . . . . . . . . . . . ad Jan. 1, 2008 am Jan. 1, 2007
2-47 . . . . . . . . . . . . . . . . . . . am July 1, 2003; 2-77 . . . . . . . . . . . . . . . . . . . ad Jan. 1, 1999;
def Jan. 1, 2004; am May 17, 2005
am Jan. 1, 2005; 2-78 . . . . . . . . . . . . . . . . . . . ad Jan. 1, 1999
am Jan. 1, 2006; 2-79 . . . . . . . . . . . . . . . . . . . ad Jan. 1, 1999;
am Jan. 1, 2007 am Jan. 1, 2006;
2-47A . . . . . . . . . . . . . . . . . . ad Jan. 1, 2007; am Jan. 1, 2013
am Jan. 1, 2015 2-80 . . . . . . . . . . . . . . . . . . . ad Jan. 1, 1999
2-47B . . . . . . . . . . . . . . . . . . ad Jan. 1, 2016 2-81 . . . . . . . . . . . . . . . . . . . ad Jan. 1, 1999
2-48 . . . . . . . . . . . . . . . . . . . am July 1, 2003; 2-82 . . . . . . . . . . . . . . . . . . . am July 1, 2003;
def Jan. 1, 2004 def Jan. 1, 2004;
2-50 (title) . . . . . . . . . . . . . . . am Jan. 1, 2007 am Jan. 1, 2007
2-50 . . . . . . . . . . . . . . . . . . . am July 1, 2003; 2-83 . . . . . . . . . . . . . . . . . . . ad July 1, 2003;
def Jan. 1, 2004; def & int Jan. 1, 2004
am Jan. 1, 2007; 3-3 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2010;
am Jan. 1, 2008; am Jan. 1, 2011;
am Jan. 1, 2009 am Jan. 1, 2012;
2-52 . . . . . . . . . . . . . . . . . . . am July 1, 2003; am Oct. 1, 2013
def Jan. 1, 2004; 3-4 (title) . . . . . . . . . . . . . . . . am Jan. 1, 2012
am Jan. 1, 2006; 3-4 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2012;
am Jan. 1, 2008; am Jan. 1, 2013;
am Jan. 1, 2013 am Jan. 1, 2015
2-53 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2001; 3-5 (title) . . . . . . . . . . . . . . . . am Jan. 1, 2012
am July 1, 2003; 3-5 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2012
def Jan. 1, 2004; 3-8 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2013;
am Jan. 1, 2007; am Oct. 1, 2013;
am Jan. 1, 2011; am Jan. 1, 2016
am Jan. 1, 2013; 3-9 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2007;
am Jan. 1, 2014 am Jan. 1, 2009;
2-54 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2000 am Jan. 1, 2011;
2-55 . . . . . . . . . . . . . . . . . . . int Nov. 17, 1999; am Oct. 1, 2013
am Jan. 1, 2000; 3-10 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2001;
am Jan. 1, 2014 am Jan. 1, 2002;
2-55A . . . . . . . . . . . . . . . . . . ad Jan. 1, 2014 am Jan. 1, 2005
2-56 . . . . . . . . . . . . . . . . . . . am July 1, 2003; 3-16 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2000;
def Jan. 1, 2004 am Jan. 1, 2010
2-58 . . . . . . . . . . . . . . . . . . . am July 1, 2003; 4-1 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2002;
def Jan. 1, 2004 am Jan. 1, 2012;
2-59 . . . . . . . . . . . . . . . . . . . am July 1, 2003; am Jan. 1, 2015
def Jan. 1, 2004 4-2 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2010;
2-64 . . . . . . . . . . . . . . . . . . . am July 1, 2003; am Oct. 1, 2013
def Jan. 1, 2004 4-4 . . . . . . . . . . . . . . . . . . . ad Jan. 1, 1999;
2-65 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2010 am Jan. 1, 2009
2-68 . . . . . . . . . . . . . . . . . . . ad Jan. 1, 1999; 4-5 . . . . . . . . . . . . . . . . . . . ad Jan. 1, 2001
am May 17, 2005 4-6 (title) . . . . . . . . . . . . . . . . am Jan. 1, 2016
2-68A . . . . . . . . . . . . . . . . . . ad May 17, 2005 4-6 . . . . . . . . . . . . . . . . . . . ad Jan. 1, 2001;
2-69 . . . . . . . . . . . . . . . . . . . ad Jan. 1, 1999 am Jan. 1, 2016
2-70 . . . . . . . . . . . . . . . . . . . ad Jan. 1, 1999; 4-7 . . . . . . . . . . . . . . . . . . . ad Jan. 1, 2010;
int Nov. 17,1999; am Jan. 1, 2011;
am Jan. 1, 2000; am Jan. 1, 2013
am July 13, 2004; am Jan. 1, 2016
am May 17, 2005; 5-1 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2014
549

5-9 . . . . . . . . . . . . . . . . . . . rp Jan. 1, 2014 10-31 . . . . . . . . . . . . . . . . . . am Jan. 1, 2014
5-11 (title) . . . . . . . . . . . . . . . am Jan. 1, 2012 10-36 . . . . . . . . . . . . . . . . . . am Jan. 1, 2012
5-11 . . . . . . . . . . . . . . . . . . . ad Jan. 1, 2011; 10-37 . . . . . . . . . . . . . . . . . . am Jan. 1, 2012
am Jan. 1, 2012 10-39 (title) . . . . . . . . . . . . . . . am Jan. 1, 2014
6-1 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2000 10-39 . . . . . . . . . . . . . . . . . . am Jan. 1, 2000;
6-2 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2007 am Jan. 1, 2014;
6-3 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2007; am Jan. 1, 2015
am Jan. 1, 2013; 10-40 (title) . . . . . . . . . . . . . . . am Jan. 1, 2004;
am Jan. 1, 2015 am Jan. 1, 2014
6-4 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2003; 10-40 . . . . . . . . . . . . . . . . . . am Jan. 1, 2004;
am Jan. 1, 2007 am Jan. 1, 2005;
6-5 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2002; am Jan. 1, 2014
am July 1, 2003 10-41 . . . . . . . . . . . . . . . . . . rp Jan. 1, 2014
7-4A . . . . . . . . . . . . . . . . . . . ad July 1, 2003 10-42 . . . . . . . . . . . . . . . . . . rp Jan. 1, 2014
7-4B . . . . . . . . . . . . . . . . . . . ad July 1, 2003; 10-44 . . . . . . . . . . . . . . . . . . am Jan. 1, 2004
am Jan. 1, 2005 11-1 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2012;
7-4C. . . . . . . . . . . . . . . . . . . ad July 1, 2003 am Jan. 1, 2013;
7-5 (title) . . . . . . . . . . . . . . . . tc Jan. 1, 2012 am Jan. 1, 2015
7-5 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2012 11-10 . . . . . . . . . . . . . . . . . . am Jan. 1, 2016
7-10 . . . . . . . . . . . . . . . . . . . am Jan. 1, 1999 11-13 . . . . . . . . . . . . . . . . . . am Jan. 1, 2003;
7-11 . . . . . . . . . . . . . . . . . . . am Jan. 1, 1999; am Jan. 1, 2012
am Jan. 1, 2000; 11-14 . . . . . . . . . . . . . . . . . . am Jan. 1, 2008
am Jan. 1, 2004; 11-18 . . . . . . . . . . . . . . . . . . am Jan. 1, 2000;
am Jan. 1, 2007; am Jan. 1, 2005;
am Jan. 1, 2013 am Jan. 1, 2008;
7-13 . . . . . . . . . . . . . . . . . . . am Jan. 1, 1999; 11-20 (title) . . . . . . . . . . . . . . . am July 1, 2003
am Jan. 1, 2004; 11-20 . . . . . . . . . . . . . . . . . . am Jan. 1, 2000;
am Jan. 1, 2008; am July 1, 2003;
am Jan. 1, 2010 am Jan. 1, 2005;
7-17 . . . . . . . . . . . . . . . . . . . am Oct. 1, 2003; am Jan. 1, 2012
am July 13, 2004; 11-20A . . . . . . . . . . . . . . . . . ad July 1, 2003;
am Jan. 1, 2011 am Jan. 1, 2005;
7-19 (title) . . . . . . . . . . . . . . . tc Jan. 1, 2012 am Jan. 1, 2012
7-19 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2016 11-20B . . . . . . . . . . . . . . . . . ad Jan. 1, 2010;
7-20 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2009 am Jan. 1, 2011
8-1 (title) . . . . . . . . . . . . . . . . am Jan. 1, 2014 11-21 . . . . . . . . . . . . . . . . . . ad Jan. 1, 1999
8-1 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2000; 12-3 . . . . . . . . . . . . . . . . . . . am Jan. 1, 1999
am Jan. 1, 2005; 13-1 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2012;
am Jan. 1, 2014 am Jan. 1, 2014
8-2 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2011; 13-2 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2012
9-8 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2010 13-3 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2008;
9-9 (title) . . . . . . . . . . . . . . . . am Jan. 1, 2010 am Jan. 1, 2014
9-9 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2010; 13-4 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2009;
am Jan. 1, 2015 am Sept. 1, 2009;
10-8 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2014 am Jan. 1, 2011;
10-12 (title) . . . . . . . . . . . . . . . tc Jan. 1, 2012 am Jan. 1, 2013
10-12 . . . . . . . . . . . . . . . . . . am Jan. 1, 2010 13-5 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2012
10-13 . . . . . . . . . . . . . . . . . . am Jan. 1, 1999; 13-6 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2000;
am Jan. 1, 2005; am Jan. 1, 2002;
am Jan. 1, 2010; am Jan. 1, 2009;
am Jan. 1, 2013 am Jan. 1, 2014
10-14 . . . . . . . . . . . . . . . . . . am Jan. 1, 1999; 13-7 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2000;
am Jan. 1, 2005; am Jan. 1, 2012;
am Jan. 1, 2015 am Jan. 1, 2016
10-29 . . . . . . . . . . . . . . . . . . am Jan. 1, 2013 13-8 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2002;
10-30 (title) . . . . . . . . . . . . . . . am Jan. 1, 2004; am Jan. 1, 2012;
am Jan. 1, 2014 am Jan. 1, 2014
10-30 . . . . . . . . . . . . . . . . . . am Jan. 1, 2004; 13-9 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2000;
am Jan. 1, 2005; am Jan. 1, 2002;
am Jan. 1, 2014; am Jan. 1, 2006;
am Jan. 1, 2015 am Jan. 1, 2012;
550

13-10 . . . . . . . . . . . . . . . . . . am Jan. 1, 2000; am Jan. 1, 2009
am Jan. 1, 2002; 17-14A . . . . . . . . . . . . . . . . . ad Jan. 1, 2007;
am Jan. 1, 2009; am Jan. 1, 2013
am Jan. 1, 2012; 17-15 . . . . . . . . . . . . . . . . . . am Jan. 1, 2003;
am Jan. 1, 2014; am Jan. 1, 2007
am Jan. 1, 2016 17-16 . . . . . . . . . . . . . . . . . . am Jan. 1, 2003;
13-11 . . . . . . . . . . . . . . . . . . am Jan. 1, 2011 am Jan. 1, 2007
13-11A . . . . . . . . . . . . . . . . . ad Jan. 1, 2006 17-17 (title) . . . . . . . . . . . . . . . am Jan. 1, 2007
13-13 . . . . . . . . . . . . . . . . . . am Jan. 1, 2012 17-17 . . . . . . . . . . . . . . . . . . am Jan. 1, 2007
13-14 . . . . . . . . . . . . . . . . . . am Jan. 1, 2012 17-18 . . . . . . . . . . . . . . . . . . am Jan. 1, 2007;
13-19 . . . . . . . . . . . . . . . . . . am Jan. 1, 2010; am Jan. 1, 2009
am Jan. 1, 2012 17-20 . . . . . . . . . . . . . . . . . . am Jan. 1, 2005;
13-22 . . . . . . . . . . . . . . . . . . am Jan. 1, 2009 am Jan. 1, 2010;
13-23 . . . . . . . . . . . . . . . . . . am Jan. 1, 2009 am Jan. 1, 2011;
13-27 . . . . . . . . . . . . . . . . . . am Jan. 1, 2001; am Jan. 1, 2012;
am Jan. 1, 2010 am Jan. 1, 2013
13-28 . . . . . . . . . . . . . . . . . . am Jan. 1, 2005 17-21 (title) . . . . . . . . . . . . . . . am Jan. 1, 2006
13-30 . . . . . . . . . . . . . . . . . . am Jan. 1, 2001; 17-21 . . . . . . . . . . . . . . . . . . am Jan. 1, 2006
am Jan. 1, 2004; 17-22 . . . . . . . . . . . . . . . . . . am Jan. 1, 2012
am Jan. 1, 2005; 17-24 . . . . . . . . . . . . . . . . . . am Jan. 1, 1999
am Jan. 1, 2009; 17-25 . . . . . . . . . . . . . . . . . . am Jan. 1, 2012;
am Jan. 1, 2012 am Jan. 1, 2014
13-33 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2012 17-27 . . . . . . . . . . . . . . . . . . am Jan. 1, 2012
14-1 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2005 17-29 . . . . . . . . . . . . . . . . . . am Jan. 1, 2012
14-2 (title) . . . . . . . . . . . . . . . am Jan. 1, 2003 17-30 (title) . . . . . . . . . . . . . . . am Jan. 1, 2001
14-2 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2003 17-30 . . . . . . . . . . . . . . . . . . am Jan. 1, 2001;
14-3 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2003; am Jan. 1, 2006;
am Jan. 1, 2012 am Jan. 1, 2016
14-6 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2012; 17-32 . . . . . . . . . . . . . . . . . . am Jan. 1, 2011;
am Jan. 1, 2014 am Aug. 1, 2015
14-7 (title) . . . . . . . . . . . . . . . am Jan. 1, 2014 17-33 . . . . . . . . . . . . . . . . . . am Jan. 1, 2003;
14-7 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2005; am Jan. 1, 2014
am Jan. 1, 2012; 17-33A . . . . . . . . . . . . . . . . . ad Jan. 1, 2010
am Jan. 1, 2014 17-36 . . . . . . . . . . . . . . . . . . am Jan. 1, 1999
14-7A (title). . . . . . . . . . . . . . . am Jan. 1, 2014 17-44 . . . . . . . . . . . . . . . . . . am Jan. 1, 2014
14-7A . . . . . . . . . . . . . . . . . . ad Jan. 1, 2007; 17-45 (title) . . . . . . . . . . . . . . . am Jan. 1, 2004
am Jan. 1, 2014 17-45 . . . . . . . . . . . . . . . . . . am Jan. 1, 2001;
14-7B (title). . . . . . . . . . . . . . . am Jan. 1, 2014 am Jan. 1, 2004;
14-7B . . . . . . . . . . . . . . . . . . ad Jan. 1, 2012; am Jan. 1, 2005
am Jan. 1, 2014 17-53 . . . . . . . . . . . . . . . . . . am Jan. 1, 2001;
14-8 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2014 am Jan. 1, 2002;
14-13 . . . . . . . . . . . . . . . . . . am Jan. 1, 2006 am Jan. 1, 2016
14-25 . . . . . . . . . . . . . . . . . . am Jan. 1, 2003 17-55 . . . . . . . . . . . . . . . . . . am Jan. 1, 2000
15-8 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2009 17-56 . . . . . . . . . . . . . . . . . . am Jan. 1, 2000
16-5 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2005 18-1 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2002
16-15 . . . . . . . . . . . . . . . . . . am Jan. 1, 2012 18-5 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2006
16-31 . . . . . . . . . . . . . . . . . . am Jan. 1, 2001 19-1 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2000;
16-33 . . . . . . . . . . . . . . . . . . am Jan. 1, 1999 am Jan. 1, 2007;
16-36 . . . . . . . . . . . . . . . . . . int June 28, 1999; am Jan. 1, 2012
am Jan. 1, 2000; 19-2A . . . . . . . . . . . . . . . . . . ad Jan. 1, 2000
tr Jan. 1, 2012 19-3 (title) . . . . . . . . . . . . . . . am Jan. 1, 2000
17-2A . . . . . . . . . . . . . . . . . . ad Jan. 1, 2012 19-3 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2003
17-4 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2010; 19-3A . . . . . . . . . . . . . . . . . . ad Jan. 1, 2012
17-4A . . . . . . . . . . . . . . . . . . ad Jan. 1, 2001 19-4 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2012
17-7 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2012 19-6 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2000
17-11 (title) . . . . . . . . . . . . . . . am Jan. 1, 2007 19-7 . . . . . . . . . . . . . . . . . . . am Jan. 1, 1999;
17-11 . . . . . . . . . . . . . . . . . . am Jan. 1, 2003; am Jan. 1, 2000;
am Jan. 1, 2007 am Jan. 1, 2012
17-12 . . . . . . . . . . . . . . . . . . am Jan. 1, 2007 19-8 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2000;
17-13 . . . . . . . . . . . . . . . . . . am Jan. 1, 2007 am Jan. 1, 2012
17-14 . . . . . . . . . . . . . . . . . . am Jan. 1, 2003; am Jan. 1, 2012
am Jan. 1, 2007; 19-10 . . . . . . . . . . . . . . . . . . am Jan. 1, 2000;
551

am Jan. 1, 2012 am Jan. 1, 2011
19-11 . . . . . . . . . . . . . . . . . . am Jan. 1, 2000; 24-10 (title) . . . . . . . . . . . . . . . am Jan. 1, 2001
am Jan. 1, 2012 24-10 . . . . . . . . . . . . . . . . . . am Jan. 1, 2001;
19-12 . . . . . . . . . . . . . . . . . . rp Jan. 1, 2000 am Jan. 1, 2008;
19-13 . . . . . . . . . . . . . . . . . . rp Jan. 1, 2000 am Jan. 1, 2011;
19-14 . . . . . . . . . . . . . . . . . . am Jan. 1, 2000; am Jan. 1, 2014
am Jan. 1, 2001; 24-11 . . . . . . . . . . . . . . . . . . am Jan. 1, 2001;
am Jan. 1, 2012 rp Jan. 1, 2011
19-15 . . . . . . . . . . . . . . . . . . am Jan. 1, 2000; 24-12 . . . . . . . . . . . . . . . . . . am Jan. 1, 2011
am Jan. 1, 2012 24-13 . . . . . . . . . . . . . . . . . . am Jan. 1, 1999;
19-16 . . . . . . . . . . . . . . . . . . am Jan. 1, 2000; am Jan. 1, 2001;
am Jan. 1, 2012 rp Jan. 1, 2011
19-17 . . . . . . . . . . . . . . . . . . am Jan. 1, 2000; 24-14 . . . . . . . . . . . . . . . . . . am Jan. 1, 2001;
am Jan. 1, 2012 am Jan. 1, 2011
19-18 . . . . . . . . . . . . . . . . . . am Jan. 1, 2000 24-15 . . . . . . . . . . . . . . . . . . am Jan. 1, 2001
20-2 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2002 24-16 (title) . . . . . . . . . . . . . . . am Jan. 1, 2001
21-4 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2002 24-16 . . . . . . . . . . . . . . . . . . am Jan. 1, 2001;
21-12 . . . . . . . . . . . . . . . . . . am Jan. 1, 2002 am Jan. 1, 2011
21-14 . . . . . . . . . . . . . . . . . . am Jan. 1, 2002 24-17 . . . . . . . . . . . . . . . . . . am Jan. 1, 2001;
22-1 . . . . . . . . . . . . . . . . . . . am Sept. 1, 1998; am Jan. 1, 2011
am Jan. 1, 2002 24-18 . . . . . . . . . . . . . . . . . . rp Jan. 1, 2001
23-2 . . . . . . . . . . . . . . . . . . . rp Jan. 1, 2015 24-19 . . . . . . . . . . . . . . . . . . am Jan. 1, 2001
23-3 . . . . . . . . . . . . . . . . . . . rp Jan. 1, 2015 24-20 (title) . . . . . . . . . . . . . . . am Jan. 1, 2001
23-4 . . . . . . . . . . . . . . . . . . . rp Jan. 1, 2015 24-20 . . . . . . . . . . . . . . . . . . am Jan. 1, 2001
23-5 . . . . . . . . . . . . . . . . . . . rp Jan. 1, 2015 24-20A . . . . . . . . . . . . . . . . . ad Jan. 1, 2001;
23-6 . . . . . . . . . . . . . . . . . . . rp Jan. 1, 2015 am Jan. 1, 2011
23-7 . . . . . . . . . . . . . . . . . . . rp Jan. 1, 2015 24-21 . . . . . . . . . . . . . . . . . . am Jan. 1, 1999;
23-8 . . . . . . . . . . . . . . . . . . . rp Jan. 1, 2015 am Jan. 1, 2001;
23-9 . . . . . . . . . . . . . . . . . . . rp Jan. 1, 2015 am Jan. 1, 2011
23-10 . . . . . . . . . . . . . . . . . . rp Jan. 1, 2015 24-22 . . . . . . . . . . . . . . . . . . am Jan. 1, 2001
23-11 . . . . . . . . . . . . . . . . . . rp Jan. 1, 2015 24-24 . . . . . . . . . . . . . . . . . . am Jan. 1, 2001;
23-12 . . . . . . . . . . . . . . . . . . rp Jan. 1, 2015 am Jan. 1, 2011;
23-22 . . . . . . . . . . . . . . . . . . am Jan. 1, 2002 am Jan. 1, 2015
23-36 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2016 24-25 . . . . . . . . . . . . . . . . . . am Jan. 1, 2011
23-40 . . . . . . . . . . . . . . . . . . am Jan. 1, 2000 24-27 . . . . . . . . . . . . . . . . . . am Jan. 1, 2001;
23-41 . . . . . . . . . . . . . . . . . . am Jan. 1, 2010 am Jan. 1, 2011
23-44 . . . . . . . . . . . . . . . . . . am Jan. 1, 2002 24-29 . . . . . . . . . . . . . . . . . . am Jan. 1, 2001;
23-53 . . . . . . . . . . . . . . . . . . am Jan. 1, 1999 am Jan. 1, 2011;
23-60 . . . . . . . . . . . . . . . . . . am Jan. 1, 1999 am Jan. 1, 2012
23-61 . . . . . . . . . . . . . . . . . . am Jan. 1, 1999 24-30 . . . . . . . . . . . . . . . . . . am Jan. 1, 2001;
23-63 . . . . . . . . . . . . . . . . . . am Jan. 1, 1999 am Jan. 1, 2002;
23-65 . . . . . . . . . . . . . . . . . . am Jan. 1, 1999 am Jan. 1, 2004;
23-66 . . . . . . . . . . . . . . . . . . am Jan. 1, 1999; am Jan. 1, 2011
am Jan. 1, 2000; 24-31 . . . . . . . . . . . . . . . . . . am Jan. 1, 2001;
am Jan. 1, 2003 am Jan. 1, 2011
23-67 . . . . . . . . . . . . . . . . . . am Jan. 1, 2003 24-32 . . . . . . . . . . . . . . . . . . am Jan. 1, 2000;
23-68 . . . . . . . . . . . . . . . . . . ad Mar. 12, 2007 am Jan. 1, 2003;
24-1 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2001 am Jan. 1, 2014
24-2 (title) . . . . . . . . . . . . . . . am Jan. 1, 2001 24-33 . . . . . . . . . . . . . . . . . . am Jan. 1, 2000;
24-2 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2001 am Jan. 1, 2011
24-3 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2011 am Jan. 1, 2007;
24-4 . . . . . . . . . . . . . . . . . . . am Jan. 1, 1999; am Jan. 1, 2016
24-6 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2001; am Jan. 1, 2007;
am Jan. 1, 2002; am Jan. 1, 2008;
am Jan. 1, 2011 am Jan. 1, 2009
24-7 (title) . . . . . . . . . . . . . . . am Jan. 1, 2001 25-2A . . . . . . . . . . . . . . . . . . ad Aug. 15, 2011
24-7 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2001 25-3 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2000;
24-8 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2001 am Jan. 1, 2001;
24-9 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2001; am Jan. 1, 2007
552

25-4 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2000; am Jan. 1, 2015
am Jan. 1, 2001; 25-60 . . . . . . . . . . . . . . . . . . am Aug. 15, 2011;
am Jan. 1, 2007; am Jan. 1, 2015
am Jan. 1, 2015 25-60A . . . . . . . . . . . . . . . . . ad Aug. 15, 2011;
25-5 . . . . . . . . . . . . . . . . . . . am Jan. 1, 1999; 25-61 . . . . . . . . . . . . . . . . . . am Jan. 1, 2014
am Jan. 1, 2000; 25-62 . . . . . . . . . . . . . . . . . . am Jan. 1, 2012
am Jan. 1, 2007; 25-62A . . . . . . . . . . . . . . . . . ad Jan. 1, 2012
am Jan. 1, 2008; 25-65 . . . . . . . . . . . . . . . . . . rp Aug. 1, 2010
am Jan. 1, 2012 25-66 . . . . . . . . . . . . . . . . . . rp Aug. 1, 2010
25-5A . . . . . . . . . . . . . . . . . . ad Jan. 1, 2012 25-67 . . . . . . . . . . . . . . . . . . am Jan. 1, 1999;
25-7 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2000 rp Aug. 1, 2010
25-8 (title) . . . . . . . . . . . . . . . am Jan. 1, 2007 25a-1 . . . . . . . . . . . . . . . . . . ad Aug. 1, 2010;
25-8 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2007 am Oct. 1, 2013
25-9 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2000; 25a-2 . . . . . . . . . . . . . . . . . . ad Aug. 1, 2010
am Jan. 1, 2007 25a-3 . . . . . . . . . . . . . . . . . . ad Aug. 1, 2010;
25-10 . . . . . . . . . . . . . . . . . . am Jan. 1, 2000; am Jan. 1, 2013;
am Jan. 1, 2007 am Oct. 1, 2013
25-23 . . . . . . . . . . . . . . . . . . am July 1, 2003 25a-4 . . . . . . . . . . . . . . . . . . ad Aug. 1, 2010
25-24 . . . . . . . . . . . . . . . . . . am Jan. 1, 2016 25a-5 . . . . . . . . . . . . . . . . . . ad Aug. 1, 2010
25-26 . . . . . . . . . . . . . . . . . . am Jan. 1, 2006; 25a-6 . . . . . . . . . . . . . . . . . . ad Aug. 1, 2010
am Oct. 1, 2007 25a-7 . . . . . . . . . . . . . . . . . . ad Aug. 1, 2010
25-27 . . . . . . . . . . . . . . . . . . am Jan. 1, 2000 25a-8 . . . . . . . . . . . . . . . . . . ad Aug. 1, 2010
25-28 . . . . . . . . . . . . . . . . . . am Jan. 1, 2000; 25a-9 . . . . . . . . . . . . . . . . . . ad Aug. 1, 2010
am Jan. 1, 2007 25a-10 . . . . . . . . . . . . . . . . . ad Aug. 1, 2010
25-29 . . . . . . . . . . . . . . . . . . am Jan. 1, 2007 25a-11 . . . . . . . . . . . . . . . . . ad Aug. 1, 2010
25-30 . . . . . . . . . . . . . . . . . . am Jan. 1, 2003; 25a-12 . . . . . . . . . . . . . . . . . ad Aug. 1, 2010
am Jan. 1, 2007 25a-13 . . . . . . . . . . . . . . . . . ad Aug. 1, 2010
25-31 . . . . . . . . . . . . . . . . . . am Aug. 15, 2011; 25a-14 . . . . . . . . . . . . . . . . . ad Aug. 1, 2010
am Jan. 1, 2015 25a-15 . . . . . . . . . . . . . . . . . ad Aug. 1, 2010;
25-32 . . . . . . . . . . . . . . . . . . am Jan. 1, 1999; am Jan. 1, 2014
am Jan. 1, 2007 25a-16 . . . . . . . . . . . . . . . . . ad Aug. 1, 2010
25-32A . . . . . . . . . . . . . . . . . ad Aug. 15, 2011 25a-17 . . . . . . . . . . . . . . . . . ad Aug. 1, 2010
25-32B . . . . . . . . . . . . . . . . . ad Aug. 15, 2011 25a-18 . . . . . . . . . . . . . . . . . ad Aug. 1, 2010
25-33 . . . . . . . . . . . . . . . . . . am Jan. 1, 2015 25a-19 . . . . . . . . . . . . . . . . . ad Aug. 1, 2010
25-34 . . . . . . . . . . . . . . . . . . am Aug. 15, 2011 25a-20 . . . . . . . . . . . . . . . . . ad Aug. 1, 2010
25-36 (title) . . . . . . . . . . . . . . . am Jan. 1, 2009 25a-21 . . . . . . . . . . . . . . . . . ad Aug. 1, 2010
25-36 . . . . . . . . . . . . . . . . . . am Jan. 1, 2009 25a-22 . . . . . . . . . . . . . . . . . ad Aug. 1, 2010
25-39 . . . . . . . . . . . . . . . . . . am Mar. 12, 2007 25a-23 . . . . . . . . . . . . . . . . . ad Aug. 1, 2010
25-49 . . . . . . . . . . . . . . . . . . am Jan. 1, 2016 25a-24 . . . . . . . . . . . . . . . . . ad Aug. 1, 2010
25-50 . . . . . . . . . . . . . . . . . . am Jan. 1, 2000 25a-25 . . . . . . . . . . . . . . . . . ad Aug. 1, 2010
am Jan. 1, 2016 25a-26 . . . . . . . . . . . . . . . . . ad Aug. 1, 2010
25-51 . . . . . . . . . . . . . . . . . . am Jan. 1, 2007; 25a-27 . . . . . . . . . . . . . . . . . ad Aug. 1, 2010
am Jan. 1, 2016 25a-28 . . . . . . . . . . . . . . . . . ad Aug. 1, 2010
25-55 . . . . . . . . . . . . . . . . . . am Jan. 1, 2000 25a-29 . . . . . . . . . . . . . . . . . ad Aug. 1, 2010
25-57 . . . . . . . . . . . . . . . . . . am Jan. 1, 2000; 25a-30 . . . . . . . . . . . . . . . . . ad Aug. 1, 2010
am Jan. 1, 2002; 26-1 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2003;
am Jan. 1, 2016 am Jan. 1, 2009;
25-58 . . . . . . . . . . . . . . . . . . am Jan. 1, 2000; am Jan. 1, 2012;
am Jan. 1, 2007 am Jan. 1, 2013;
25-59 (title) . . . . . . . . . . . . . . . am July 1, 2003 am Jan. 1, 2015
25-59 . . . . . . . . . . . . . . . . . . am July 1, 2003; 26-2 . . . . . . . . . . . . . . . . . . . ad Jan. 1, 2013
am Jan. 1, 2005; 26-3 . . . . . . . . . . . . . . . . . . . ad Jan. 1, 2016
am Jan. 1, 2012 27-1 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2003
25-59A . . . . . . . . . . . . . . . . . ad July 1, 2003; 27-1A (title). . . . . . . . . . . . . . . am Jan. 1, 2009
am Jan. 1, 2005; 27-1A . . . . . . . . . . . . . . . . . . am Jan. 1, 2009
am Jan. 1, 2012; 27-2 . . . . . . . . . . . . . . . . . . . rp Jan. 1, 2003
am Jan. 1, 2014 27-3 . . . . . . . . . . . . . . . . . . . rp Jan. 1, 2003
am Jan. 1, 2016 27-4 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2003;
25-59B . . . . . . . . . . . . . . . . . ad Jan. 1, 2010; am Jan. 1, 2009
am Jan. 1, 2011 27-4A (title). . . . . . . . . . . . . . . am Jan. 1, 2009
25-60 (title) . . . . . . . . . . . . . . . am Aug. 15, 2011; 27-4A . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003;
553

am Jan. 1, 2009 30a-6 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003;
27-5 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2003; 30a-6A . . . . . . . . . . . . . . . . . ad Jan. 1, 2010;
am Jan. 1, 2009 tr Jan. 1, 2013
27-6 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2003; 30a-7 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003
am Jan. 1, 2009 30a-8 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003;
27-7 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2003; am Jan. 1, 2010;
am Jan. 1, 2009 am Jan. 1, 2014
27-8 . . . . . . . . . . . . . . . . . . . rp Jan. 1, 2003 30a-9 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2013
27-8A (title). . . . . . . . . . . . . . . am Jan. 1, 2009 31-1 . . . . . . . . . . . . . . . . . . . rp Jan. 1, 2003
27-8A . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003; 31-2 . . . . . . . . . . . . . . . . . . . rp Jan. 1, 2003
am Jan. 1, 2009 31-3 . . . . . . . . . . . . . . . . . . . rp Jan. 1, 2003
27-9 . . . . . . . . . . . . . . . . . . . ad Jan. 1, 2009 31-4 . . . . . . . . . . . . . . . . . . . rp Jan. 1, 2003
28-1 . . . . . . . . . . . . . . . . . . . rp Jan. 1, 2003 31-5 . . . . . . . . . . . . . . . . . . . rp Jan. 1, 2003
29 (title). . . . . . . . . . . . . . . . . am Jan. 1, 2015 31-6 . . . . . . . . . . . . . . . . . . . rp Jan. 1, 2003
29-1 (title) . . . . . . . . . . . . . . . am Jan. 1, 2003; 31-7 . . . . . . . . . . . . . . . . . . . rp Jan. 1, 2003
am Jan. 1, 2015 31-8 . . . . . . . . . . . . . . . . . . . rp Jan. 1, 2003
29-1 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2003; 31-9 . . . . . . . . . . . . . . . . . . . rp Jan. 1, 2003
am Jan. 1, 2015 31-10 . . . . . . . . . . . . . . . . . . rp Jan. 1, 2003
29-1A . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003 31-11 . . . . . . . . . . . . . . . . . . rp Jan. 1, 2003
29-1B (title). . . . . . . . . . . . . . . am Jan. 1, 2015 31-12 . . . . . . . . . . . . . . . . . . rp Jan. 1, 2003
29-1B . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003; 31-13 . . . . . . . . . . . . . . . . . . rp Jan. 1, 2003
am Jan. 1, 2015 31a (title) . . . . . . . . . . . . . . . . am Jan. 1, 2015
29-2 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2003; 31a-1 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003;
am Jan. 1, 2015 am Jan. 1, 2009
30-1 . . . . . . . . . . . . . . . . . . . rp Jan. 1, 2003 31a-1A . . . . . . . . . . . . . . . . . ad Jan. 1, 2009
30-1A . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003 31a-2 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003
30-2 . . . . . . . . . . . . . . . . . . . rp Jan. 1, 2003 31a-3 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003
30-2A . . . . . . . . . . . . . . . . . . ad Jan. 1, 2009; 31a-4 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003
am Jan. 1, 2012 31a-5 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003;
30-3 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2003 am Jan. 1, 2009
30-4 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2003; 31a-6 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003
am Jan. 1, 2009 31a-7 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003
30-5 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2003; 31a-8 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003
am Jan. 1, 2012 31a-9 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003
30-6 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2003; 31a-10 . . . . . . . . . . . . . . . . . ad Jan. 1, 2003
am Jan. 1, 2009; 31a-11 . . . . . . . . . . . . . . . . . ad Jan. 1, 2003
am Jan. 1, 2012 31a-12 . . . . . . . . . . . . . . . . . ad Jan. 1, 2003
30-7 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2003; 31a-13 . . . . . . . . . . . . . . . . . ad Jan. 1, 2003;
am Jan. 1, 2009 am Jan. 1, 2009
30-8 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2003; 31a-13A . . . . . . . . . . . . . . . . ad Jan. 1, 2009
am Jan. 1, 2009; 31a-14 . . . . . . . . . . . . . . . . . ad Jan. 1, 2003;
am Jan. 1, 2014 am Jan. 1, 2009;
30-9 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2003 am Jan. 1, 2015
30-10 (title) . . . . . . . . . . . . . . . am Jan. 1, 2003 31a-15 . . . . . . . . . . . . . . . . . ad Jan. 1, 2003
30-10 . . . . . . . . . . . . . . . . . . am Jan. 1, 2003; 31a-16 . . . . . . . . . . . . . . . . . ad Jan. 1, 2003;
am Jan. 1, 2009 am Jan. 1, 2009;
30-11 . . . . . . . . . . . . . . . . . . am Jan. 1, 2009 am Jan. 1, 2015
30a (title) . . . . . . . . . . . . . . . . am Jan. 1, 2015 31a-17 . . . . . . . . . . . . . . . . . ad Jan. 1, 2003;
30a-1 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003; am Jan. 1, 2009
am Jan. 1, 2010; 31a-18 . . . . . . . . . . . . . . . . . ad Jan. 1, 2003;
am Jan. 1, 2015 am Jan. 1, 2009
30a-1A . . . . . . . . . . . . . . . . . ad Jan. 1, 2010 31a-19 . . . . . . . . . . . . . . . . . ad Jan. 1, 2003;
30a-2 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003; am Jan. 1, 2009;
am Jan. 1, 2015 am Jan. 1, 2010
30a-3 (title) . . . . . . . . . . . . . . . am Jan. 1, 2004 31a-19A . . . . . . . . . . . . . . . . ad Jan. 1, 2009
30a-3 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003; 31a-20 . . . . . . . . . . . . . . . . . ad Jan. 1, 2009
am Jan. 1, 2004 31a-21 . . . . . . . . . . . . . . . . . ad Jan. 1, 2010
30a-4 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003; 32-1 . . . . . . . . . . . . . . . . . . . rp Jan. 1, 2003
am Jan. 1, 2010 32-2 . . . . . . . . . . . . . . . . . . . rp Jan. 1, 2003
30a-5 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003; 32-3 . . . . . . . . . . . . . . . . . . . rp Jan. 1, 2003
am Jan. 1, 2007; 32-4 . . . . . . . . . . . . . . . . . . . rp Jan. 1, 2003
am Jan. 1, 2010; 32-5 . . . . . . . . . . . . . . . . . . . rp Jan. 1, 2003
am Jan. 1, 2015 32-6 . . . . . . . . . . . . . . . . . . . rp Jan. 1, 2003
554

32-7 . . . . . . . . . . . . . . . . . . . rp Jan. 1, 2003 am Jan. 1, 2009;
32-8 . . . . . . . . . . . . . . . . . . . rp Jan. 1, 2003 am Jan. 1, 2011;
32-9 . . . . . . . . . . . . . . . . . . . rp Jan. 1, 2003 am Jan. 1, 2012
32a (title) . . . . . . . . . . . . . . . . am Jan. 1, 2013 34a-2 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003
32a-1 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003; 34a-3 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003
am Jan. 1, 2009; 34a-4 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003
am Jan. 1, 2013 34a-5 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003
32a-2 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003; 34a-6 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003
am Jan. 1, 2009; 34a-7 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003
am Jan. 1, 2013 34a-8 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003
32a-3 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003; 34a-9 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003
am Jan. 1, 2009 34a-10 . . . . . . . . . . . . . . . . . ad Jan. 1, 2003
32a-4 (title) . . . . . . . . . . . . . . . am Jan. 1, 2009 34a-11 . . . . . . . . . . . . . . . . . ad Jan. 1, 2003
32a-4 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003; 34a-12 . . . . . . . . . . . . . . . . . ad Jan. 1, 2003
am Jan. 1, 2009 34a-13 . . . . . . . . . . . . . . . . . ad Jan. 1, 2003
32a-5 (title) . . . . . . . . . . . . . . . am Jan. 1, 2009 34a-14 . . . . . . . . . . . . . . . . . ad Jan. 1, 2003
32a-5 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003; 34a-15 . . . . . . . . . . . . . . . . . ad Jan. 1, 2003
am Jan. 1, 2009 34a-16 . . . . . . . . . . . . . . . . . ad Jan. 1, 2003
32a-6 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003 34a-17 . . . . . . . . . . . . . . . . . ad Jan. 1, 2003
32a-7 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003; 34a-18 . . . . . . . . . . . . . . . . . ad Jan. 1, 2003
am Jan. 1, 2010; 34a-19 . . . . . . . . . . . . . . . . . ad Jan. 1, 2003
am Jan. 1, 2013; 34a-20 . . . . . . . . . . . . . . . . . ad Jan. 1, 2003
am Jan. 1, 2014 34a-21 . . . . . . . . . . . . . . . . . ad Jan. 1, 2003;
32a-8 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003 am Jan. 1, 2011
32a-9 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2009 34a-22 . . . . . . . . . . . . . . . . . ad Jan. 1, 2003
33-1 . . . . . . . . . . . . . . . . . . . rp Jan. 1, 2003 34a-23 . . . . . . . . . . . . . . . . . ad Jan. 1, 2003
33-2 . . . . . . . . . . . . . . . . . . . rp Jan. 1, 2003 35-1 . . . . . . . . . . . . . . . . . . . rp Jan. 1, 2003
33-3 . . . . . . . . . . . . . . . . . . . rp Jan. 1, 2003 35-2 . . . . . . . . . . . . . . . . . . . rp Jan. 1, 2003
33-4 . . . . . . . . . . . . . . . . . . . rp Jan. 1, 2003 35-3 . . . . . . . . . . . . . . . . . . . rp Jan. 1, 2003
33-5 . . . . . . . . . . . . . . . . . . . rp Jan. 1, 2003 35-4 . . . . . . . . . . . . . . . . . . . rp Jan. 1, 2003
33-6 . . . . . . . . . . . . . . . . . . . rp Jan. 1, 2003 35-5 . . . . . . . . . . . . . . . . . . . rp Jan. 1, 2003
33-7 . . . . . . . . . . . . . . . . . . . rp Jan. 1, 2003 35a (title) . . . . . . . . . . . . . . . . am Jan. 1, 2013
33-8 . . . . . . . . . . . . . . . . . . . rp Jan. 1, 2003 35a-1 (title) . . . . . . . . . . . . . . . am Jan. 1, 2009
33-9 . . . . . . . . . . . . . . . . . . . rp Jan. 1, 2003 35a-1 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003;
33-10 . . . . . . . . . . . . . . . . . . rp Jan. 1, 2003 am Jan. 1, 2009;
33-11 . . . . . . . . . . . . . . . . . . rp Jan. 1, 2003 am Jan. 1, 2012;
33-12 . . . . . . . . . . . . . . . . . . rp Jan. 1, 2003 am Jan. 1, 2013;
33-13 . . . . . . . . . . . . . . . . . . rp Jan. 1, 2003 am Jan. 1, 2015
33a-1 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003 35a-1A . . . . . . . . . . . . . . . . . ad Jan. 1, 2009
33a-2 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003; 35a-1B . . . . . . . . . . . . . . . . . ad Jan. 1, 2009
am Jan. 1, 2009; 35a-2 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003;
am Jan. 1, 2013 am Jan. 1, 2009
33a-3 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003; 35a-3 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003;
am Jan. 1, 2009 am Jan. 1, 2009;
33a-4 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003; am Jan. 1, 2013
am Jan. 1, 2009 35a-4 (title) . . . . . . . . . . . . . . . am Jan. 1, 2012
33a-5 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003 35a-4 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003;
33a-6 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003; am Jan. 1, 2009;
am Jan. 1, 2009; am Jan. 1, 2012
33a-7 (title) . . . . . . . . . . . . . . . am Jan. 1, 2009 35a-5 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003;
33a-7 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003; am Jan. 1, 2009
am Jan. 1, 2009; 35a-6 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003;
am Jan. 1, 2011; am Jan. 1, 2009
am Jan. 1, 2012; 35a-6A . . . . . . . . . . . . . . . . . ad Jan. 1, 2009
am Jan. 1, 2013 35a-7 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003
33a-8 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003; 35a-7A . . . . . . . . . . . . . . . . . ad Jan. 1, 2009
am Jan. 1, 2009 35a-8 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003;
34-1 . . . . . . . . . . . . . . . . . . . rp Jan. 1, 2003 am Jan. 1, 2009;
34-2 . . . . . . . . . . . . . . . . . . . rp Jan. 1, 2003 am Jan. 1, 2011
34-3 . . . . . . . . . . . . . . . . . . . rp Jan. 1, 2003 35a-9 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003;
34-4 . . . . . . . . . . . . . . . . . . . rp Jan. 1, 2003 am Jan. 1, 2009
34a (title) . . . . . . . . . . . . . . . . am Jan. 1, 2013 35a-10 . . . . . . . . . . . . . . . . . ad Jan. 1, 2003;
34a-1 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003; am Jan. 1, 2014
555

35a-11 . . . . . . . . . . . . . . . . . ad Jan. 1, 2003 42-49 (title) . . . . . . . . . . . . . . . am July 1, 2003
35a-12 . . . . . . . . . . . . . . . . . ad Jan. 1, 2003; 42-49 . . . . . . . . . . . . . . . . . . am Jan. 1, 2000;
am Jan. 1, 2009 am July 1, 2003;
35a-12A . . . . . . . . . . . . . . . . ad Jan. 1, 2012 am Jan. 1, 2005
35a-13 . . . . . . . . . . . . . . . . . ad Jan. 1, 2003; 42-49A . . . . . . . . . . . . . . . . . ad July 1, 2003;
am Jan. 1, 2009 am Jan. 1, 2005
35a-14 (title) . . . . . . . . . . . . . . am Jan. 1, 2009 43-7 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2007
35a-14 . . . . . . . . . . . . . . . . . ad Jan. 1, 2003; 43-9 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2009
am Jan. 1, 2009; 43-29A . . . . . . . . . . . . . . . . . ad Jan. 1, 2002
am Jan. 1, 2012 43-38 . . . . . . . . . . . . . . . . . . am Jan. 1, 2004
35a-14A (title) . . . . . . . . . . . . . am Jan. 1, 2012 44-10 . . . . . . . . . . . . . . . . . . am Mar. 12, 2007
35a-14A . . . . . . . . . . . . . . . . ad Jan. 1, 2009; 44-10A . . . . . . . . . . . . . . . . . ad Mar. 12, 2007;
am Jan. 1, 2012 am Jan. 1, 2012
35a-15 . . . . . . . . . . . . . . . . . ad Jan. 1, 2003; 44-19 . . . . . . . . . . . . . . . . . . am Jan. 1, 2006
am Jan. 1, 2009 44-37 . . . . . . . . . . . . . . . . . . am Jan. 1, 2002
35a-16 . . . . . . . . . . . . . . . . . ad Jan. 1, 2003; 60-2 . . . . . . . . . . . . . . . . . . . am July 1, 2013
am Jan. 1, 2009 60-4 . . . . . . . . . . . . . . . . . . . am July 1, 2013;
35a-17 . . . . . . . . . . . . . . . . . ad Jan. 1, 2003; am Jan. 1, 2016
rp Jan. 1, 2009 60-5 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2016
35a-18 . . . . . . . . . . . . . . . . . ad Jan. 1, 2003; 60-7 . . . . . . . . . . . . . . . . . . . ad Jan. 1, 2016
am Jan. 1, 2009; 60-8 . . . . . . . . . . . . . . . . . . . ad Jan. 1, 2016
am Jan. 1, 2014 60-9 . . . . . . . . . . . . . . . . . . . ad Jan. 1, 2016
35a-19 . . . . . . . . . . . . . . . . . ad Jan. 1, 2003; 61-4 (title) . . . . . . . . . . . . . . . am Jan. 1, 1999
am Jan. 1, 2009; 61-4 . . . . . . . . . . . . . . . . . . . am Jan. 1, 1999;
am Jan. 1, 2011 am Jan. 1, 2016
35a-20 (title) . . . . . . . . . . . . . . am Jan. 1, 2009; 61-5 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2016
35a-20 . . . . . . . . . . . . . . . . . ad Jan. 1, 2003; 61-6 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2001;
am Jan. 1, 2009; am Jan. 1, 2009
am Jan. 1, 2012 am Jan. 1, 2016
35a-21 . . . . . . . . . . . . . . . . . ad Jan. 1, 2003; 61-7 . . . . . . . . . . . . . . . . . . . am July 1, 2013
am Jan. 1, 2009; am Jan. 1, 2016
am Jan. 1, 2011; 61-8 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2016
am Jan. 1, 2013 61-9 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2010;
35a-22 . . . . . . . . . . . . . . . . . ad Jan. 1, 2012 am Jan. 1, 2013;
35a-23 . . . . . . . . . . . . . . . . . ad Jan. 1, 2014 am July 1, 2013;
36-2 . . . . . . . . . . . . . . . . . . . am July 1, 2003; am Aug. 1, 2014
am Jan. 1, 2005; 61-10 . . . . . . . . . . . . . . . . . . am Jan. 1, 2013;
am Jan. 1, 2010 am July 1, 2013;
37-12 . . . . . . . . . . . . . . . . . . am Jan. 1, 2008; 61-11 . . . . . . . . . . . . . . . . . . am Jan. 1, 2000;
am Jan. 1, 2010 am Jan. 1, 2001;
38-3 . . . . . . . . . . . . . . . . . . . am Jan. 1, 1999; am Jan. 1, 2002;
am Jan. 1, 2014 am Jan. 1, 2005;
38-4 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2006; am Jan. 1, 2013;
am Jan. 1, 2007; am Oct. 1, 2013;
am Jan. 1, 2013 am Jan. 1, 2016
38-9 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2004 61-12 (title) . . . . . . . . . . . . . . . am Jan. 1, 2000
38-10 . . . . . . . . . . . . . . . . . . rp Jan. 1, 2006 61-12 . . . . . . . . . . . . . . . . . . am Jan. 1, 2000;
40-10 . . . . . . . . . . . . . . . . . . am Jan. 1, 2010 am Jan. 1, 2013;
40-11 . . . . . . . . . . . . . . . . . . am Jan. 1, 2010; 61-13 (title) . . . . . . . . . . . . . . . am Jan. 1, 2000
am Jan. 1, 2016 61-13 . . . . . . . . . . . . . . . . . . am Jan. 1, 2000;
40-13 . . . . . . . . . . . . . . . . . . am Jan. 1, 2010; am Jan. 1, 2016
40-13A . . . . . . . . . . . . . . . . . am Jan. 1, 2010 61-14 . . . . . . . . . . . . . . . . . . am Jan. 1, 1999;
40-14 . . . . . . . . . . . . . . . . . . am Jan. 1, 2010 am Jan. 1, 2016
42-8 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2013 61-15 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2000
42-10 . . . . . . . . . . . . . . . . . . am Jan. 1, 2002 61-16 . . . . . . . . . . . . . . . . . . am Oct. 1, 2002;
42-12 . . . . . . . . . . . . . . . . . . am Jan. 1, 2010 am Jan. 1, 2016
42-19 . . . . . . . . . . . . . . . . . . am Jan. 1, 2002 62-2 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2016
42-34 . . . . . . . . . . . . . . . . . . am Jan. 1, 2009 62-3 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2016
556

62-6 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2016 am Mar. 1, 2009;
62-7 . . . . . . . . . . . . . . . . . . . am Jan. 1, 1999; am Jan. 1, 2016
am Oct. 1, 2002; 66-2 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2013;
am Jan. 1, 2004; am Jan. 1, 2016
am July 1, 2013; 66-2A . . . . . . . . . . . . . . . . . . am Jan. 1, 2010
am Sept. 1, 2014; rp Jan. 1, 2016
am Jan. 1, 2016 66-3 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2003;
62-8 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2005; am Jan. 1, 2004
am Jan. 1, 2007; am Jan. 1, 2016
am Jan. 1, 2008; 66-4 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2012
am Jan. 1, 2016 66-5 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2000;
62-8A . . . . . . . . . . . . . . . . . . ad Jan. 1, 2007; am Oct. 1, 2002;
am Jan. 1, 2008; am July 1, 2013
am Oct. 1, 2013; am Jan. 1, 2016
am Jan. 1, 2016 66-6 . . . . . . . . . . . . . . . . . . . am Nov. 1, 2002;
62-9 . . . . . . . . . . . . . . . . . . . am Mar. 1, 2009 am Jan. 1, 2006
62-9A (title). . . . . . . . . . . . . . . am Mar. 1, 2009 66-7 . . . . . . . . . . . . . . . . . . . am July 1, 2013
62-9A . . . . . . . . . . . . . . . . . . ad Jan. 1, 2005; am Jan. 1, 2016
am Mar. 1, 2009 67-1 . . . . . . . . . . . . . . . . . . . am July 1, 2013;
am Jan. 1, 2016 am Sept. 1, 2014
62-10 . . . . . . . . . . . . . . . . . . am Jan. 1, 2005 am Jan. 1, 2016
63-1 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2000; 67-2 (title) . . . . . . . . . . . . . . . am Mar. 1, 2009;
am Jan. 1, 2005; am July 1, 2013
am Jan. 1, 2006; 67-2 . . . . . . . . . . . . . . . . . . . am Sept. 1, 2001;
am Jan. 1, 2009; am Mar. 1, 2009;
am Jan. 1, 2016 am July 1, 2013;
63-2 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2016 am Sept. 1, 2014;
am Jan. 1, 2016 67-3 (title) . . . . . . . . . . . . . . . am July 1, 2013;
63-3 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2010; 67-3 . . . . . . . . . . . . . . . . . . . am July 1, 2013;
am May 1, 2010; am Jan. 1, 2016
am Oct. 1, 2013 67-4 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2000;
63-3A . . . . . . . . . . . . . . . . . . ad Oct. 1, 2013; am Oct. 1, 2002;
rp Jan. 1, 2016 am Jan. 1, 2010;
63-4 . . . . . . . . . . . . . . . . . . . am Nov. 1, 2002; am July 1, 2013
am Jan. 1, 2004; 67-5 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2000;
am Jan. 1, 2008; am Oct. 1, 2002;
am Jan. 1, 2012; am Jan. 1, 2006;
am July 1, 2013; am Jan. 1, 2010;
am Jan. 1, 2016 am July 1, 2013
63-5 . . . . . . . . . . . . . . . . . . . rp Jan. 1, 2016 67-7 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2009;
63-6 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2000; am Jan. 1, 2016
am Jan. 1, 2006; 67-8 (title) . . . . . . . . . . . . . . . am July 1, 2013
am Sept. 1, 2014; 67-8 . . . . . . . . . . . . . . . . . . . am Mar. 1, 2009;
am Jan. 1, 2016 am July 1, 2013;
63-7 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2000 am Jan. 1, 2016
am Jan. 1, 2016 67-8A . . . . . . . . . . . . . . . . . . ad July 1, 2013;
63-8 . . . . . . . . . . . . . . . . . . . am Nov. 1, 2002; 67-9 . . . . . . . . . . . . . . . . . . . rp July 1, 2013
am Jan. 1, 2013 67-10 . . . . . . . . . . . . . . . . . . am Jan. 1, 2009
63-8A . . . . . . . . . . . . . . . . . . ad Nov. 1, 2002; 67-11 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2000
63-9 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2016 67-12 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2000;
63-10 . . . . . . . . . . . . . . . . . . am Jan. 1, 2000; am Jan. 1, 2016
am Jan. 1, 2012; 67-13 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2005
am Jan. 1, 2016 68 (title). . . . . . . . . . . . . . . . . am July 1, 2013
64-1 . . . . . . . . . . . . . . . . . . . am Jan. 1, 1999; 68-1 (title) . . . . . . . . . . . . . . . am Jan. 1, 1999;
am Jan. 1, 2016 am Jan. 1, 2016
65-1 . . . . . . . . . . . . . . . . . . . am July 1, 2013 68-1 . . . . . . . . . . . . . . . . . . . am Jan. 1, 1999;
65-2 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2016 am Oct. 1, 2002;
65-4 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2016 am Jan. 1, 2010;
66-1 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2000; am Mar. 1, 2013;
am Jan. 1, 2006; am July 1, 2013;
557

am Jan. 1, 2016 74-3 . . . . . . . . . . . . . . . . . . . rp Jan. 1, 2016
68-2 . . . . . . . . . . . . . . . . . . . rp July 1, 2013 74-3A . . . . . . . . . . . . . . . . . . ad Jan. 1, 2016
68-3 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2002; 74-6 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2016
rp July 1, 2013 74-7 . . . . . . . . . . . . . . . . . . . tr Jan. 1, 2016
68-4 . . . . . . . . . . . . . . . . . . . rp July 1, 2013 74-8 . . . . . . . . . . . . . . . . . . . tr Jan. 1, 2016
68-5 . . . . . . . . . . . . . . . . . . . rp July 1, 2013 75-1 (title) . . . . . . . . . . . . . . . am Jan. 1, 2016
68-6 . . . . . . . . . . . . . . . . . . . rp July 1, 2013 75-1 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2016
68-7 . . . . . . . . . . . . . . . . . . . ad Jan. 1, 2005; 75-2 . . . . . . . . . . . . . . . . . . . rp Jan. 1, 2016
rp July 1, 2013 75-3 . . . . . . . . . . . . . . . . . . . rp Jan. 1, 2016
68-8 . . . . . . . . . . . . . . . . . . . rp July 1, 2013 75-4 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2016
68-9 . . . . . . . . . . . . . . . . . . . rp July 1, 2013 75-6 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2016
68-10 . . . . . . . . . . . . . . . . . . rp July 1, 2013 76-2 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2016
68-11 . . . . . . . . . . . . . . . . . . rp July 1, 2013 76-3 (title) . . . . . . . . . . . . . . . am July 1, 2013
69-1 (title) . . . . . . . . . . . . . . . am Jan. 1, 2016 76-3 . . . . . . . . . . . . . . . . . . . am July 1, 2013;
69-1 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2016 am Jan. 1, 2016
69-2 . . . . . . . . . . . . . . . . . . . am Jan. 1, 1999; 76-4 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2016
am July 1, 2013; 76-5 (title) . . . . . . . . . . . . . . . am Jan. 1, 2016
am Jan. 1, 2016 76-5 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2000;
69-3 . . . . . . . . . . . . . . . . . . . am Mar. 1, 2009; 76-5A . . . . . . . . . . . . . . . . . . ad Jan. 1, 2016
am Jan. 1, 2016 76-6 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2016
70-1 (title) . . . . . . . . . . . . . . . am Jan. 1, 2012 77-1 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2000
70-1 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2012; am Jan. 1, 2016
am July 1, 2013; 77-2 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2004
am Jan. 1, 2016 78a-1 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2006
70-2 (title) . . . . . . . . . . . . . . . am Jan. 1, 2012 79-1 . . . . . . . . . . . . . . . . . . . rp Jan. 1, 2013
70-2 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2012; 79-2 . . . . . . . . . . . . . . . . . . . rp Jan. 1, 2013
am Jan. 1, 2016 79-3 . . . . . . . . . . . . . . . . . . . rp Jan. 1, 2013
70-4 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2016 79-4 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2004;
70-7 (title) . . . . . . . . . . . . . . . am Jan. 1, 2000 rp Jan. 1, 2013
70-7 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2000 79-5 . . . . . . . . . . . . . . . . . . . ad Jan. 1, 2005;
70-8 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2002 rp Jan. 1, 2013
70-9 (title) . . . . . . . . . . . . . . . am June 1, 2007 79a-6 (title) . . . . . . . . . . . . . . . am July 1, 2013
70-9 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2004; 79a-6 . . . . . . . . . . . . . . . . . . am July 1, 2013
am June 1, 2007; 79a (title) . . . . . . . . . . . . . . . . ad Jan. 1, 2013
am Jan. 1, 2016 79a-1 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2013
70-10 (title) . . . . . . . . . . . . . . . am Jan. 1, 2004 79a-2 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2013;
70-10 . . . . . . . . . . . . . . . . . . am Jan. 1, 2004; am Aug. 1, 2014
rp June 1, 2007 am Jan. 1, 2016
71-1 . . . . . . . . . . . . . . . . . . . am Mar. 1, 2009 79a-3 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2013
71-2 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2000 am Jan. 1, 2016
71-4 (title) . . . . . . . . . . . . . . . am Mar. 1, 2009 79a-4 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2013
71-4 . . . . . . . . . . . . . . . . . . . am Mar. 1, 2009 79a-5 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2013
71-5 (title) . . . . . . . . . . . . . . . am Jan. 1, 2000 79a-6 (title) . . . . . . . . . . . . . . . am July 1, 2013
71-5 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2000; 79a-6 . . . . . . . . . . . . . . . . . . ad Feb. 1, 2012;
am Jan. 1, 2016 am July 1, 2013
71-6 (title) . . . . . . . . . . . . . . . am Jan. 1, 2000 79a-7 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2013
71-6 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2000 79a-8 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2013;
71-7 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2000; am Jan. 1, 2016
am Jan. 1, 2016 79a-9 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2013;
72-1 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2004 am July 1, 2013;
72-2 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2016 am Jan. 1, 2016
72-3 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2004; 79a-10 . . . . . . . . . . . . . . . . . ad Jan. 1, 2013;
am July 1, 2013 am Jan. 1, 2016
72-4 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2004 79a-11 . . . . . . . . . . . . . . . . . ad Jan. 1, 2013
73-1 (title) . . . . . . . . . . . . . . . am Jan. 1, 2016 79a-12 . . . . . . . . . . . . . . . . . ad Jan. 1, 2013
73-1 . . . . . . . . . . . . . . . . . . . am July 1, 2013; 79a-13 . . . . . . . . . . . . . . . . . ad Jan. 1, 2013
am Jan. 1, 2016 79a-14 . . . . . . . . . . . . . . . . . ad Jan. 1, 2013
73-2 . . . . . . . . . . . . . . . . . . . ad Jan. 1, 2016 79a-15 . . . . . . . . . . . . . . . . . ad Jan. 1, 2013
73-3 . . . . . . . . . . . . . . . . . . . ad Jan. 1, 2016 80-1 . . . . . . . . . . . . . . . . . . . am Jan. 1, 1999;
73-4 . . . . . . . . . . . . . . . . . . . ad Jan. 1, 2016 am Jan. 1, 2005
74 (title). . . . . . . . . . . . . . . . . am Jan. 1, 2016 81-1 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2005;
74-2 . . . . . . . . . . . . . . . . . . . rp Jan. 1, 2016 am Jan. 1, 2016
74-2A . . . . . . . . . . . . . . . . . . ad Jan. 1, 2016 81-2 . . . . . . . . . . . . . . . . . . . am Jan. 1, 1999;
558

am April 15, 2002; 84-11 . . . . . . . . . . . . . . . . . . am Jan. 1, 2000;
am Jan. 1, 2004; am Jan. 1, 2016
am Jan. 1, 2013; 84a-1 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2006
81-3 . . . . . . . . . . . . . . . . . . . am April 15, 2002; 84a-2 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2006;
am Jan. 1, 2004; am Jan. 1, 2016
am Jan. 1, 2007; 84a-3 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2006
am Jan. 1, 2016 84a-4 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2006
81-4 . . . . . . . . . . . . . . . . . . . am Oct. 1, 2002; 84a-5 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2006
am Jan. 1, 2016 84a-6 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2006
81-6 . . . . . . . . . . . . . . . . . . . am Oct. 1, 2002 85-3 . . . . . . . . . . . . . . . . . . . am April 19, 2013
am Jan. 1, 2016 86-1 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2005
82-1 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2005 am Jan. 1, 2016
82-2 . . . . . . . . . . . . . . . . . . . rp Jan. 1, 2005 Form 201 . . . . . . . . . . . . . . . . am Jan. 1, 2005;
82-3 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2005 am Jan. 1, 2008;
am Jan. 1, 2016 am Jan. 1, 2014;
82-4 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2016 am Jan. 1, 2015
82-5 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2016 Form 202 . . . . . . . . . . . . . . . . am Jan. 1, 2005;
82-6 (title) . . . . . . . . . . . . . . . am July 1, 2013 am Jan. 1, 2008;
82-6 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2005; am Jan. 1, 2014;
am July 1, 2013; am Jan. 1, 2015
am Jan. 1, 2016 Form 203 . . . . . . . . . . . . . . . . am Jan. 1, 2006;
82-8 . . . . . . . . . . . . . . . . . . . ad Jan. 1, 2006 am Jan. 1, 2008;
83-1 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2001; am Jan. 1, 2010;
am April 19, 2013; am Jan. 1, 2014;
am Jan. 1, 2016 am Jan. 1, 2015
83-2 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2016 Form 204 . . . . . . . . . . . . . . . . am Jan. 1, 2005;
84-1 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2016 am Jan. 1, 2006;
84-3 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2016 am Jan. 1, 2008;
84-4 . . . . . . . . . . . . . . . . . . . am Jan. 1, 1999; am Jan. 1, 2014;
am Jan. 1, 2000; am Jan. 1, 2015
am Jan. 1, 2007; Form 205 . . . . . . . . . . . . . . . . am Jan. 1, 2005;
am Jan. 1, 2013; am Jan. 1, 2006;
am Oct. 1, 2013; am Jan. 1, 2008;
am Jan. 1, 2016 am Jan. 1, 2012;
84-5 . . . . . . . . . . . . . . . . . . . am Jan. 1, 1999; am Jan. 1, 2014;
am Jan. 1, 2002; am Jan. 1, 2015
Form 206 . . . . . . . . . . . . . . . . am Jan. 1, 2008;
am April 15, 2002;
am Jan. 1, 2014;
am Jan. 1, 2004;
am Jan. 1, 2015
am Jan. 1, 2016 Form 207 . . . . . . . . . . . . . . . . ad Aug. 1, 2010;
84-6 . . . . . . . . . . . . . . . . . . . am April 15, 2002; am Jan. 1, 2015
am Jan. 1, 2004; Form 208 . . . . . . . . . . . . . . . . ad Jan. 1, 2014;
am Jan. 1, 2007; am Jan. 1, 2015
am Jan. 1, 2016 Form 209 . . . . . . . . . . . . . . . . ad Jan. 1, 2014;
84-8 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2016 am Jan. 1, 2015
84-9 (title) . . . . . . . . . . . . . . . am Jan. 1, 2016 Form 210 . . . . . . . . . . . . . . . . ad Jan. 1, 2014;
84-9 . . . . . . . . . . . . . . . . . . . am Oct. 1, 2002; am Jan. 1, 2015
am Jan. 1, 2016 Form 211 . . . . . . . . . . . . . . . . ad Jan. 1, 2014;
84-10 . . . . . . . . . . . . . . . . . . rp July 1, 2013 am Jan. 1, 2015
559
STATUTES NOTED
STATUTES NOTED
Wherever a statute has been mentioned in the rules of practice in this volume, it is noted in this table. The
abbreviation Ch. signifies chapter.
Statutes P.B. 2016 Statutes P.B. 2016

1-23 . . . . . . . . . . . . . . . . . . . . . . . . . 16-3 29-18a . . . . . . . . . . . . . . . . . . . . . . . 44-37
16-8 29-19 . . . . . . . . . . . . . . . . . . . . . . . . 44-37
42-11 31-290a . . . . . . . . . . . . . . . . . . . . . . . 76-1
42-14 76-2
1-25 . . . . . . . . . . . . . . . . . . . . . . . . . 16-3 76-3
16-8 76-4
42-11 76-6
42-14 84-4
1-210 et seq. . . . . . . . . . . . . . . . . . . . 14-7B 31-290a (b) . . . . . . . . . . . . . . . . . . . . . 66-6
Ch. 54 . . . . . . . . . . . . . . . . . . . . . . . . 14-5 76-1
4-177 (d) . . . . . . . . . . . . . . . . . . . . . . 14-7A Ch. 669 . . . . . . . . . . . . . . . . . . . . . . . 24-6
4-183 et seq. . . . . . . . . . . . . . . . . . . . . . 8-1 38a-139 . . . . . . . . . . . . . . . . . . . . . . . 14-7
14-6 67-8A*
14-7A 68-10**
4-183 (c) . . . . . . . . . . . . . . . . . . . . . . . . 8-1 45a-79b . . . . . . . . . . . . . . . . . . . . . . 19-3A
14-7A 45a-186 . . . . . . . . . . . . . . . . . . . . . . 19-3A
4-183 (g), (h), (i) . . . . . . . . . . . . . . . . . 14-7A 45a-186 to 45a-193. . . . . . . . . . . . . . . . 10-76
Ch. 124 . . . . . . . . . . . . . . . . . . . . . . . 81-1 45a-611 . . . . . . . . . . . . . . . . . . . . . 35a-19
Ch. 124 through 134 . . . . . . . . . . . . . . . . 14-5 45a-612 . . . . . . . . . . . . . . . . . . . . . 35a-19
8-8 . . . . . . . . . . . . . . . . . . . . . . . . . 14-7B 45a-619 . . . . . . . . . . . . . . . . . . . . . 35a-19
8-8 (i). . . . . . . . . . . . . . . . . . . . . . . . 14-7B 45a-719 . . . . . . . . . . . . . . . . . . . . . 35a-18
8-8 (k) . . . . . . . . . . . . . . . . . . . . . . . 14-7B 45a-757 . . . . . . . . . . . . . . . . . . . . . . . 7-14
8-132 . . . . . . . . . . . . . . . . . . . . . . . . 17-14 46a-33a . . . . . . . . . . . . . . . . . . . . . . . 16-1
17-18 42-10
12-103 . . . . . . . . . . . . . . . . . . . . . . . . 14-7 46b-1 . . . . . . . . . . . . . . . . . . . . . . . . 1-10B
67-8A* 5-11
68-10** 25-1
12-117a . . . . . . . . . . . . . . . . . . . . . . . 14-7 46b-11 . . . . . . . . . . . . . . . . . . . . . . . . 77-1
67-8A* 46b-15 . . . . . . . . . . . . . . . . . . . . . . . . . 4-5
68-10** 7-11
12-119 . . . . . . . . . . . . . . . . . . . . . . . . 14-7 25-1
67-8A* 61-11
68-10** 46b-38c . . . . . . . . . . . . . . . . . . . . . . . 5-11
Title 14 . . . . . . . . . . . . . . . . . . . . . . . 44-25 46b-49 . . . . . . . . . . . . . . . . . . . . . . . . 77-1
14-219 (e) . . . . . . . . . . . . . . . . . . . . . 44-23 46b-81 . . . . . . . . . . . . . . . . . . . . . . . 61-11
17a-28 . . . . . . . . . . . . . . . . . . . . . . 34a-20 46b-83 . . . . . . . . . . . . . . . . . . . . . . . 61-11
17a-75 . . . . . . . . . . . . . . . . . . . . . . 31a-15 46b-115 . . . . . . . . . . . . . . . . . . . . . . 25-57
17a-101 through 17a-101e. . . . . . . . . . . 31a-14 46b-120 . . . . . . . . . . . . . . . . . . . . . . . 26-1
27-4A
17a-101g. . . . . . . . . . . . . . . . . . . . . 35a-14
46b-121 . . . . . . . . . . . . . . . . . . . . . . 1-10B
17a-110 (b) . . . . . . . . . . . . . . . . . . . . . 26-1
26-1
17a-111b (b). . . . . . . . . . . . . . . . . . . 35a-15
34a-1
17a-111b (c). . . . . . . . . . . . . . . . . . . . . 26-1
46b-121(a) . . . . . . . . . . . . . . . . . . . . 35a-22
17a-274 (b), (g), (h). . . . . . . . . . . . . . . 31a-15
46b-122 . . . . . . . . . . . . . . . . . . . . . . . 26-1
17a-685 . . . . . . . . . . . . . . . . . . . . . . . 7-11 77-1
43-40 46b-127 . . . . . . . . . . . . . . . . . . . . . 31a-12
17b-27 . . . . . . . . . . . . . . . . . . . . . . . 33a-7 46b-128 . . . . . . . . . . . . . . . . . . . . . . 29-1A
17b-450 . . . . . . . . . . . . . . . . . . . . . 31a-14 29-2
17b-451 . . . . . . . . . . . . . . . . . . . . . 31a-14 46b-128 (b) . . . . . . . . . . . . . . . . . . . . 30-10
19a-131a. . . . . . . . . . . . . . . . . . . . . . . 1-9B 46b-129 . . . . . . . . . . . . . . . . . . . . . . . . 4-5
Ch. 440 . . . . . . . . . . . . . . . . . . . . . . . 81-1 35a-4
22a-43 . . . . . . . . . . . . . . . . . . . . . . . 14-7B 35a-5
26-5 . . . . . . . . . . . . . . . . . . . . . . . . 44-37 46b-129 (c) . . . . . . . . . . . . . . . . . . . . 33a-7
28-9 . . . . . . . . . . . . . . . . . . . . . . . . . 1-9B 35a-4
29-18 . . . . . . . . . . . . . . . . . . . . . . . . 44-37 46b-129 (d) . . . . . . . . . . . . . . . . . . . . 35a-4
* Applicable to appeals filed on or after July 1, 2013.
** Applicable to appeals filed before July 1, 2013.
560
STATUTES NOTED

46b-129 (k) . . . . . . . . . . . . . . . . . . . . . 26-1 44-10A
35a-14 51-197a . . . . . . . . . . . . . . . . . . . . . . 24-28
46b-129 (k) (2) . . . . . . . . . . . . . . . . . 35a-14 51-199 (c) . . . . . . . . . . . . . . . . . . . . . . 65-1
46b-129 (o) . . . . . . . . . . . . . . . . . . . 35a-22 65-3
46b-129 (p) . . . . . . . . . . . . . . . . . . . 35a-22 76-5
46b-129 (m) . . . . . . . . . . . . . . . . . . . 35a-14 51-199b . . . . . . . . . . . . . . . . . . . . . . . 82-1
46b-129a (2). . . . . . . . . . . . . . . . . . . . 33a-7 82-8
46b-133 . . . . . . . . . . . . . . . . . . . . . . 30-1A 51-213 . . . . . . . . . . . . . . . . . . . . . . 79a-11
46b-133 (a), (b), (c), (d) . . . . . . . . . . . . . 29-1A 51-215a . . . . . . . . . . . . . . . . . . . . . 79a-11
46b-133 (e) . . . . . . . . . . . . . . . . . . . . . 30-6 51-296 . . . . . . . . . . . . . . . . . . . . . . . 23-26
46b-133 (g) . . . . . . . . . . . . . . . . . . . . 30-10 44-4
46b-133b. . . . . . . . . . . . . . . . . . . . . . . 26-1 51-297 (g) . . . . . . . . . . . . . . . . . . . . . . 37-6
46b-133e. . . . . . . . . . . . . . . . . . . . . . . 26-1 51-345 . . . . . . . . . . . . . . . . . . . . . . . . 24-4
46b-136 . . . . . . . . . . . . . . . . . . . . . . 33a-7 51-345 (d) . . . . . . . . . . . . . . . . . . . . . . 24-4
35a-4 51-345 (g) . . . . . . . . . . . . . . . . . . . . . . 24-4
46b-140 . . . . . . . . . . . . . . . . . . . . . . 30a-5 51-346 . . . . . . . . . . . . . . . . . . . . . . . . 24-4
31a-15 51-347 . . . . . . . . . . . . . . . . . . . . . . . . 24-4
46b-141 . . . . . . . . . . . . . . . . . . . . . . . 26-1 51-347b . . . . . . . . . . . . . . . . . . . . . . . 12-1
30a-5 12-3
46b-149 . . . . . . . . . . . . . . . . . . . . . . . 26-1 52-11 . . . . . . . . . . . . . . . . . . . . . . . . . 9-24
29-1B 52-48 . . . . . . . . . . . . . . . . . . . . . . . . . 14-6
30-2A 52-52 . . . . . . . . . . . . . . . . . . . . . . . . . 11-7
31a-21 52-69 . . . . . . . . . . . . . . . . . . . . . . . . . . 9-1
46b-149 (d) . . . . . . . . . . . . . . . . . . . . . 29-2 52-73a . . . . . . . . . . . . . . . . . . . . . . . . 9-25
46b-149 (g) . . . . . . . . . . . . . . . . . . . . . 27-9 52-78 . . . . . . . . . . . . . . . . . . . . . . . . . 9-12
46b-149 (h) . . . . . . . . . . . . . . . . . . . . 30a-5 52-86 . . . . . . . . . . . . . . . . . . . . . . . . . 3-13
46b-149 (j) . . . . . . . . . . . . . . . . . . . . . . 26-1 52-87 . . . . . . . . . . . . . . . . . . . . . . . . . . 9-1
46b-151h. . . . . . . . . . . . . . . . . . . . . . 30-2A 52-88 . . . . . . . . . . . . . . . . . . . . . . . . . . 9-2
46b-172 . . . . . . . . . . . . . . . . . . . . . . 33a-7 52-91 . . . . . . . . . . . . . . . . . . . . . . . . 10-20
46b-172 (a) (2) . . . . . . . . . . . . . . . . . 25a-17 52-97 . . . . . . . . . . . . . . . . . . . . . . . . 10-21
46b-172a. . . . . . . . . . . . . . . . . . . . . . . 26-1 52-99 . . . . . . . . . . . . . . . . . . . . . . . . . 10-5
46b-180 through 46b-211 . . . . . . . . . . . . . 7-11 52-101 . . . . . . . . . . . . . . . . . . . . . . . . . 9-3
46b-212 through 46b-213w . . . . . . . . . . . . 7-11 52-102 . . . . . . . . . . . . . . . . . . . . . . . . . 9-6
25a-27 52-106 . . . . . . . . . . . . . . . . . . . . . . . . 9-11
46b-215a. . . . . . . . . . . . . . . . . . . . . 25a-30 52-107 . . . . . . . . . . . . . . . . . . . . . . . . 9-18
46b-215b. . . . . . . . . . . . . . . . . . . . . 25a-30 52-108 . . . . . . . . . . . . . . . . . . . . . . . . 9-19
46b-220 through 46b-223 . . . . . . . . . . . . . 2-46 52-109 . . . . . . . . . . . . . . . . . . . . . . . . 9-20
46b-231 . . . . . . . . . . . . . . . . . . . . . 25a-29 52-110 . . . . . . . . . . . . . . . . . . . . . . . . 9-21
46b-231(s) (4) . . . . . . . . . . . . . . . . . . 25a-18 52-114 . . . . . . . . . . . . . . . . . . . . . . . 10-53
47-33 . . . . . . . . . . . . . . . . . . . . . . . . . . 9-1 52-115 . . . . . . . . . . . . . . . . . . . . . . . 10-73
47a-14h . . . . . . . . . . . . . . . . . . . . . . . 7-11 52-117 . . . . . . . . . . . . . . . . . . . . . . . 10-71
47a-68 . . . . . . . . . . . . . . . . . . . . . . . . . 1-7 52-118 . . . . . . . . . . . . . . . . . . . . . . . 10-72
24-4 24-24
49-17 . . . . . . . . . . . . . . . . . . . . . . . . . . 6-3 52-119 . . . . . . . . . . . . . . . . . . . . . . . 10-18
49-31l . . . . . . . . . . . . . . . . . . . . . . . 10-12 52-128 . . . . . . . . . . . . . . . . . . . . . . . 10-59
51-36a . . . . . . . . . . . . . . . . . . . . . . 31a-14 52-130 . . . . . . . . . . . . . . . . . . . . . . . 10-60
51-52 . . . . . . . . . . . . . . . . . . . . . . . . . . 7-2 52-131 . . . . . . . . . . . . . . . . . . . . . . . 10-67
51-52a (b) . . . . . . . . . . . . . . . . . . . . . . . 7-9 52-136 . . . . . . . . . . . . . . . . . . . . . . . 10-65
51-59 . . . . . . . . . . . . . . . . . . . . . . . . . 7-17 52-137 . . . . . . . . . . . . . . . . . . . . . . . 10-63
51-81c . . . . . . . . . . . . . . . . . . . . . . . . . 9-9 52-138 . . . . . . . . . . . . . . . . . . . . . . . 10-64
51-81d (f) . . . . . . . . . . . . . . . . . . . . . . 2-76 52-139 to 52-142 . . . . . . . . . . . . . . . . . 10-54
51-84 . . . . . . . . . . . . . . . . . . . . . . . . . 1-25 52-143 et seq.. . . . . . . . . . . . . . . . . . . 32a-2
5-10 52-178 . . . . . . . . . . . . . . . . . . . . . . . 13-26
85-2 52-185 . . . . . . . . . . . . . . . . . . . . . . . . . 8-3
51-88 . . . . . . . . . . . . . . . . . . . . . . . . . 2-33 8-5
2-34A 52-186 . . . . . . . . . . . . . . . . . . . . . . . . . 8-6
2-63 52-187 . . . . . . . . . . . . . . . . . . . . . . . . . 8-8
51-189 . . . . . . . . . . . . . . . . . . . . . . . . 20-3 52-188 . . . . . . . . . . . . . . . . . . . . . . . . . 8-9
51-190a . . . . . . . . . . . . . . . . . . . . . . . 20-4 52-189 . . . . . . . . . . . . . . . . . . . . . . . . 8-10
51-193l . . . . . . . . . . . . . . . . . . . . . . . . . 1-1 20-3
51-195 . . . . . . . . . . . . . . . . . . . . . . . . 43-3 52-190 . . . . . . . . . . . . . . . . . . . . . . . . 8-11
43-24 52-190a . . . . . . . . . . . . . . . . . . . . . . . 13-2
561
STATUTES NOTED

52-192a . . . . . . . . . . . . . . . . . . . . . . 17-18 52-434 . . . . . . . . . . . . . . . . . . . . . . . . . 1-1
52-193 . . . . . . . . . . . . . . . . . . . . . . . 17-11 19-3
52-194 . . . . . . . . . . . . . . . . . . . . . . . 17-12 52-434a . . . . . . . . . . . . . . . . . . . . . . 63-10
52-195 . . . . . . . . . . . . . . . . . . . . . . . 17-13 52-504 . . . . . . . . . . . . . . . . . . . . . . . . 20-2
52-196 . . . . . . . . . . . . . . . . . . . . . . . 14-23 52-506 . . . . . . . . . . . . . . . . . . . . . . . . 21-4
52-200 . . . . . . . . . . . . . . . . . . . . . . . 13-18 52-513 . . . . . . . . . . . . . . . . . . . . . . . 21-17
52-205 . . . . . . . . . . . . . . . . . . . . . . . . 15-1 52-549z . . . . . . . . . . . . . . . . . . . . . . . 19-3
52-208 . . . . . . . . . . . . . . . . . . . . . . . . . 5-6 52-549aa. . . . . . . . . . . . . . . . . . . . . . 23-66
52-209 . . . . . . . . . . . . . . . . . . . . . . . . 15-7 52-591 . . . . . . . . . . . . . . . . . . . . . . . . 14-6
52-212 . . . . . . . . . . . . . . . . . . . . . . . 17-43 52-592 . . . . . . . . . . . . . . . . . . . . . . . . 14-6
52-215 . . . . . . . . . . . . . . . . . . . . . . . 14-10 52-593 . . . . . . . . . . . . . . . . . . . . . . . . 14-6
52-216 . . . . . . . . . . . . . . . . . . . . . . . . 16-9 53a-39a . . . . . . . . . . . . . . . . . . . . . . . 43-3
52-216a . . . . . . . . . . . . . . . . . . . . . . 17-2A 53a-40c . . . . . . . . . . . . . . . . . . . . . . 61-13
52-216b . . . . . . . . . . . . . . . . . . . . . . 16-19 53a-40e . . . . . . . . . . . . . . . . . . . . . . 61-13
52-218 . . . . . . . . . . . . . . . . . . . . . . . 16-10 53a-46a . . . . . . . . . . . . . . . . . . . . . . . 67-6
52-219 . . . . . . . . . . . . . . . . . . . . . . . 16-11 53a-46b (b) . . . . . . . . . . . . . . . . . . . . . 67-6
52-221 . . . . . . . . . . . . . . . . . . . . . . . 17-34 53a-54b . . . . . . . . . . . . . . . . . . . . . . . 67-6
52-223 . . . . . . . . . . . . . . . . . . . . . . . 16-17 53a-54d . . . . . . . . . . . . . . . . . . . . . . 27-4A
52-225 . . . . . . . . . . . . . . . . . . . . . . . . 17-2 53a-70 . . . . . . . . . . . . . . . . . . . . . . . . 7-11
52-225a . . . . . . . . . . . . . . . . . . . . . . 10-78 53a-70a . . . . . . . . . . . . . . . . . . . . . . . 7-11
16-35 54-1b . . . . . . . . . . . . . . . . . . . . . . . . . 37-3
17-2A 54-2a . . . . . . . . . . . . . . . . . . . . . . . . . 38-1
52-225b . . . . . . . . . . . . . . . . . . . . . . 10-78 54-33c . . . . . . . . . . . . . . . . . . . . . . . . 7-13
52-226 . . . . . . . . . . . . . . . . . . . . . . . . 17-7 42-49A
52-227 . . . . . . . . . . . . . . . . . . . . . . . . 17-1 54-36h . . . . . . . . . . . . . . . . . . . . . . . . 7-11
52-228 . . . . . . . . . . . . . . . . . . . . . . . . 17-3 Ch. 959a . . . . . . . . . . . . . . . . . . . . . . 41-14
52-231 . . . . . . . . . . . . . . . . . . . . . . . . 17-5 54-46a . . . . . . . . . . . . . . . . . . . . . . . . 41-9
52-235a . . . . . . . . . . . . . . . . . . . . . . 17-59 54-47g . . . . . . . . . . . . . . . . . . . . . . . . 78-1
52-257 . . . . . . . . . . . . . . . . . . . . . . . . . 8-6 54-56d . . . . . . . . . . . . . . . . . . . . . . . 42-39
18-16 54-56d (j) . . . . . . . . . . . . . . . . . . . . 44-10A
18-18 54-56d (k) . . . . . . . . . . . . . . . . . . . . 44-10A
52-259b . . . . . . . . . . . . . . . . . . . . . 44-10A 54-56e . . . . . . . . . . . . . . . . . . . . . . . 43-40
63-6 54-56f . . . . . . . . . . . . . . . . . . . . . . . . 38-4
52-263 . . . . . . . . . . . . . . . . . . . . . . . . . 6-1 54-56g . . . . . . . . . . . . . . . . . . . . . . . 43-40
52-265a . . . . . . . . . . . . . . . . . . . . . . . 83-1 54-56m. . . . . . . . . . . . . . . . . . . . . . . 43-40
83-2 54-63g . . . . . . . . . . . . . . . . . . . . . . . . 65-3
83-3 54-64b . . . . . . . . . . . . . . . . . . . . . . . . 37-3
52-270 . . . . . . . . . . . . . . . . . . . . . . 31a-11 54-66 . . . . . . . . . . . . . . . . . . . . . . . . . 38-9
42-55 54-76h . . . . . . . . . . . . . . . . . . . . . . . 42-49
Ch. 903a . . . . . . . . . . . . . . . . . . . . . . . 63-4 77-1
52-278d . . . . . . . . . . . . . . . . . . . . . . 13-13 54-82c . . . . . . . . . . . . . . . . . . . . . . . 43-39
52-278e . . . . . . . . . . . . . . . . . . . . . . 13-13 54-82i . . . . . . . . . . . . . . . . . . . . . . . 40-44
52-278i . . . . . . . . . . . . . . . . . . . . . . . 13-13 44-34
52-307 . . . . . . . . . . . . . . . . . . . . . . . 13-13 54-95 . . . . . . . . . . . . . . . . . . . . . . . . . 43-2
52-308 . . . . . . . . . . . . . . . . . . . . . . . 13-13 54-102b . . . . . . . . . . . . . . . . . . . . . . 61-13
52-380a . . . . . . . . . . . . . . . . . . . . . . 10-69 54-102g . . . . . . . . . . . . . . . . . . . . . . 61-13
52-417 . . . . . . . . . . . . . . . . . . . . . . . . 23-1 54-152 . . . . . . . . . . . . . . . . . . . . . . . 44-34
52-418 . . . . . . . . . . . . . . . . . . . . . . . . 23-1 Ch. 964 . . . . . . . . . . . . . . . . . . . . . . 38-18
52-419 . . . . . . . . . . . . . . . . . . . . . . . . 23-1 54-260 . . . . . . . . . . . . . . . . . . . . . . . 61-13
562
INDEX
APPEARANCE AND ARRAIGNMENT—CRIMINAL MAT-

ADDITUR TERS — (Cont)
Motion for 16-35 Dispositions without trial, miscellaneous 39-33
ADMINISTRATIVE APPEALS Nolle prosequi, see CRIMINAL PROCEDURE, Nolle
Appendix 67-8A prosequi
Certified list of papers 14-7A Plea, see CRIMINAL PROCEDURE, Pleas
Civil rules, applicability of 14-6 Probable cause, determination of where defendant in cus-
Costs, taxation of 14-7A tody 37-12
Definition 14-5, 60-4
APPEARANCES—IN GENERAL
Designation of record 14-7A
Appeal, appearance by counsel 62-8
Disputes concerning 14-7A
Criminal appeals, hybrid representation prohibited 62-9A
Exceptions 14-7
Municipal land use, historic and resource protection Criminal appeals, removal or substitution of counsel
agencies 62-9A
Briefs 14-7B Habeas corpus appeals, hybrid representation prohibited
Certified list of papers 14-7B 62-9A
Costs, taxation of 14-7B Trial court files and motions, review of and participation
Designation of record 14-7B in by appellate counsel 62-8, 62-10
Disputes concerning 14-7B Withdrawal of appearance 62-9
Scheduling 14-7B Bail or detention hearing only, appearances for 3-6
Settlement 14-7B Civil and family cases, appearance for plaintiff 3-1
Scheduling order 14-7A Consequence of filing 3-7
Service 14-7A Creditor, when allowed to appear and defend 3-13
Duration of appearance 3-9
ADMISSIONS Electronic filing 4-4
See DISCOVERY AND DEPOSITIONS—CIVIL; PLEAD- Family matters 25-6
INGS, CIVIL ACTIONS Failure to appear, consequences of 25-51, 25-52
ADMISSION TO PRACTICE Family support magistrate matters 25a-2, 25a-3
See ATTORNEYS, Admission to Practice Filing 3-4
Form and signing of 3-3
ALIMONY Habeas corpus
See FAMILY MATTERS Appearance by petitioner in court 23-40
By interactive audiovisual device 23-40
ALTERNATE INCARCERATION PROGRAM Counsel, appointment of 23-26
See CRIMINAL PROCEDURE Motion for leave to withdraw appearance 23-41
ALTERNATIVE DISPUTE RESOLUTION 23-67 Judicial action on 23-42
Interactive audiovisual device, appearance by means of in
AMENDMENT OF PLEADINGS civil proceedings 23-68
See PLEADINGS—CIVIL ACTIONS Limited appearance 3-3, 3-8
Completion of 3-9
AMICUS CURIAE Legal interns 3-14
Appellate brief of 67-7 Activities of 3-17
ANNULMENT Certification of 3-18
See FAMILY MATTERS Legal internship committee 3-19
Out-of-state interns 3-21
ANSWER Requirements and limitations 3-16
See PLEADINGS—CIVIL ACTIONS Supervision of legal interns 3-15
Unauthorized practice 3-20
APPEARANCE AND ARRAIGNMENT—CRIMINAL MAT- Motion to withdraw 3-10
TERS Name, composition or membership of firm or professional
See also APPEARANCES—IN GENERAL corporation, notice of change of 3-12
Appearance after pretrial release 38-6 Notice to counsel and self-represented parties 3-4
Arraignment, timing 37-1
Plaintiff, appearance for 3-1
Constitutional rights, advisement of 37-3, 37-4
Pro hac vice appearance 2-16
Indigency, investigation of 37-5
Information and materials to be provided to defendant Represented party, appearance for 3-8
37-2 Service of appearances on other parties 3-5
Public defender, appointment 37-6 Several parties, appearance for 3-11
Reference to, investigation of indigency 37-5 Time to file appearance 3-2
Detention prior to arraignment, trial, sentencing, limit on Withdrawal of appearance 3-9
38-18 Limited appearance to object to in lieu of appearance 3-9
Disposition conference 39-11—39-17 Writ or complaint, appearance for plaintiff 3-1
563
INDEX
APPELLATE COURT APPELLATE PROCEDURE — (Cont)

See generally APPELLATE PROCEDURE Appendix — (Cont)
Child protection matters, appeals 79a-6
APPELLATE PROCEDURE Consolidated appeals 61-7
See also CRIMINAL PROCEDURE, Appeal; JUVENILE Permission to file separate brief and appendix, motion
MATTERS, Appeal for 61-7
Additions to case file 68-1 Contents and organization 67-8
Administrative appeal, definition 60-4 Copies 67-2
Amended appeals 61-9 Corrections or articulations
Amicus curiae Included in appendix, generally 66-7
Briefs 67-7 Included in appellant’s appendix 66-5
Appeal form, filing 63-3 Included in appellee’s appendix 66-5
Additional papers to be filed 63-4 (a) Filed as addendum by appellant 66-5
Amendment of papers 63-4 (b) Cross appeals 67-1
Where to file 63-3 Decisions of trial court, part of appendix 67-8
Withdrawal of appeal 63-9 Format and filing 62-7, 67-2
Appeal period, generally 63-1 (a) and (b) Generally 67-1
Briefing obligations, stay of 67-12 Judgment file, signed 67-8
Motion for 63-1 (d) Personal identifying information 67-1, 67-8
Calculation of time, in general 63-2 Self-represented, incarcerated, preparation of appendix,
Motions that delay commencement of 11-11 criminal and habeas matters 68-1
New appeal period, how created 63-1 (c) (1) Time for filing 67-3
Simultaneous filing required of motions that render Applications
judgment or decision ineffective 63-1 (e) Filing procedures 66-3
What may be appealed during 63-1 (c) (3) Form 66-2, 66-3
Who may appeal during 63-1 (c) (2) Memoranda, supporting and opposing 66-2
Appeal, right to 61-1 Argument, see Oral argument this title
Appearance by counsel 62-8 Articulation, order 60-5
Criminal appeals, hybrid representation prohibited 62-9A Failure to seek, effect of 61-10
Criminal appeals, removal or substitution of counsel Motion for 66-5
62-9A Review of decision on 66-7
Habeas corpus appeals, hybrid representation prohibited Assignment of cases for argument 69-2
62-9A Order of assignment 69-3
Habeas corpus appeals, removal or substitution of coun- Precedence of supreme and appellate court assignments
sel 62-9A 69-3
Pro hac vice 62-8A Ready cases 69-2
Trial court files and motions, review of and participation Authorities, table of in briefs 67-11
in by appellate counsel 62-8, 62-10 Automatic stay pending appeal, noncriminal cases 61-11 (a)
Withdrawal of appearance 62-9 Automatic stay not available 61-11 (b) and (c)
Appellant, definition 60-4 Criminal cases, stays in 61-13
Brief of, contents and organization 67-4 Death cases, stays in 61-15
Responsibility to provide adequate record for review 60-5 Discretionary stay, motion for 61-12
Appellate clerk 62-2 Family matters, not available 61-11 (c)
Assignment list, delivery to counsel of record 69-3 Review of order concerning stay 61-14
Docketing of cases 62-3 Bankruptcy, notice to appellate clerk 61-16
Ready case docket, distribution 69-1 Briefs, in general 67-1
Exhibits, to be transmitted to appellate clerk by trial court Amended appeals 61-9
clerk 68-1 Amicus curiae briefs 67-7
Extension of time motions, action on 66-1, 79a-7 Appellant’s brief, contents and organization 67-4
Judgment files, preparation of 71-1 Appellee’s brief, contents and organization 67-5
Notice of decisions on motions and of orders to be given Certification concerning 62-7
by appellate clerk 71-4 Child protection matters 67-13, 79a-6
Notice of bankruptcy petition and of resolution 61-16 Citation of cases, form 67-11
Notification of trial court clerk of change in parties 62-5 Consolidated or joint appeals 61-7
Ready cases, distributing docket of 69-1 Copies 67-2
Taxation of costs 71-2 Death sentences, statutory review of, briefs 67-6
Motion to reconsider 71-3 Electronic briefing requirement 67-2
Appellee, definition 60-4 Family matters 67-13
Brief of, contents and organization 67-5 Format 67-2
Appendix Land use regulations, statement as to 67-4, 67-5
Addendum to 66-5 Copy to be filed with brief 81-6
Administrative appeals 67-8A Motion to stay briefing obligations 63-1 (d)
Amended appeals 61-9 Page limitations 67-3
Certification for review by supreme court, order granting, Stay of briefing obligations 67-12
included in appendix 67-8 Supplemental authorities, citation after filing of brief 67-10
Certified questions to or from courts of other jurisdictions Supplemental briefs 61-9
Time for filing 82-6 On amendment of transcript statement 63-4 (b)
564
INDEX
APPELLATE PROCEDURE — (Cont) APPELLATE PROCEDURE — (Cont)

Briefs, in general 67-1 — (Cont) Clerk, trial court, responsibilities after appeal filed 68-1
Table of authorities 67-11 Compensation review board, reservation of question from
Time for filing 67-3 76-5
Unreported decisions, citation of 67-9 Conditional plea of guilty or nolo contendere
Cameras and electronic media 70-9 Appeal from denial of motion to suppress or to dismiss
Case citations in briefs, form 67-11 61-6 (a) (2) (A)
Case file, preparation of 68-1 Reservation of right to appeal 61-6 (a) (2) (B)
Additions to after appeal taken 68-1 Connecticut Law Journal date as date of judgment or order
Workers’ compensation appeals 76-3 71-1
Certification Connecticut Reports and Connecticut Appellate Reports,
Filed papers, certification of 62-7 official opinions contained in 71-4
For review by appellate court, see Petitions for certifica- Consolidation of appeals 61-7
tion, this title Appendices 61-3
For review by supreme court, see Petitions for certifica- Briefs 67-3
tion, this title Constitutionality of statute, statement in appeal of challenge
General Statutes § 52-265a, application for certification to 63-4 (a)
pursuant to, in general 83-1 Control of proceedings on appeal 60-2
Application denied 83-3 Copies of filed papers, in general 62-7
Application granted 83-2 Of appeal 63-3
Unavailability of chief justice 83-4 Of appendices 67-2
Habeas corpus 80-1 Of briefs 67-2
Certified questions to or from courts of other jurisdictions Costs
Briefs, appendices and argument 82-6 Certified questions from federal courts 82-5
Certification of questions from other courts 82-1 Judicial review council, costs waived in appeals from 74-1
Certification of questions to other courts 82-8 Probate judicial conduct, costs waived in appeals from
Certification request, contents of 82-3 decisions of council on 75-1
Preparation of 82-4 Security for not required 60-9
Fees and Costs 82-5 Waiver, civil cases 63-6
Filing after preliminary acceptance 82-5 Waiver, criminal cases 63-7
Opinion on 82-7 Taxation of 71-2
Chief justice or chief judge Motion to reconsider 71-3
Action by, on motion for permission to appeal judgment Workers’ compensation appeals 76-4
not disposing all claims by or against party 61-4 Counsel
Designation of appellate panels and presiding judges by Appearance by 62-8
chief judge 62-1 Assignment list, delivery to counsel of record 69-3
Designation of chief judge by chief justice 62-1 Counsel of record, definition 60-4
Permission to exceed page limitations of briefs 67-3 Hybrid representation prohibited in criminal appeals 62-
Scheduling of sessions by chief judge 62-1 9A
Child protection matters, appeals, in general 35a-21, 79a-1 Notification to counsel of intended disposition of case
Appellate review attorney, motion for appointment of 35a- without argument 70-1
21, 79a-3 Removal or substitution of in criminal appeals 62-9A
Applicability of appellate rules 79a-15 Trial court files, review of 62-8, 62-10
Briefs and appendices 67-13, 79a-6 Trial court motions, participation by appellate counsel
Confidentiality of hearings, exclusion of unnecessary per- 62-8
sons 79a-13 Withdrawal of 62-9
Docketing for assignment, supreme and appellate courts Court closure order, expedited review of 77-1
79a-8 Court reporter, definition 60-4
Duties of clerk for juvenile matters 79a-3 Criminal cases
Extension of time, motions for 35a-21, 66-1, 79a-7 Appeal by defendant 61-6 (a)
Filing appeal 79a-3 Appeal by state 61-6 (b)
Indigent party, appeal by 35a-21, 79a-3 Interlocutory ruling, appeal from 61-6 (c)
Inspection of records 79a-12 Stays in 61-13
Motions, statement of consent or objection thereto 79a-14 Cross appeals 61-8
New appeal period 79a-2 Appendices 67-3
Official release date 79a-11 Briefs 67-3
Oral argument 79a-9 Cross petition for certification 81-1, 84-4
Slip opinions 79a-11 Death sentences, statutory review of, briefs 67-6
Submission on briefs and record 79a-10 Stay of 61-15
Time for filing, appeal 35a-21, 79a-2 Decision of trial court, statement of 64-1
Transcripts, ordering of 79a-5 Defendant, reference to in brief 67-1
Videoconference, oral argument by 79a-9 Deferral of appeal where undisposed complaint, counter-
Waiver of fees, costs and security 79a-4 claim or cross complaint remains 61-2
Citation of cases in briefs 67-11 Notice of intent to appeal 61-2, 61-5 (a)
Citation of unreported decisions 67-9 Failure to file, consequences 61-5 (b)
Claims to be preserved 60-5 Objection to deferral of appeal 61-5 (a)
Clerk, appellate, see Appellate clerk, this title Definitions 60-4
565
INDEX

Diligence, lack in prosecuting or defending appeal 85-1 Final judgment, right to appeal from 61-1 — (Cont)
Dismiss, motion to 66-8 Objection to deferral 61-5 (a)
Docket Judgment disposing of part of complaint, counterclaim
Certified questions from federal courts 82-5 or cross complaint
Entry of cases on by appellate clerk 62-3 All claims by or against party in particular pleading
Ready case docket, distribution of 69-1 disposed 61-3
Transfer of cases between supreme court and appellate All claims by or against party not disposed, motion
court 65-1 for permission to appeal 61-4
Motion for transfer from appellate court to supreme Further articulation, remand for 60-5
court 65-2 General Statutes § 52-265a, application for certification pur-
Trial court docket, appealed cases to remain on 62-4 suant to, in general 83-1
Docketing statement, filing with appeal 63-4 (a) Application denied 83-3
Amendment 63-4 (b) Application granted 83-2
Documents, form and contents 62-6, 62-7 Unavailability of chief justice 83-4
Certification 62-7 Grand jury order, review of 78-1
Copies, number of 62-7 Habeas corpus, certification to appeal 80-1
Definition 60-4 Hearings on motions 66-4
Filing and service 62-7 Issues, definition 60-4
Time limitations, calculation 63-2 Joint appeals 61-7
Timely submission 62-7 Appendices 67-3
Electronic briefing requirement, see Briefs, this title Briefs 67-3
Electronic filing of appeal 60-7 Judges and justices sitting as superior court judges 60-6
Electronic filing, exemption 60-8 Judgment file, draft judgment file, filing in trial court 63-4 (a)
Electronic media coverage at proceedings 70-9 Judgments, appealability, see Final judgment, right to
En banc consideration and reconsideration of cases 70-7 appeal from, this title
Reconsideration, motion for en banc 71-5 Judgments in appellate proceedings
Evidence and exhibits Connecticut Law Journal date as date of judgment or
Availability to parties 62-10 order 71-1
Removal 62-11 Costs, taxation of 71-2
Transmitting exhibits to appellate clerk 68-1 Motion to reconsider 71-3
Expedited review, court closure order or order sealing or Judgment files, preparation by appellate clerk 71-1
limiting disclosure 77-1 Judicial review council, appeals from, in general 74-1
Fact-finding, supreme court 84a-1—84a-6 Appellate rules, applicability of 74-6
Family matters, briefs 67-13 Decision of council statement of 74-4
Family support magistrates, appeal from 25a-29 Fees and costs waived 74-1
Federal courts, certified questions from, see Certified ques- Initiation of proceedings by supreme court 74-3A
tions from federal courts, this title Papers to be filed 74-1
Fees Parties, proper form of reference 74-5
Appeal, fees on filing, in general 60-7, 60-8 Referral to supreme court by council 74-2A
Certification for review by supreme court, fees on 84-4 Jurisdiction, original of supreme court
Statement that fees paid or not required 84-9 Discovery 84a-3
Waiver of fees, certification 84-4 Evidence 84a-5
Certified questions from federal courts 82-5 Fact-finding 84a-4
Entry fee, cross appeal 61-8 Filing original jurisdiction action 84a-2
Entry fee, joint appeal 61-7 Other officers, appointment of 84a-6
Judicial review council, fees waived in appeals from 74-1 Pleadings and motions 84a-2
Probate judicial conduct, fees waived in appeals from Rules, Application of 84a-1
decisions of council on 75-1 Land use regulations
Waiver, civil cases 63-6 Copy to be filed with brief 81-6
Waiver, criminal cases 63-7 Statement as to applicable version 67-4, 67-5
Workers’ compensation appeals 76-4 Liberal interpretation of rules 60-1
File, definition 60-4 Memorandum of decision by trial court 64-1
Files Exceptions to requirement 64-2
Availability to parties 62-10 Inclusion in appendix 67-8
Case file, preparation of 68-1 Motions
Removal 62-11 Articulation, motion for 66-5
Filing appeal 60-7, 63-3; see also 63-1 and 63-2 on appeal Costs, motion to reconsider 71-3
period and calculating time Decisions on motions, notice of to be given by appellate
Additional papers to be filed 63-4 (a) clerk 71-4
Amendment of 63-4 (b) Definition of motion 60-4
Exemption from electronic filing 60-8 Delaying commencement of appeal period 11-11, 63-1
Final judgment, right to appeal from 61-1 (c) (1)
What constitutes 61-2 Simultaneous filing of motions required 63-1 (e)
Deferral of appeal 61-2, 61-3 Dismiss, motion to 66-8
Notice of intent to appeal 61-5 (a) Extension of time 66-1, 79a-7
Failure to file, consequences 61-5 (b) Petitions for certification 81-5
566
INDEX

Motions — (Cont) Perfection of record, motion to be filed in court having juris-
Filed after appeal that stays appeal period 63-1 (c) diction of appeal 60-2
Filing procedures 66-3 Personal identifying information 67-1
Form 66-2, 66-3 Petition
Hearings on 66-4 Definition of petition 60-4
Memorandum in support or opposition 66-2 Filing procedures 66-3
Nonautomatic stay pending appeal, motion for 61-12 Form of 66-2, 66-3
Permission to appeal where all claims by or against party Memorandum in support or opposition 66-2
not disposed of, motion for 61-4 Petitions for certification
Rectification, motion for 66-5 For review by appellate court, in general, filing 81-1
Review, motion for 66-6 Extensions of time 81-5
Review of decision on motion for articulation or rectifica- Filing appeal after certification 81-4
tion 66-7 Form of petition 81-2
Review of order concerning stay, motion for 61-14 Opposition, statement in 81-3
Terminate stay pending appeal, motion for 61-11 For review by supreme court, in general 84-1
Transfer from appellate court to supreme court 65-2 Basis for 84-2
Nolo contendere, appeal from denial of motion to suppress Filing, fees, time to file 84-4
or dismiss after conditional plea of 61-6 (a) (2) Extensions of time 84-7
Notice of intent to appeal 61-2, 61-5 (a) Form of petition 84-5
Failure to file, consequences 61-5 (b) Grant or denial of certification 84-8
Objection to deferral of appeal 61-5 (a) Appellate rules, applicability of 84-12
Opinions Filing appeal after certification granted 84-9, 84-11
Certified questions from federal courts, opinions on 82-5 Opposition, statement in 84-6
Official opinions contained in Connecticut Reports and Stay of execution 84-3
Connecticut Appellate Reports 71-4 Trial court ruling, copy of, when required 84-5
Official release date 71-1, 71-4 Waiver of fees, certification 84-4
Child protection matters, appeals 79a-11 Workers’ compensation cases 84-4
Memorandum of decision 71-4 Petition for review of order concerning release on bail 78a-1
Motion or petition 71-4 Plain error review 60-5
Opinion 71-4 Plaintiff, reference to in brief 67-1
Slip opinion 71-1, 71-4, 79a-11 Preargument conferences 63-10
Reporter of judicial decisions to send copy to trial court Exceptions 63-10
71-4 Preargument conference statement, filing with appeal 63-
Oral argument, assignment of cases for 69-2 4 (a)
Child protection matters 79a-9 Amendment 63-4 (b)
Submission without oral argument 79a-10 Request for preargument conference, procedure in
Disposition of cases without argument, determination by exempt case 63-10
court and notification of counsel 70-1
Preliminary statement of issues 63-4 (a)
En banc consideration 70-7
Amendment 63-4 (b)
Order of argument 70-3
Preservation of claims 60-5
Order of assignment for argument 69-3
Probate judicial conduct, appeals from decisions of council
Points of argument 70-5
on, in general 75-1
Precedence of supreme and appellate court assignments
Appellate rules, applicability of 75-6
69-3
Decision of council, statement of 75-4
Ready cases 69-2
Fees and costs waived 75-1
Rebuttal 70-5
Reconsideration where court evenly divided 70-6 Papers to be filed 75-1
Right to oral argument, and exceptions 70-1, 70-2 Parties, proper form of reference 75-5
Submission without oral argument 70-2 Publication of rules, effective date 86-1
Time allowed 70-4 Ready cases
Videoconferencing, certain cases 70-1 Assignment, generally 69-2
Who may argue 70-4 Order of 69-3
Orders, notice of to be given by appellate clerk 71-4 Precedence of supreme and appellate court assign-
Page limitations for briefs 67-3 ments 69-3
Papers Definition of 69-2
Additional papers to be filed with appeal 63-4 (a) Docket, distribution of 69-1
Amendment 63-4 (b) Reconsideration en banc 70-7
Certification 62-7 Motion for 71-5
Contents and form 62-6 Stay pending 71-6
Copies, number of 62-7 Record
Filing and service 62-7 Appellant to provide adequate record 60-5, 61-10
Timely submission 62-7 Definition 60-4
Calculating time for filing 63-2 Motion for perfection to be filed in court having jurisdiction
Parties of appeal 60-2
Availability to of files, evidence and exhibits 62-10 Rectification, motion for 66-5
Change in, court where made 62-5 Removal of files, records and exhibits 62-11
567
INDEX

Reporter of judicial decisions Transcript
Sending opinions to trial court 71-4 Electronic 63-8A
Sending rescripts to trial court and appellate clerk 71-4 Ordering and filing, paper 63-8
Request, definition 60-4 Rectification, motion for 66-5
Rescripts, to be sent to trial court and appellate clerk 71-4 Statement, filing with appeal 63-4 (a)
Reservations 73-1 Amendment 63-4 (b)
By compensation review board 76-5 Statement that transcript not necessary, filing with appeal
Review, motion for 66-6 63-4
Review of order concerning stay 61-14 Transfer
Review of rectification or articulation 66-7 Cases between supreme court and appellate court 65-1
Right to appeal 61-1 Motion for transfer from appellate court to supreme court
Reservation of on conditional plea of guilty or nolo conten- 65-2
dere 61-6 (a) (2) (B) Petition for review of order concerning release 65-3
Rules Wrong court, matters brought to 65-4
Trial court clerk, responsibilities 68-1
Changes in, applicability to pending appeals 86-2
Trial court decision, statement of 64-1
Effective date 86-1
Copy of to accompany petition for certification, when 84-5
Liberal interpretation 60-1
Trial court docket, appealed cases to remain on 62-4
Suspension of 60-3
Trial court files and motions, review of and participation in
Sanctions by appellate counsel 62-8, 62-10
Actions subject to 85-2 United States Supreme Court, stay pending decision by 71-7
Diligence in prosecuting or defending appeal, sanctions Unreported decisions, citation of 67-9
for 85-1 Videoconference, hearings on motions 66-4
Failure to comply with rule on appeal papers 63-4 (c) Waiver of fees, costs and security
Procedure 85-3 Civil cases 63-6
Security for costs 60-9 Criminal cases 63-7
Waiver, civil cases 63-6 Withdrawal of appeal or writ of error 63-9
Waiver, criminal cases 63-7 Withdrawal of appearance 62-9
Service and filing, in general 62-7 Workers’ compensation appeals
Sessions, scheduling by chief judge 62-1 Applicability of appellate rules 76-1
Cameras and electronic media 70-9 Case file, exhibits 76-3
Signature, definition 60-4 Definitions 76-6
Special sessions of court 70-8 Fees and costs 76-4
Stay of briefing obligations 67-12 Filing appeal 76-2
Stay of execution pending appeal Petitions for certification 84-4
Automatic stay, noncriminal cases 61-11 (a) Reservation of question from compensation review board
Automatic stay not available, where 61-11 (b) 76-5, 76-5A
Automatic stay, family matters, not available 61-11 (c) Writ of error, in general 72-1
Certification for review by supreme court, stay pending Appellate rules, applicability of 72-4
84-3 Copy of record not to be taxed in costs 18-6
Criminal cases, stays in 61-13 Form of 72-2
Death penalty cases, stays in 61-15 Procedure applicable 72-3
Discretionary stay, motion for 61-12 Withdrawal 63-9
Discretionary stay, order sua sponte 61-12 Wrong court, transfer of matters brought to 65-4
Reconsideration, stay pending 71-6
APPENDIX
Review of order concerning stay 61-14
See APPELLATE PROCEDURE
Termination of stay 61-11 (c) and (d)
United States Supreme Court, stay pending decision by APPLICATIONS
71-7 See MOTIONS, APPLICATIONS AND REQUESTS,
Supervision of proceedings on appeal 60-2 CIVIL, MISCELLANEOUS
Supplemental authorities, citation after filing of brief 67-10
Supplemental briefs, amended appeals 61-9 APPRAISERS
Suspension of rules 60-3 See generally RECEIVERS
Taxation of costs 18-5, 71-2 ARBITRATION
Motion to reconsider 71-3 Approval of arbitrators by chief court administrator 23-60
Time Confirming, correcting or vacating award 23-1
Briefs and appendices, time for filing 67-3 Decision of arbitrator 23-64
Motion to stay briefing obligations 63-1 (d) As judgment 23-66
Calculation of 63-2 Disqualification of arbitrators 23-62
Extension of 66-1 Failure to appear at hearing 23-65
Extension of, child protection matters 79a-7 Fee arbitration, order by statewide grievance committee
Petitions for certification for review by appellate court 81-1 2-37
Extension of time 81-5 Hearing in 23-63
Petitions for certification for review by supreme court 84-4 Failure to appear at hearing 23-65
Extensions of time 84-7 Referral to arbitrators 23-61
568
INDEX
ARBITRATION — (Cont)
ASSIGNMENT FOR TRIAL—CIVIL — (Cont)
Selection of arbitrators 23-62
Immediate trial 14-17
Trial de novo, claim for 23-66
Jury assignments to have precedence over court assign-
ARGUMENT BY COUNSEL ments 14-25
Generally 15-5, 15-6; see also APPELLATE PROCE- Jury, claims for 14-10
DURE, Oral argument Order of trial 14-20
Argument on interlocutory questions during trial 5-5 Pleadings closed, certification 14-8
Time limit 15-7 Pretrial, assignment for 14-11
Criminal cases 42-37 Orders at 14-14
ARREST AND PRELIMINARY CRIMINAL PROCEDURE Pretrial procedure 14-13
See also APPEARANCE AND ARRAIGNMENT—CRIM- When case not disposed of at 14-12
INAL MATTERS; CRIMINAL PROCEDURE, Bail; Privileged cases 14-9
Bond; Pleas Supreme court arguments, precedence of 1-2, 69-3
By warrant, issuance 36-1 Unemployment compensation appeals 22-2
Affidavit supporting warrant application 36-2
Cancellation of warrant 36-6 ATTORNEYS
Contents of warrant 36-3 Generally Chapter 2
Execution and return of warrant 36-5 Admission to practice
Information and complaint, use 36-11 By superior court 2-10
Amendments, minor defects 36-16 Certification of recommended applicants 2-9
Continuance necessitated by amendment 36-20 Conditions of admission by superior court 2-9, 2-11
Essential facts, request by defendant for 36-19 Appeal from decision of bar examining committee con-
Substantive amendment after trial commenced 36-18 cerning 2-11A
Substantive amendment before trial 36-17 Mental or physical disability 2-9
Filing and availability of information 36-15 Monitoring compliance with 2-11
Former conviction in information 36-14 Removal or modification of 2-11
Election of jury trial 42-2 County committees on recommendations for admission
Plea to 37-10 2-12
Form of information 36-13 County court designations 2-1
Issuance of information 36-12 Examining committee
Joinder Examination of candidates 2-5
Defendants 36-22 Personnel of 2-6
Offenses 36-21 Records of 2-4A
Summons, form of summons and complaint 36-7 Regulations by 2-4
Direction by judicial authority for use of 36-4 Fees for admission, disposition of 2-22
Failure to respond to 36-10 Fitness to practice law 2-5A, 2-8, 2-9, 2-12, 2-13, 2-15,
In lieu of arrest warrant 36-12 2-17
Service of 36-9 Foreign legal consultants
ARREST OF JUDGMENT Affiliation of with Connecticut bar 2-21
Motion in arrest of judgment 16-35 Disciplinary provisions regarding 2-20
Filings to become 2-18
ASSIGNMENT FOR TRIAL—CIVIL Licensing requirements 2-17
See generally Chapter 14; see also TRIALS IN Mental or physical disability, inquiries 2-8
GENERAL Conditions of admission 2-9
Administrative appeals Scope of practice of 2-19
Briefing schedule 14-7 Number of times applicant may take examination 2-7
Civil rules, applicability of 14-6 Other jurisdictions, attorneys of, qualifications and
Definition 14-5 requirements for admission 2-13
Appellate court arguments, precedence of 1-2, 69-3 Practice of law, defined 2-13
Assignment for trial, in general 14-15 Pro hac vice appearance 2-16
Counsel, availability of 14-25
Qualifications for admission 2-8
Methods of assigning 14-16
Superior court, admission by 2-10
Bankruptcy
Superior court, admission by with conditions 2-11
Claim for exemption from docket management program
14-2 Advertising, Mandatory Filing 2-28A
Claim for statutory exemption or stay 14-1 Advisory Opinions 2-28B
Case records, maintenance of 14-4 Appeal from decision of statewide grievance committee 2-38
Clerk, communication with counsel to ensure sufficient busi- Appearance, see APPEARANCES—IN GENERAL
ness 14-21 Appointment of counsel
Continuance or postponement, motion for 14-23 Criminal cases in general 44-1, 44-2; see also CRIMINAL
Absent witness, missing evidence 14-24 PROCEDURE, Counsel
Counsel, availability of 14-25 Family matters, motion for 25-24
Dismissal, lack of diligence 14-3 Juvenile matters appeals 35-4; see also JUVENILE
Family matters 25-48 MATTERS, Attorney
Case management 25-5, 25-50 Juvenile matters, initial plea hearing, see JUVENILE
Garnishee, assignment on motion of 14-22 MATTERS, Attorney
569
INDEX
ATTORNEYS — (Cont) ATTORNEYS — (Cont)

Attorney trial referee, reference to 19-2A Discipline, see also Grievances, this title — (Cont)
Time to file report 19-4 Inactive status 2-56
Authorized house counsel 2-15A Appointment of attorney to protect interests 2-64
Bank and trust companies, payment of attorneys by 2-67 Burden of proof 2-61
Chief disciplinary counsel 2-34A Disability claimed during course of disciplinary proceed-
Client funds, fiduciary accounts, overdraft notification 2-27, ing 2-59
2-28 No prior determination of incompetency or involuntary
Audits and inspections, trust accounts 2-27 commitment 2-58
Notice of alleged misuse of 2-43 Prior judicial determination of incompetency or involun-
Registration 2-27 tary commitment 2-57
Client security fund 2-68 Reinstatement upon termination of disability 2-60
Annual fee, assessment, exemption, failure to pay 2-70 Waiver of doctor-patient privilege upon application
Enforcement of payment 2-79 for 2-62
Pro hac vice, certification of payment 2-16 Interim suspension, conduct constituting threat of harm
Claims to clients 2-42
Attorney’s fee for prosecuting 2-77 Misappropriation of funds, disbarment for 2-47A
Confidentiality 2-76 Notice of inactive status, reprimand, suspension, disbar-
Reimbursement, eligibility for 2-71 ment, publication of 2-54
Restitution of claims 2-53 Presentments 2-47
Committee Prosecution of 2-48
Action by 2-72 Reciprocal discipline 2-39
Appointment of members 2-72 Reinstatement of attorney after suspension, disbarment
Claims processing 2-75 or resignation 2-53
Confidentiality 2-76 Resignation of attorney facing disciplinary investigation
Duties and powers 2-73 2-52
Operation 2-72 Restitution 2-49, 2-53
Rules and regulations 2-74 Restriction on activities, deactivated attorney 2-47B
Status of fund, review by committee 2-77 Sanctions of reprimand, suspension, disbarment, publica-
Subrogation to rights of claimant 2-81 tion of notice of 2-54
Complaints against attorney, filing, time, action on 2-32 Superior court, power to discipline attorneys 2-44
Counsel Cause occurring in presence of court 2-45
Child protection matters appeals, appellate review attor- Suspension, violation of support orders 2-46
ney 35a-21; see also JUVENILE MATTERS, Attorney Unauthorized practice of law, power of court to restrain
Criminal cases, appointment 44-1, 44-2; see also CRIMI- 2-44
NAL PROCEDURE, Counsel Petitions 2-47
Family contempt, right to 25-63 Dishonest conduct, defined, client security fund 2-69
Waiver 25-64 Felony
Family matters, motion for appointment 25-24 Connecticut conviction 2-40
Fees, motion for in family matters 25-24 Conviction elsewhere 2-41
Paternity actions, right to 25-68 Fitness to practice law 2-5A, 2-8, 2-9, 2-12, 2-13, 2-15, 2-17
Counsel of record, appeals, definition 60-4 Foreign legal consultants 2-17—2-21
Court officials, practice by 2-66 Good moral character, fitness to practice law 2-5A
Crisis intervention and referral assistance 2-68, 2-68A, 2- Good standing of attorney 2-65
70, 2-77 Grievances
Dishonest conduct, defined 2-69 See also Discipline, this title
Exemption, retirement 2-55 Bar counsel, statewide 2-34
Restitution to fund by attorney 2-53, 2-80 Complaints against attorneys, filing, action on 2-32
Subrogation of committee to rights of claimant 2-81 Disciplinary counsel 2-34A
Disability of applicant for admission, inquiry 2-8 Grievance committee, statewide 2-33
Conditions of admission 2-9 Action by on request for review 2-36
Disciplinary counsel 2-34A Action by or by reviewing committee 2-35
Discipline, see also Grievances, this title Appeal from decision by 2-38
Admission of misconduct 2-82 Sanctions that may be imposed by 2-37
Alleged misuse of clients’ funds, notice 2-43 Grievance panels 2-29
Appeal from decision of statewide grievance committee Counsel for panels and investigators 2-30
2-38 Grievance counsel, duties and powers 2-31
Appointment of attorney to protect clients’ and attorney’s House counsel, authorized 2-15A
interests 2-64 Juvenile matters, see JUVENILE MATTERS, Attorney
Attorneys found guilty of serious crimes in Connecticut Law-related activity, defined 2-47B
2-40 Legal interns, see LEGAL INTERNS
Attorneys found guilty of serious crimes in another jurisdic- Mental or physical disability of applicant for admission,
tion 2-41 inquiry 2-8
Costs and expenses 2-51 Conditions of admission 2-9
Deactivated attorney 2-47B Notices
Discipline by consent 2-82 Admission in other jurisdiction 2-24
Foreign legal consultants 2-20 Alleged misuse of clients funds 2-43
570
INDEX
ATTORNEYS — (Cont) CERTIFIED QUESTIONS TO OR FROM COURTS OF

Notices — (Cont) OTHER JURISDICTIONS
Change in address 2-26 Briefs, appendices and argument 82-6
Disciplinary action in other jurisdiction 2-25 Certification of questions from other courts 82-1
Disciplinary sanctions, miscellaneous 2-54 Certification of questions to other courts 82-8
Payment by bank and trust companies 2-67 Certification requests, contents of 82-3
Physical or mental disability of applicant for admission 2-8 Preparation of 82-4
Conditions of admission 2-9 Docketing after preliminary acceptance 82-5
Practice of law, definition 2-44A Fees and costs 82-5
Pro hac vice appearance 2-16, 62-8A Opinions on 82-7
Reciprocal discipline 2-39 CHAMBERS, HEARINGS IN
Reciprocity 2-13 See generally HEARINGS
Records
Statewide grievance committee, reviewing committee and CHILD PROTECTION
grievance panel 2-50 See generally JUVENILE MATTERS
Reinstatement after suspension, disbarment or resignation
2-53 CHILD SUPPORT
See FAMILY MATTERS
Resignation of attorney facing disciplinary investigation 2-52
Retirement of attorney 2-55 CITATIONS IN BRIEFS
Roll of attorneys 2-23 See APPELLATE PROCEDURE
Statewide bar counsel 2-34
Unauthorized practice of law, power of court to restrain 2-44 CIVIL ACTIONS
Petitions 2-47 See also FAMILY MATTERS; SMALL CLAIMS
Waiver of right to hearing, attorney facing disciplinary inves- Appearance, see APPEARANCES—IN GENERAL
tigation 2-52 Arbitration, see ARBITRATION
Argument by counsel, generally 15-5, 15-6
BAIL Argument on interlocutory questions during trial 5-5
See also CRIMINAL PROCEDURE, Bond Time limit 15-7
Appearance for bail hearing 3-6 Administrative appeals
Cash bail where bond allowed 38-7 Certified list of papers 14-7A
Ten percent cash bail 38-8 Civil rules, applicability of 14-6
Pretrial release by bail commissioner 38-3 Costs, taxation of 14-7A
Definition 14-5
Review of orders concerning release on bail
Designation of record 14-7A
Petition for review of order concerning release on bail
Disputes concerning 14-7A
78a-1
Exceptions 14-7
BANKRUPTCY Scheduling order 14-7A
Claim for exemption from docket management program 14-2 Service 14-7A
Claim for statutory exemption or stay 14-1 Assignment for trial, in general 14-15
Clerk, communication with counsel to ensure sufficient
Notice to appellate clerk of petition and of resolution 61-16
business 14-21
BAR, ADMISSION TO Counsel, availability of 14-25
See ATTORNEYS, Admission to Practice Immediate trial 14-17
Jury trial to have precedence over court trial 14-25
BILL OF PARTICULARS 41-20—41-22 Methods of assigning 14-16
Motion of garnishee, assignment on 14-22
BOND Order of trial 14-20
See CIVIL ACTIONS, Commencement of Action; Bankruptcy
CRIMINAL PROCEDURE; RECEIVERS Claim for exemption from docket management program
14-2
BRIEFS Claim for statutory exemption or stay 14-1
See also APPELLATE PROCEDURE Case records, maintenance of 14-4
Trial briefs 5-1 Continuance or postponement, motion for 14-23
Page limitations 4-6 Absent witness, missing evidence 14-24
Counsel, availability of 14-25
CAMERAS IN COURTROOM Dismissal, lack of diligence 14-3
See MEDIA Jury assignments to have precedence over court assign-
CELLULAR TELEPHONES IN COURTROOM ments 14-25
See MEDIA Jury, claims for 14-10
Pretrial, assignment for 14-11
CENTRALIZED INFRACTIONS BUREAU Orders at 14-14
See INFRACTIONS Pretrial procedure 14-13
When case not disposed of at 14-12
CERTIFICATION FOR REVIEW Privileged cases 14-9
See APPELLATE PROCEDURE, Petitions for certifi- Cameras in courtroom, see MEDIA
cation Chambers, hearings in, see Hearings in chambers, this title
571
INDEX
CIVIL ACTIONS — (Cont) CIVIL ACTIONS — (Cont)

Class actions, see CLASS ACTIONS Discovery and depositions — (Cont)
Closure of court to public and media 11-20 Order limiting, expedited review 77-1
Expedited review of order 77-1 Discovery
Commencement of action Health information, motion for authorization to obtain
See also PLEADINGS—CIVIL ACTIONS protected 13-9, 13-11A
Bond Outside the United States 13-21
By nonresident in realty action 8-9 Scope, in general 13-2
For prosecution 8-3 Experts 13-4
In action against community 8-8 Materials prepared in anticipation of litigation, state-
Ordered by judicial authority 8-6 ments of parties 13-3
Remedy for failure to give 8-5 Privilege log 13-3
Renewal of 8-12 Protective order 13-5
Request to furnish 8-7 Sought by judgment creditor 13-20
Surety company bond acceptable 8-10 Duty to disclose, continuing 13-15
Certification of financial responsibility 8-4 Interrogatories, in general 13-6
Court fees and costs, waiver of 8-2 Answers to 13-7
Probate bond, action on 8-11 Objections to 13-8
Process 8-1 Order for compliance, failure to answer or comply with
Consolidation of actions for trial 9-5 order 13-14
Contempt, civil 1-21A Orders by judge 13-16
Review of 23-20 Requests for admission 13-22
Continuances Answers and objections to 13-23
Absent or nonresident defendant 9-1 Requests for production, inspection and examination, in
Garnishee not appearing to defend 9-2 general 13-9
Small claims 11-16 Physical or mental examination 13-11
Decision, statement of by judicial authority, when required Responses to requests for production, objections 13-10
6-1, 64-1, 64-2 Stipulations regarding discovery and deposition proce-
Discovery and depositions dure 13-32
Admission of facts and execution of writings, requests for Subpoenas 13-28
admission 13-22 Subpoena duces tecum 13-27
Answers and objections to requests for admission Dismiss, motion to 10-30—10-34
13-23 Dissolution of marriage or civil union, legal separation,
Effect of admission 13-24 annulment, see FAMILY MATTERS
Expenses on failure to admit 13-25 Dockets, see Assignment lists, dockets, pretrials and trial
Construction, rules of 13-1 lists, this title
Definitions 13-1 Electronic filing 4-4
Communication 13-1 Evidence
Concerning 13-1 Exceptions not required 5-7
Document 13-1 Exhibits, marking 5-7
Identify Interlocutory matters, address by counsel 5-5, 5-8
Act or event 13-1 Medical evidence 15-4
Electronically stored information 13-1 Motion in limine 15-3
Oral communications 13-1 Objections, reasons for 5-5
Persons 13-1 Reception of evidence objected to 5-6
Person 13-1 Prima facie case, dismissal for failure to make 15-8
You 13-1 Witnesses, examination of 5-4
Depositions, in general 13-26 Oath, administration of 5-3
Deposition procedure 13-30 Experts, see EXPERT WITNESSES
Notice of deposition Fact-finding
Deposition of organization, production of documents Action by judicial authority on finding of facts 23-58
and materials 13-27 Appointment of fact finders by chief court administrator
General requirements, special notice, nonsteno- 23-52
graphic recording 13-27 Referral of cases to 23-53
Persons before whom deposition taken, subpoenas Selection of, disqualification 23-54
13-28 Committees and referees, see REFERENCES
Place of deposition 13-29 Failure to appear at hearing 23-59
Remote electronic means of taking 13-30 Finding of facts 23-56
Use of depositions in court proceedings 13-31 Action on by judicial authority 23-58
Disclosure Objections to acceptance of 23-57
Amount and provisions of insurance liability policy Hearing in 23-55
13-12 Failure to appear at hearing 23-59
Assets, where prejudgment remedy sought 13-13 Fees and costs
Before court or committee 13-17 Costs
Continuing duty to disclose 13-15 For Exhibits 18-18
Defense 13-19 Interest and costs unnecessary to claim 10-28
In equity 13-18 On appeal from commissioners 18-2
572
INDEX
CIVIL ACTIONS — (Cont) CIVIL ACTIONS — (Cont)

Fees and costs — (Cont) Municipal officers, action to enforce bond to 9-25
On complaint and counterclaim 18-16 Orders of notice
On counterclaim 18-17 Applications for 11-4
On creditor’s appeal 18-3 Attestation, publication, proof of compliance 11-7
On interlocutory proceedings 18-7 Continuance, subsequent orders of 11-5
On writ of error 18-6 Directed outside United States 11-8
Several defendants 18-13 Publication, notice by 11-6
Taxation of, appeal 18-5 Parties
Where both legal and equitable issues 18-15 See also JOINDER
Where several issues 18-12 Addition or substitution of 9-18
Court expenses, vouchers for 18-1 Motion to cite in new parties 9-22
Eminent domain, clerk’s fees 18-4 Class actions 9-7, 9-8
Fees and costs, where plaintiffs join or actions consoli- Adequate representation, orders to ensure 9-10
dated 18-14 Dismissal or compromise 9-9
Jury fee, where more than one trial 18-8 Fiduciaries 9-11
Proceedings before judge, no costs 18-19 Parents as necessary parties in minor’s name change
Witness fees action 9-24
In several suits 18-10 Real party in interest 9-23
Nonresident witnesses 18-9 Substituted plaintiff 9-20
Witness not called 18-11 Third parties affected by counterclaim 9-21
Files and documents, sealing 11-20 Personal indentifying information, see RECORDS, see also
Expedited review of order 77-1 Motions, this title
Foreclosures, see FORECLOSURE Pleadings, see PLEADINGS—CIVIL ACTIONS
Habeas, see HABEAS CORPUS Pretrial, assignment for 14-11
Hearings in chambers Orders at 14-14
Certifying proceedings to court 20-2 Pretrial procedure 14-13
Contested matters, procedure in 20-1 When case not disposed of at 14-12
Papers Process 8-1
Cause affecting land 20-5 Public, exclusion of from court 11-20
Clerk designated by judge to take 20-6 Expedited review of order 77-1
Trial before judge, lodging papers and file 20-4 References, see REFERENCES
Transfer of hearings before judges 20-3 Sealing files and documents 11-20A, 11-20B
Identification of cases 7-4A Motion to file record under seal 7-4B
Interactive audiovisual device, appearance by means of Lodging record 7-4C
23-68 Short calendar, generally 11-13
Interest and costs unnecessary to claim 10-28 Assignments automatic 11-15
Jury trials, see JURIES—CIVIL Continuances 11-16
Lodging record 7-4C Frequency, time of sessions, lists 11-14
Media coverage of court proceedings, see MEDIA Oral argument 11-18
Memorandum of decision by trial court 6-1, 64-1, 64-2 Time limit for deciding matters 11-19
Motions, applications and requests, miscellaneous Transfers 11-17
Appeal period, motions that delay 11-11 Small claims, see SMALL CLAIMS
Argument of motions 11-18 Transfer of actions 12-1—12-3
Cite in new parties, motion to 9-22 Trial lists, see Assignment lists, dockets, pretrials and trial
Definition of 11-2 lists, this title
Dismiss, motion to 10-30—10-34 Trials in general
Dismissal for lack of diligence 14-3 See also ASSIGNMENT FOR TRIAL—CIVIL; EVI-
Exclusion of public, sealing documents, motion for 11-20 DENCE; JURIES
Form of 11-1 Briefs 5-1
Limine, motion in 15-3 Counsel
Memorandum of law required 11-10 Argument by 15-5—15-7
Misjoinder and nonjoinder of parties, motion to strike for Failure to appear by, sanctions 5-10
11-3 New trial, motion for 17-4A
New trial 17-4A Order of parties proceeding 15-5
Order of notice, applications for 11-4 Order of trial of issues 15-1
Personal identifying information, motion to seal or redact Question of law that may be subject of appeal, raising 5-2
documents containing 11-20B Separate trials 15-2
Previous motions and applications, disclosure of 11-9 Verdicts, see VERDICTS
Reargue, motion to 11-12
Request to revise 10-35 CIVIL UNIONS
Granting of and objection to 10-37 See FAMILY MATTERS
Reasons in 10-36
Waiver of further pleading revisions 10-38 CLASS ACTIONS
Sealing documents, motion for 11-20 Generally 9-7, 9-8
File record under seal 7-4B Adequate representation, orders to ensure 9-10
Strike, motion to 10-39—10-45 Appointment of class counsel 9-9
573
INDEX
CLASS ACTIONS — (Cont) CONTEMPT — (Cont)

Notice required 9-9 Criminal 1-14
Procedure for class certification and management of class Deferral of proceedings 1-17
9-9 Disqualification of judicial authority, nonsummary pro-
ceedings 1-19
CLERKS Judgment, nonsummary proceedings 1-21
Appellate clerk, see APPELLATE PROCEDURE Jury trial, right to in nonsummary proceedings 1-20
Case records, maintenance of 14-4 Nonsummary proceedings 1-18
Custody of files 7-7 Summary proceedings 1-16
Daybooks to be kept by 7-4 Family matters, motion for 25-27
Documents, prerequisites for filing with clerks 7-6 Right to counsel 25-63
Duties of, generally 7-2 Waiver 25-64
Electronic filings 4-4
Nonoperational electronic filing system 7-17 CONTINUANCES
Exhibits, removal from clerk’s office or destruction on deter- Absent or nonresident defendant 9-1
mination of case 7-21 Garnishee not appearing to defend 9-2
Files and records of cases to be kept by 7-1 Small claims 11-16
Destruction of files 7-10 Subsequent orders of notice 11-5
Motion to prevent 7-16 COSTS
Retention and stripping of files, schedule 7-11 See APPELLATE PROCEDURE; FEES AND COSTS
Adult probation and family division, reports from 7-14
Criminal actions, records and files in 7-13 COUNSEL
Title to land, files in actions affecting 7-12 See ATTORNEYS
Transfer to records center or state library 7-15
Financial accounts to be kept 7-3 COURT CLOSURE
Hospital, medical and psychiatric records, prerequisites for Civil proceedings 11-20
filing with clerk 7-18 Criminal trials 42-49
Expedited review of order 77-1
Hours of offices 7-17
Family matters 25-59
Judgment files, see JUDGMENTS
Lost files or pleadings 7-8 CRIMINAL CONTEMPT
Notice of judgments and rulings to be given counsel and See CONTEMPT
self-represented parties 7-5
Offices, hours of 7-17 CRIMINAL PROCEDURE
Prerequisites for filing papers and documents 7-6 Accelerated pretrial rehabilitation without trial 39-33
Responsibilities after appeal filed 68-1 Acquittal
Short calendar matters, records of 7-20 Judgment of following guilty verdict 42-51
Subpoena, issuing for self-represented parties 7-19 Motion for directed verdict of abolished 42-40
Motion for judgment of 42-40
CLIENT SECURITY FUND After guilty verdict 42-51
See ATTORNEYS After mistrial 42-50
At close of evidence, reservation of decision on 42-42
COLLATERAL SOURCE At close of prosecution’s case 42-41
Reduction of verdict, motion for 16-35 Time limit for filing 42-52
Release pending appeal by state from judgment of 43-1
COMMITTEES AND REFEREES Adult probation, commitment to of drug-dependent defend-
See REFERENCES ant without trial 39-33
Alcohol education and treatment, commitment to without
COMPUTERS, PORTABLE IN COURTROOM
trial 39-33
See MEDIA Alibi defense 40-21—40-25
CONNECTICUT LAW JOURNAL Alternate incarceration program
Appellate opinions and orders, date of 71-1 Order for assessment for placement in, following convic-
Child protection matters, appeals 79a-11 tion 43-3
Attorneys, inactive status, reprimand, suspension, disbar- Assessment report not public record 43-9
ment, publication of notice of 2-54 Copying assessment report prohibited 43-8
Defense counsel, participation in 43-5
Rules of court, publication of 1-9, 86-1
Disclosure of assessment report 43-9
Emergency adoption of rules 1-9B
Persons receiving assessment report 43-7
CONNECTICUT REPORTS AND CONNECTICUT APPEL- Scope of assessment 43-4
LATE REPORTS Time to complete 43-6
Official appellate opinions contained in 71-4 Use of assessment report 43-9
Reference to without trial 39-33
CONSOLIDATION OF ACTIONS FOR TRIAL 9-5 Appeal, see also APPELLATE PROCEDURE
Appellate counsel
CONTEMPT Hybrid representation prohibited 62-9A
Generally 1-13A Removal or substitution of 62-9A
Civil 1-21A Indigent defendant, appointment of counsel, waiver of
Review of 23-20 fees and costs 43-33
574
INDEX
CRIMINAL PROCEDURE — (Cont) CRIMINAL PROCEDURE — (Cont)

Appeal, see also APPELLATE PROCEDURE — (Cont) Assignment and scheduling of cases, in general 44-11, 44-
Frivolous appeal, request by counsel to withdraw 43- 12 — (Cont)
34—43-38 Order of trial assignments, priorities 44-16
Interlocutory ruling, appeal from 61-6 (c) Bail
Notice of appeal rights 43-30 See also Bond, this title; Pretrial release, this title
Release from custody pending 43-1, 43-2 Cash, where bond allowed 38-7
State, appeal by 61-6 (b) For release pending appeal of conviction 43-2
Stay of imprisonment pending 43-31 Petition for review of order concerning release on bail
Stay of probation pending 43-32 78a-1
Appearance and arraignment Ten percent cash bail 38-8
See also APPEARANCES—IN GENERAL; Bail, this Bill of particulars, motion for 41-20
title; Pretrial release, this title Amended or substitute information incorporating bill 41-22
Appearance after pretrial release 38-6 Content 1-21
Arraignment, timing 37-1 Bond
Constitutional rights, advisement of 37-3, 37-4 See also Pretrial release, this title
Indigency, investigation of 37-5 As condition of release pending appeal of conviction 43-2
Information and materials to be provided to defendant Attorney not to give bond 38-12
37-2 Cash bail in amount of 38-7
Public defender, appointment 37-6 Forfeiture on violations of release, issuance of rearrest
Reference to, investigation of indigency 37-5 warrant or capias 38-21
Detention prior to arraignment, trial, sentencing, limit on Rebate to surety after forfeiture 38-22
38-18 Modification, motion for 38-14
Disposition conference 39-11—39-17 Real property pledge in lieu of cash bond 38-9
Dispositions without trial, miscellaneous 39-33 As condition of release pending appeal of conviction
Media coverage of arraignments 1-11A 43-2
Nolle prosequi, see Nolle prosequi, this title Rebate to surety after forfeiture 38-22
Plea, see Pleas, this title Surety, discharge of 38-23
Probable cause, determination of where defendant in cus- Ten percent cash bail 38-8
tody 37-12 Capias for
Arrest and preliminary procedure Defendant unexcused from trial or sentencing 44-9
See also Bail, this title; Pretrial release, this title Failure to appear for deposition 40-45
By warrant, issuance 36-1 Hearing to review conditions of release 38-15, 38-16
Affidavit in support of warrant application 36-2 Violation of bond or promise to appear 38-21
Sealing 36-2 Closure of court 42-49
Cancellation of warrant 36-6 Expedited review of order 77-1
Contents of warrant 36-3 Commissioner of mental health, commitment to without trial
Execution and return of warrant 36-5 39-33
Information and complaint, use 36-11 Community service labor program, reference to without trial
Amendments, minor defects 36-16 39-33
Continuance necessitated by amendment 36-20 Complaint, see Arrest and preliminary procedure, this title
Essential facts, request by defendant for 36-19 Consolidation of informations for trial 41-19
Substantive amendment after trial commenced 36-18 Counsel, representation by
Substantive amendment before trial 36-17 Appeal by indigent defendant 43-33
Filing and availability of information 36-15 Frivolous appeal, request by counsel to withdraw 43-
Former conviction in information 36-14 34—43-38
Election of jury trial 42-2 Appellate counsel 62-9A
Plea to 37-10 Appointed counsel, right to in general 44-1, 44-2
Form of information 36-13 Public defender, reference at arraignment 37-5, 37-6
Issuance of information 36-12 Waiver of right to counsel 44-3
Joinder Standby counsel, appointment and role 44-4—44-6
Defendants 36-22 Crime, defined 44-37
Offenses 36-21 Custody, see Release, this title
Summons, form of summons and complaint 36-7 Decision, statement of by judicial authority, when required
Direction by judicial authority for use of 36-4 6-1, 64-1, 64-2
Failure to respond to 36-10 Defense, alibi 40-1—40-25
In lieu of arrest warrant 36-12 Definitions 44-37
Service of 36-9 Depositions, in general, grounds 40-44; see also Discovery,
Arrest of judgment, motion 42-54 this title
Assignment and scheduling of cases, in general 44-11, Defendant, right to be present and represented 40-54
44-12 Waiver of right 40-55
Continuances 44-13, 44-18 Expenses of 40-58
Disposition conference, assignment for 44-15 Failure to appear for, capias 40-45
Plea, assignment for 44-14 Manner of taking 40-49, 40-57
Preliminary proceedings, continuances 44-13 Notice of 40-47
Trial, assignment for 44-15 Objections during 40-49
Motion to advance 44-17 Person taking deposition 40-47
575
INDEX

Depositions, in general, grounds 40-44; see also Discovery, Family relations division, reference to without trial 39-33
this title — (Cont) Fees
Protective order concerning 40-48 Extradition, officer’s fees 44-35
During examination 40-52 Subpoenas, return of 44-32
Return of, depositions to be sealed 40-53 Witnesses, travel fees 44-34
Right of defendant to be present 40-54 Indigent witnesses, transportation and support 44-33
Waiver of right 40-55 Felony, defined 44-37
Scope of examination 40-50 Files and documents, sealing 42-49A
Unavailable deponent, defined 40-56 Finding of guilty or not guilty by judicial authority 42-34
Use of 40-46, 40-57 Fines
Detention prior to arraignment, trial, sentencing, limit on Ability to pay, inquiry by judicial authority concerning
38-18 43-17
Discovery, in general 40-1; see also Depositions, this title Incarceration for wilful nonpayment 43-18
Admissibility of defendant’s intent to offer evidence or call Release on payment 43-19
witness 40-30 Mittimus where sentence includes fine as well as impris-
Alibi defense, required notices concerning 40-21—40-23 onment 43-20
Exceptions 40-24 Guardian ad litem, appointment 44-20
Withdrawn alibi not admissible 40-25 Identification of cases 7-4A
Continuing duty to disclose 40-3 Incarceration
Custody of materials 40-10 Correction of illegal sentence 43-22
Disclosure to unrepresented defendant 40-10 For wilful nonpayment of fine 43-18
Defendant’s duty, materials discoverable by prosecution Release on payment 43-19
as of right 40-26 Inquiry by judicial authority concerning ability to pay fine
Derivative materials, disclosure to defendant 40-28 43-17
Discretionary disclosure by 40-27 Mittimus where sentence includes fine as well as impris-
Materials excepted from disclosure 40-31 onment 43-20
Protective orders, for defendant 40-29 Reduction of definite sentence 43-21
Documents or objects, subpoenas for 40-2 Release pending appeal 43-1
Failure to comply 40-5 Stay of imprisonment pending appeal 43-31
Law enforcement reports, affidavits and statements, dis- Information, see Arrest and preliminary procedure, this title
closure of 40-13A Infraction, defined 44-37
Mental disease or defect or extreme emotional distur- See INFRACTIONS
bance, disclosure of defense of 40-17 Interactive audiovisual device, presence of incarcerated
Expert testimony concerning, disclosure by defendant defendant by means of 44-10, 44-10A
of intent to use 40-18 Joinder
Failure of expert to submit report 40-20 Defendants 36-22
Psychiatric examination, prosecutorial motion for 40-19 Offenses 36-21
Nontestimonial evidence, obtaining from defendant 40-32 Severance 41-18
Comparison of 40-39 Joint trial of two or more informations 41-19
Emergency procedure for 40-33 Judge trial referee, reference to 44-19
Motion for, by defendant 40-38 Judgment, motion in arrest of 42-56
Order for, scope 40-34 Judicial authority, determination of guilt where no jury 42-43
Contents 40-35 Jury trials, right to and waiver 42-1
Implementation 40-37 Array, challenge to 42-4
Service 40-36 Cause, excuse of juror for 42-11
Objection to disclosure 40-8 Charge, see Instructions, this title
Performance 40-6 Communications
Procedure 40-7 Judicial authority and jurors 42-7
Prosecuting authority’s duty to disclose 40-11 Parties and jurors 42-8
Discretionary disclosure by 40-12 Deliberations 42-21
Materials excepted from disclosure 40-14 Deadlocked jury 42-28
Protective orders 40-29, 40-40 Testimony, request by jury for review of 42-26
Factors to be considered 40-41 Disqualification of jurors 42-5
In camera proceedings on motion for 40-42, 40-43 Hearing impaired jurors, interpreters 42-10
Excision as relief, record of 40-43 Information, exhibits, copy or tape of instructions to be
Requests and motions 40-4 submitted to jury 42-23
Scientific tests and experiments 40-9 Instructions, conference with counsel concerning sub-
Statements 40-15, 40-16 stance 42-19
Subpoenas for documents or objects 40-2 Additional instructions 42-25
Witnesses, information concerning and statements by Jury’s request for 42-27
40-13 Clarification or modification 42-24
Dismiss, motion to, see Motion to dismiss, this title Jury selection, preliminary proceedings 42-11
Disposition conference 39-11—39-17 Peremptory challenges 42-13
Docketing, see Assignment and scheduling of cases, this Voir dire 42-12
title Note taking by jurors 42-9
Electronic filing 4-4 Oath and admonitions to jurors 42-14
576
INDEX

Jury trials, right to and waiver 42-1 — (Cont) Pleas, in general 37-7 — (Cont)
Questions by jurors 42-9 Appeal from denial of motion to dismiss or to suppress
Questions of fact, jury to decide 42-20 61-6 (a) (2) (A)
Requests to charge and exceptions 42-16 Disclosure to judicial authority 39-7
Filing 42-17 Rejection by judicial authority 39-10
Form and contents 42-18 Reservation of right to appeal 61-6 (a) (2) (B)
Selection of jurors, preliminary proceedings 42-11 Sentencing 39-8, 39-9
Peremptory challenges 42-13 Discussions, procedure for in general 39-1
Voir dire 42-12 Defendant represented by counsel or not 39-2
Sequestration 42-22 Defense counsel, role in plea agreements 39-3
Size of jury, election by defendant 42-3 Subject matter 38-4
Testimony, request by jury for review of 42-26 Guilty or nolo contendere 37-8, 39-18
Two part information 42-2 Acceptance and canvass of defendant by judicial
Verdict, see VERDICT authority 39-19—39-21
Viewing of place or thing by jury 42-6 Conditional pleas of 39-5
Voir dire of jurors 42-12 Other offenses, pleading to after finding of guilty 39-22
Law enforcement officer, defined 44-37 Record of proceedings 39-24
Law enforcement reports, affidavits and statements 40-13A Rejected plea inadmissible 39-35
Limine, motion in 42-15 Sentencing, see Sentencing, this title
Media coverage of criminal proceedings 1-11C Withdrawal of plea 39-26—39-28
Memorandum of decision by trial court 6-1, 64-1 Nolle prosequi 39-29
Misdemeanor, defined 44-37 Dismissal of information or complaint 39-32
Mistrial, for prejudice to defendant 42-43 Effect of 39-31
For prejudice to prosecution 42-44 Objection by defendant 39-30
Mittimus, where sentence includes fine as well as imprison- Not guilty 37-9
ment 43-20 Two part information charging former conviction 37-10,
Motion for acquittal, see Acquittal, this title 37-11, 39-23
Motion for mistrial, see Mistrial, this title Election of jury trial on second part 42-2
Motion for new trial, see New trial, this title Presence of defendant at arraignment, plea, evidentiary
Motion in arrest of judgment 42-56 hearings, trial and sentencing 44-7
Trial and sentencing, when presence not required 44-8
Motion in limine 42-15
Other exceptions 44-10
Motions and requests, pretrial, in general 41-1, 41-2
Unexcused defendant, capias 44-9
Form and manner of making 41-6
Presence of incarcerated defendant by interactive audiovi-
Hearings and rulings 41-7
sual device 44-10, 44-10A
List of motions 41-3
Presentence investigation and report 43-3
Speedy trial 43-41
Copying report prohibited 43-8
Time to make, waiver 41-4, 41-5
Defense counsel, participation in 43-5
Motion to dismiss, matters to be raised by 41-8
Familiarization of with report and correction of report
Appeal from denial of after conditional plea of nolo conten- at sentencing 43-13, 43-14
dere 61-6 (a) (2) (A) Disclosure of report 43-9
Defects not requiring dismissal 41-10 Persons receiving report 43-7
Remedies for 41-11 Report not public record 43-9
Restrictions on 41-9 Scope 43-4
Motion to suppress 41-12 Time to complete 43-6
Appeal from denial of after conditional plea of nolo conten- Use of report 43-9
dere 61-6 (a) (2) (A) Waiver by defendant 43-3
Intercepted communications 41-14 Pretrial motions in general 41-1, 41-2
Judicial authority, when disqualified from hearing 41-17 Form and manner of making 41-6
Seized property, return and suppression 41-13, 41-16 Hearings and rulings 41-7
Time to file 41-15 List of motions 41-3
New trial, motion for 42-53 Time to make, waiver 41-4, 41-5
Time for filing 42-54 Pretrial release
Where based on newly discovered evidence 42-55 By bail commissioner, conditions 38-3
Nolle prosequi 39-29 By clerk, procedure 38-1
Dismissal of information or complaint 39-32 By correction officials 38-5
Effect of 39-31 By judicial authority, conditions 38-4 (a)
Objection by defendant 39-30 Factors to be considered 38-4 (b)
Offense, defined 44-37 Statement of reasons for conditions imposed 38-11
Order of parties at trial 42-35 By law enforcement officer on bond or promise to appear
Of defendants where two or more 42-38 38-2
Pleas, in general 37-7 Capias for hearing to review conditions of release 38-15,
Agreements, conditional pleas of guilty or nolo contendere 38-16
39-5 Detention prior to arraignment, trial, sentencing, limit on
Alternative dispositions recommended by prosecuting 38-18
authority 39-6 Modification 38-13
577
INDEX

Pretrial release — (Cont) Speedy trial, time limitations 43-39 — (Cont)
Application for by surety on bail bond 38-16 Motion for; dismissal 43-41
Hearing to consider 38-17 Waiver 43-43
Motion for by bail commissioner 38-15 Stay
Motion for by parties 38-14 Of imprisonment pending appeal 43-31
Violation of conditions, hearing on 38-19 Of probation pending appeal 43-32
Forfeiture of bond, issuance of capias or rearrest war- Stay pending appeal 61-13
rant 38-21 Subpoenas
Sanctions for 38-20 Fees, return of subpoenas 44-32
Probation For production of documents and objects 40-2
Revocation 43-29 Inquiry by investigative grand jury, motion to quash sub-
Stay pending appeal 43-32 poena 44-31
Prosecuting authority, defined 44-37 Summons, see Arrest and preliminary procedure, this title
Disclosure of plea agreement 43-12 Suppress, motion to, see Motion to suppress, this title
Role at sentencing 43-11 Transfer of pending matter 41-23—41-25
Public defender 37-5, 37-6 Trial, definition of 44-37
Appeals by indigent defendants 43-33—43-38 Argument by counsel, time limits 42-37
Appointed counsel, in general 44-1—44-6 Extrajudicial statements, warning not to make 42-48
Definition of 44-37 Order of parties proceeding at 42-35
Public, exclusion from court proceedings 42-48 Of defendants where two or more 42-38
Expedited review of order 77-1 Public, exclusion of 42-49
Reference to judge trial referee 44-19 Restraint of disruptive defendant 42-46
Release Removal of 42-47
See also Pretrial release, this title Sealing files and documents 42-49
Appeal by defendant from judgment of conviction, release Speedy trial, see Speedy trial, this title
pending, conditions 43-2 Without jury 42-34
Appeal by state from judgment of acquittal, release pend- Verdict, see VERDICT
ing 43-1 Victim
Pretrial, see Pretrial release, this title Inquiry concerning during presentence investigation 43-4
Revocation of probation 43-29
Participation at sentencing 43-10
Sealing affidavits in support of arrest warrant application
Violation, definition of 44-37
36-2
Voir dire of jurors 42-12
Sealing files and documents 42-49A
Sentence review, see Sentencing, this title Warrant, see Arrest and preliminary procedure, this title
Sentencing Witnesses
See also Incarceration, this title Fees for travel and support 44-34
Correction of illegal sentence 43-22 Indigent witnesses, transportation and support for 44-33
Defendant’s right to make statement 43-10 Sequestration 42-36
Defense counsel Youthful offender adjudication without trial 39-33
Correction of presentence investigation report 43-14
CUSTODY
Disclosure of undisclosed plea agreement 43-15
Supplementary documents, submission of 43-16 See generally CRIMINAL PROCEDURE, Release; FAM-
Definite sentence, reduction of 43-21 ILY MATTERS; JUVENILE MATTERS
Hearing, procedure 43-10 DAMAGES
Illegal sentence, correction of 43-22 Assessment by court 17-2
Mittimus, where sentence includes fine as well as impris- Claim for following default for failure to appear 17-20
onment 43-20 Time for filing 17-20
Prosecuting authority, role 43-11
Default for failure to plead, procedure to be followed 17-32
Disclosure of plea agreement 43-12
Demand for relief, statement of 10-20
Reduction of definite sentence 43-21
Interest and costs unnecessary to claim 10-28
Sentence review
Application for, time for filing 43-24 Not to be disclosed to jury 16-19
Counsel, representation by before sentence review divi- Hearings in damages
sion 43-23 Following default 17-34—17-40
Documents, preparation by clerk 43-25, 43-26 Following summary judgment on liability 17-50
Hearing, briefs and memoranda 43-27 Privileged for assignment 14-9
Scope of review 43-28 Jury trial where claim joined with equitable issues 16-11
Stay pending appeal 61-13 Liquidated damages
Victim, participation at 43-10 Contract action 17-33
Sequestration Procedure on default for failure to appear 17-24
Jurors 42-22 When judgment may be rendered following default for
Witnesses 42-36 failure to appear 17-33
Severance of offenses for trial 41-18 Offer of judgment 17-11—17-18
Speedy trial, time limitations 43-39 Physical or mental examination, request for where personal
Commencement of trial, defined 43-42 injury damages claimed 13-11
Excluded periods for calculation of time 43-40 Reduction of award where verdict exceeds demand 16-19
578
INDEX
DAMAGES — (Cont) DISCOVERY AND DEPOSITIONS—CIVIL — (Cont)

Referrals Depositions, in general 13-26 — (Cont)
To arbitrators 23-61 Place of deposition 13-29
To fact finders 23-53 Use of depositions in court proceedings 13-31
Small claims rules, applicability 24-2 Disclosure
Default where liquidated damages claimed 24-24 Amount and provisions of insurance liability policy 13-12
Statement of in demand for relief 10-20 Assets, where prejudgment remedy sought 13-13
Before court or committee 13-17
DECLARATORY JUDGMENT Continuing duty to disclose 13-15
Generally 17-54 Defense 13-19
Appeal 17-58 In equity 13-18
Conditions 17-55 Discovery
Costs 17-57 Health information, motion for authorization to obtain pro-
Order of priorities 17-59 tected 13-9, 13-11A
Procedure 17-56 Outside the United States 13-21
DEFAULT JUDGMENTS Scope, in general 13-2
Absent or nonresident defendant 9-1 Experts 13-4
Default judgments and nonsuits Materials prepared in anticipation of litigation, state-
Appear, failure to 17-19 ments of parties 13-3
Affidavit of debt 17-25 Protective order 13-5
Judgment, entry of 17-27, 17-33 Sought by judgment creditor 13-20
Enforcement of 17-28 Duty to disclose, continuing 13-15
Liquidated sum, action for, applicable procedure 17-24 Electronic deposition procedure 13-30
Military service, affidavit concerning 17-21, 17-25 Electronically stored information, loss of 13-14
Default rules not applicable to defendant in military Family matters 25-31, 25-32
or naval service 17-23 Habeas corpus, civil 23-38, 23-39
Motion for default for failure to appear 17-20, 17-25 Interrogatories, in general 13-6
Procedure not applicable to dissolution of marriage, Answers to 13-7
legal separation, annulment 25-51 Objections to 13-8
Notice of judgment, mailing by counsel 17-22 Juvenile matters 31a-16, 34a-20
Short calendar, motion not on 17-29 Order for compliance, failure to answer or comply with order
Weekly payments, order for 17-26 13-14
Damages, hearing in Orders by judge 13-16
Defense, notice to be specific 17-37 Physical or mental examination, request for 13-11
Amending notice 17-38 Privilege or protection, postproduction claim of 13-33
Reply not allowed 17-39 Remote deposition procedure 13-30
Time to give 17-35 Requests for admission 13-22
Evidence to reduce damages 17-39 Answers and objections to 13-23
Notice by clerk of default 17-36 Requests for production, inspection and examination, in
Plead, default for failure to 17-31, 17-32 general 13-9
Opening default where judgment not rendered 17-42 Physical or mental examination 13-11
Opening judgment on default or nonsuit 17-43 Responses to requests for production, objections 13-10
Small claims, defaults in 24-24 Stipulations regarding discovery and deposition procedure
13-32
DEFICIENCY JUDGMENTS Subpoenas 13-28
See FORECLOSURE Subpoena duces tecum 13-27
DELINQUENCY DISCOVERY AND DEPOSITIONS—CRIMINAL
See JUVENILE MATTERS Depositions, in general, grounds 40-44
Defendant, right to be present and represented 40-54
DISBARMENT
Waiver of right 40-55
See generally ATTORNEYS, Discipline; Grievances
Expenses of 40-58
DISCOVERY AND DEPOSITIONS—CIVIL Failure to appear for, capias 40-45
Admission of facts and execution of writings, requests for Manner of taking 40-49, 40-57
admission 13-22 Notice of 40-47
Answers and objections to requests for admission 13-23 Objections during 40-49
Effect of admission 13-24 Person taking deposition 40-47
Expenses on failure to admit 13-25 Protective order concerning 40-48
Definitions 13-1 During examination 40-52
Depositions, in general 13-26 Return of, depositions to be sealed 40-53
Deposition procedure 13-30 Scope of examination 40-50
Notice of deposition Unavailable deponent, defined 40-56
Deposition of organization, production of documents Use of 40-46, 40-57
and materials 13-27 Discovery, in general 40-1; see also Depositions, this title
General requirements, special notice, nonstenographic Admissibility of defendant’s intent to offer evidence or call
recording 13-27 witness 40-30
Persons before whom deposition taken, subpoenas 13-28 Alibi defense, required notices concerning 40-21—40-23
579
INDEX
DISCOVERY AND DEPOSITIONS—CRIMINAL — (Cont) ELECTRONIC DEPOSITION PROCEDURE 13-30

Discovery, in general 40-1; see also Depositions, this
title — (Cont) ELECTRONIC FILING 4-4
Exceptions 40-24 Appeals 60-7, 63-3
Withdrawn alibi not admissible 40-25 Court system nonoperational 7-17, 63-2
Continuing duty to disclose 40-3 Small claims 24-3
Custody of materials 40-10
ELECTRONIC DEVICES AND MEDIA
Disclosure to unrepresented defendant 40-10
See MEDIA
Defendant’s duty, materials discoverable by prosecution
as of right 40-26 ELECTRONIC TRANSCRIPT 63-8A
Derivative materials, disclosure to defendant 40-28
Discretionary disclosure by 40-27 EMINENT DOMAIN
Materials excepted from disclosure 40-31 Clerk’s fees 18-4
Protective orders, for defendant 40-29 Reference to committee or referee 19-6
Documents or objects, subpoenas for 40-2
Failure to comply 40-5 EQUITABLE RELIEF
Law enforcement reports, affidavits and statements See MANDAMUS
40-13A EVIDENCE
Mental disease or defect or extreme emotional distur- Exceptions not required 5-7
bance, disclosure of defense of 40-17 Exhibits, marking 5-7
Expert testimony concerning, disclosure by defendant Exhibits, transmitting to appellate clerk 68-1
of intent to use 40-18 Interlocutory matters, address by counsel 5-5, 5-8
Failure of expert to submit report 40-20 Medical evidence 15-4
Psychiatric examination, prosecutorial motion for 40-19 Family matters, procedure for introducing 25-55
Nontestimonial evidence, obtaining from defendant 40-32 Motion in limine, civil 15-3
Comparison of 40-39 Criminal 42-15
Emergency procedure for 40-33 Objections, reasons for 5-5
Motion for by defendant 40-38 Reception of evidence objected to 5-6
Order for, scope 40-34 Prima facie case, dismissal for failure to make 15-8
Contents 40-35 Suppress, motion to, criminal cases 41-12
Implementation 40-37 Appeal from denial of after conditional plea of nolo conten-
Service 40-36 dere 61-6 (a) (2) (A)
Objection to disclosure 40-8 Intercepted communications 41-14
Performance 40-6 Judicial authority, when disqualified from hearing 41-17
Procedure 40-7 Seized property, return and suppression 41-13, 41-16
Prosecuting authority’s duty, materials discoverable by Time to file 41-15
defendant as of right 40-11 Supreme Court, admission in original action 84a-5
Discretionary disclosure by 40-12 Witnesses, examination of 5-4
Materials excepted from disclosure 40-14 Oath, administration of 5-3
Protective orders 40-29, 40-40 Sequestration, criminal cases 42-36
Factors to be considered 40-41
In camera proceedings on motion for 40-42, 40-43 EXECUTIONS
Excision as relief, record of 40-43 Civil actions
Requests and motions 40-4 Application for, unsatisfied money judgment 17-52
Scientific tests and experiments 40-9 Costs, execution for balance 18-12
Statements 40-15, 40-16 Default judgment, execution on 17-28
Subpoenas for documents or objects 40-2 Foreclosures
Witnesses, information concerning and statements by Execution of ejectment, stay 23-17
40-13 Small claims 24-30, 24-31, 24-32
Summary process executions 17-30, 17-53
DISMISS, MOTION TO
Civil 10-30—10-34 Criminal matters
Criminal 41-8—41-11 Bond, forfeiture of, stay of execution 38-21
Warrant, execution and return of 36-5
DISQUALIFICATION OF JUDICIAL AUTHORITY
Generally 1-19, 1-22, 1-23 EXHIBITS
Appeals, availability and removal of exhibits 62-10, 62-11
DISSOLUTION OF MARRIAGE or CIVIL UNION Transmitting to appellate clerk 68-1
See FAMILY MATTERS Marking 5-7
Removal from clerk’s office on determination of case 7-21
DOCKET
See generally ASSIGNMENTS FOR TRIAL—CIVIL; EXPERT WITNESSES
CLERKS; CRIMINAL PROCEDURE Appointment by judicial authority in family matters 25-33
E-FILED CASES Criminal cases 40-18—40-20
See ELECTRONIC FILING Deposition fees 13-4
Disclosure of 13-4
ELECTRONIC BRIEFING REQUIREMENT Reports of 13-4
See APPELLATE PROCEDURE; BRIEFS Schedule for expert discovery 13-4
580
INDEX
FACT-FINDING FAMILY MATTERS — (Cont)

See CIVIL ACTIONS, Fact-finding Discovery and depositions 25-31, 25-32, 25-56
Noncompliance with request or order 25-32A
FAMILY MATTERS Special Master 25-32B
Definition of 25-1; see also CIVIL ACTIONS; FAMILY Dissolution of marriage, complaint 25-2
SUPPORT MAGISTRATE MATTERS; JUVENILE Automatic orders on service 25-5
MATTERS Motion for following legal separation 25-36
Affidavit concerning minor child 25-57 Notice and hearing on 25-36
Alimony, motions for 25-24 Required information prior to hearing 25-58
Modification 25-26 Dockets 25-48
Order of notice concerning 25-29 Documents
Annulment, complaint 25-2 Limiting disclosure of 25-59A
Automatic orders on service 25-5 Mandatory exchange of 25-32
Required information prior to hearing 25-58 Personal Identifying information in 25-59B
Appearances, generally 25-6 Production on request prior to hearing or trial 25-56
Failure to file 25-51 Evaluation, court-ordered 25-60A
Interactive audiovisual device, use of 23-68 Evaluation or study, disposition of case to await report 25-60
Appellate briefs 67-13 Evaluation, prohibition against contract with evaluator 25-61
Application Evidence, medical 25-55
Automatic orders on service 25-5, 25-5A Expert witnesses, appointment by judicial authority 25-33
Custody of minor child 25-3 Failure of defendant to appear, generally 25-51
Visitation of minor child 25-4 For scheduled disposition 25-52
Appointment of counsel for minor child, motion for 25-24 Family relations counselor
Assignments 25-48 Disclosure to judicial authority of recommendations by
Attorney for minor child, appointment of 25-62A concerning alimony and child support 25-35
Automatic orders on service of complaint or application Duties of 25-69
25-5, 25-5A Evaluations and studies 25-60
Case management Investigations by 25-69
Conference 25-50 Family services unit, assistance by 25-61
Date, automatic order on 25-5 Family services mediation reports and family services con-
Date, filings by 25-50 flict resolution reports 25-60
Scheduling 25-50 Family support magistrates, determination of matters by
Child support, motion for 25-24 25a-1
Automatic orders on service of petition, child support Appeal from 25a-29
25-5A Files, sealing 25-59A
Child support and arrearage guidelines worksheet 25-30 Financial disputes, definition 25-49
Modification 25-26 Financial statements, automatic orders to complete and
Order of notice concerning 25-29 exchange 25-5
Support enforcement officer, services by 25a-30 To be filed before hearing on motion or order to show
Civil union, complaint for dissolution of 25-2 cause 25-30
Automatic orders on service 25-2 Guardian ad litem, appointment 25-62
Motion for dissolution following legal separation 25-36 Comprehensive training program 25-62
Required information prior to hearing 25-58 Habeas corpus, petition 25-40
Closure of courtroom 25-59 Discovery 25-47
Complaint Dismissal, grounds for 25-42
Amendment 25-7, 25-8 Issuance of writ, preliminary 25-41
Return 25-43
Automatic orders on service 25-5
Reply to return 25-44
Dissolution of marriage or civil union, legal separation,
Schedule for filing pleadings 25-45
annulment 25-2
Summary judgment, motion for 25-46
Contempt, motion for 25-27
Identification of cases 7-4A
Right to counsel 25-63
Insurance coverage, automatic orders to maintain 25-5,
Waiver 25-64 25-5A
Counsel Interactive audiovisual device, use of 23-68
Appointment for minor child, motion for 25-24 Judge trial referees, references to 25-53
Fees, motion for 25-24 Judgment files 25-38
Right to in contempt proceedings 25-63 Legal separation, complaint 25-2
Waiver 25-64 Automatic orders on service 25-5
Right to in paternity actions 25-68 Mandatory exchange of documents 25-32
Criminal restraining order, testimony by person on behalf Medical evidence 25-55
of whom order issued 5-11 Memorandum of decision 64-1, 64-2
Custody of minor child, action for 25-3 Minor child
Automatic orders on service of application 25-5 Affidavits concerning 25-57
Modification 25-26 Attorney for, appointment of 25-62A
Motion for 25-24 Automatic orders concerning filing of dissolution of mar-
Debt, unreasonable, automatic order not to incur 25-5 riage or civil union, annulment or separation complaint
Definitions 25-49 or custody or visitation application 25-5
581
INDEX
FAMILY MATTERS — (Cont) FAMILY MATTERS — (Cont)

Minor child — (Cont) Support enforcement officer, services by 25a-30
Automatic orders concerning petition for child support Trial, order of 25-54
25-5A Uncontested matter, definition 25-49
Custody action 25-3 Uniform Interstate Family Support Act 25-1
Guardian ad litem, appointment for 25-62 Visitation of minor child, action for 25-4
Visitation action 25-4 Automatic orders on service of application 25-5
Motions, generally 25-23 Motion for 25-24
Alimony 25-24 Witnesses, expert, appointment by judicial authority 25-33
Appointment of counsel for minor child 25-24
Child support 25-24 FAMILY RELATIONS COUNSELOR
Contempt 25-27 See FAMILY MATTERS
Counsel fees 25-24
FAMILY SUPPORT MAGISTRATE MATTERS
Custody 25-24
Alimony or child support, modification 25a-18
Exclusive possession of property 25-25
Appeal from decision of family support magistrate 25a-29
Financial statement to be filed before hearing on motion
Appearance, filing, duration and withdrawal 25a-2, 25a-3
or order to show cause 25-30
Applicability of rules in other chapters 25a-1
Personal identifying information, motion to seal or redact
Automatic orders on service of petition 25a-7
documents containing 25-59B
Certificate of completion of limited appearance, filing of
Visitation 25-24
25a-3
Order of trial 25-54
Child support or alimony, modification 25a-18
Orders of notice 25-23, 25-28, 25-29
Cite in new party, motion for 25a-10
Parenting education program, order to participate in 25-5
Continuance, matters requiring counsel’s presence or oral
Parenting disputes, definition 25-49
argument 25a-14
Paternity actions, right to counsel 25-68
Depositions 25a-27, 25a-28
Pendente lite orders in absence of sworn statements by
Disclosure and production of documents 25a-19
parties 25-30
Discovery 25a-24, 25a-25, 25a-26
Pleadings
Expert witnesses, disclosure of 25a-21
Answer 25-9
Financial affidavits, filing 25a-15
Complaints and applications 25-2—25-4
Hearings, telephonic 25-4
Amendments 25-7, 25-8
Hospital records as evidence 25a-20
Cross complaint 25-9
Interrogatories and answers to interrogatories 25a-22,
Answer 25-10
25a-23
Dismiss, motion to 25-12
Failure to comply 25a-25
Denial, further pleading 25-15
Modification of alimony or child support 25a-18
Grounds 25-13
Motions 25a-9
Subject matter jurisdiction, lack of not subject to waiver
Cite in new party 25a-10
25-14
Open judgment of paternity by acknowledgment 25a-17
Electronic filing 4-4
Opening statement to be allowed at discretion of judicial
Order of 25-11
authority 25a-16
Strike, motion to, grounds 25-16
Orders of notice 25a-8
Hearing on 25-17
Paternity acknowledgment, motion to open 25a-17
Judgment, failure to plead after pleading stricken 25-21
Petitions, contents 25a-6
Memorandum of decision, when required 25-20
Automatic orders on service of petition 25a-7
Memorandum of law required 25-19
Cross petition, answer to 25a-11
Reasons to be specified 25-18
Pleadings, signing of 25a-5
Short calendar, hearing on motion to be placed on 25-17
Answer to cross-petition 25a-11
Stricken pleading part of other cause of action 25-22
Order of pleadings 25a-12
Substitute pleading following granting 25-21
Production, inspection and examination, requests for 25a-24
Postnuptial agreements, enforcement or avoidance of 25-2A
Continuing duty to disclose 25a-26
Pretrials 25-48
Failure to comply 25a-25
Production of documents on request prior to hearing or trial
Reclaim of matters gone off family support magistrate calen-
25-56
dar 25a-13
Premarital agreements, enforcement or avoidance of 25-2A
Rules in other chapters, applicability of 25a-1
Property, automatic order not to dispose of 25-5
Short calendar matters, continuance where counsel’s pres-
Proposed written orders to be filed and served by parties
ence or oral argument required 25a-14
25-30
Support enforcement officer, services to be provided 25a-30
Protective order, testimony by individual on behalf of whom
order issued 5-11 FAMILY WITH SERVICE NEEDS
References to judge trial referees 25-53 See JUVENILE MATTERS
Removal of minor child from state, automatic order concern-
ing 25-5 FEES AND COSTS
Residence, automatic orders concerning 25-5 Admission to bar, disposition of fees 2-22
Restraining order, testimony by person on behalf of whom Appeals 60-7, 60-8, 61-7, 61-8
order issued 5-11 Certification for review by supreme court 84-4, 84-9
Sealing files 25-59A, 25-59B Civil actions, application for waiver 8-2
Short calendar, procedure 25-34 Client security fund fee 2-70
582
INDEX
FEES AND COSTS — (Cont) FILES — (Cont)

Pro hac vice, payment by 2-16 Sealing
Consolidated actions 18-14 Civil matters 11-20A, 11-20B
Costs Criminal cases 42-49A
For exhibits 18-18 Expedited review of order 77-1
Interest and costs, unnecessary to claim 10-28 Family matters 25-59A
On appeal from commissioners 18-2 Unfinished record, completion of by clerk 7-9
On complaint and counterclaim 18-16
FORECLOSURE
On counterclaim 18-17
Judgment, timing to file motion for 17-33A
On creditor’s appeal 18-3
Expedited procedure; opening judgment of foreclosure 17-4
On interlocutory proceedings 18-7 Mortgages, appraisal report to be served on each appearing
On writ of error 18-6 defendant 23-16
Several defendants 18-13 Complaint 10-69
Taxation of, appeal 18-5 Complex litigation status and assignment 23-13
Where both legal and equitable issues 18-15 Assigned judge, powers of 23-14
Where several issues 18-12 Request for 23-15
Counsel fees in family matters, motion for 25-24 Deficiency judgment, motion for 23-19
Court expenses, vouchers for 18-1 Law days, listing 23-17
Criminal cases Proof of debt 23-18
Extradition, officer’s fees 44-35 Municipal tax liens, foreclosure of, allegations 10-70
Subpoenas, return of 44-32
Waiver, appeal of conviction by indigent defendant 43-33 GRAND JURY
Witnesses, travel fees 44-34 Review of order of 78-1
Indigent witnesses, transportation and support 44-33 GRIEVANCES
Eminent domain, clerk’s fees 18-4 See ATTORNEYS
Family matters, counsel fees 25-24
Joint plaintiffs or consolidated actions 18-14 GUARDIAN AD LITEM
Jury fee, where more than one trial 18-8 Appointment in criminal cases 44-20
Motor vehicle violation, fee on motion to open judgment Appointment in family matters 25-62
44-36
HABEAS CORPUS
Proceedings before judge, no costs 18-19
Appeal, notice of right to 43-30; see also CRIMINAL PRO-
Small claims 24-32 CEDURE, Appeal
On motion to open judgment 24-31 Certification to appeal 80-1
Waiver, appeals 63-6, 63-7 Appointment of counsel 23-26
Waiver, civil actions 8-2 Motion for leave to withdraw appearance 23-41
Witness fees Judicial action on 23-42
In several suits 18-10 Discovery and depositions 23-38, 23-39
Nonresident witnesses 18-9 Family cases, petition 25-40
Witness not called 18-11 Discovery 25-47
Dismissal, grounds for 25-42
FILES Issuance of writ, preliminary 25-41
Appeals, availability and removal of files 62-10, 62-11 Return 25-43
Review of trial court files by appellate counsel 62-8 Reply to return 25-44
Clerks, records and files of cases to be kept by 7-1 Schedule for filing pleadings 25-45
Custody of 7-7 Summary judgment, motion for 25-46
Destruction of files 7-10, 7-11 Fees and costs 23-25
Motion to prevent 7-16 Petitioner’s presence in court 23-40
Retention and stripping of files, schedule 7-11 By interactive audiovisual device 23-40
Adult probation and family division, reports from 7-14 Pleadings
Criminal actions, records and files in 7-13 Petition 23-22
Sealing 42-49 Amendment of 23-32
Motor vehicle cases, files in 7-13 Consideration by judicial authority, preliminary 23-24
Title to land, files in actions affecting 7-12 Dismissal of 23-29
Transfer to records center or state library 7-15 Noncomplying petition, return of 23-23
Documents and papers, prerequisites for filing 7-6 Reply to return 23-31
Electronic filings 4-4 Return 23-30
Nonoperational electronic filing system 7-17, 63-2 Request for more specific statement 23-33
Exhibits, removal or destruction on determination of case Schedule of filing 23-35
7-21 Record 23-36
Financial accounts, records of to be kept by clerks 7-3 Summary judgment 23-37
Hospital, psychiatric and medical records, prerequisites for Summary procedure 23-34
filing with clerk 7-18 Transfer 23-28
Venue 23-27
Identification of cases 7-4A
Judgment files, see JUDGMENTS HEARING IMPAIRED JURORS
Lost files or pleadings 7-8 Civil juries 16-1, 16-8
583
INDEX
HEARING IMPAIRED JURORS — (Cont) INTERACTIVE AUDIOVISUAL DEVICE — (Cont)

Criminal juries 42-10 Civil and family proceedings, use of for appearance of incar-
cerated individual 23-68
HEARINGS Criminal proceedings, presence of incarcerated individual
See also CIVIL ACTIONS, Fact-finding; JUVENILE by means of 44-10, 44-10A
MATTERS
Appeals, hearings on motions 66-4 INTEREST
Videoconference of hearings 66-4 See FEES AND COSTS
Civil actions
Counsel’s failure to appear 5-10 INTERNS
Fact-finding hearings 23-55 See LEGAL INTERNS
Failure to appear at by party 23-59 INTERPLEADER
Hearings in chambers Pleadings 23-43
Certifying proceedings to court 20-2 Procedure in 23-44
Contested matters, procedure in 20-1
Papers JOINDER
Cause affecting land 20-5 Civil Actions
Clerk designated by judge to take 20-6 Causes of action 10-21—10-22
Trial before judge, lodging papers and file 20-4 Class actions, see CLASS ACTIONS
Transfer of hearings before judges 20-3 Consolidations of actions for trial 9-5
Hearings in damages Impleading of third party 10-11
Following default 17-34—17-40 Interested persons as defendants 9-6
Following summary judgment on liability 17-50 Legal and equitable relief, claims for 10-24
Privileged for assignment 14-9 Miscellaneous parties, joinder as plaintiffs or defendants
Small claims 24-22, 24-23 Assignees 9-15, 9-16
Scheduling, continuances 24-15 Defendants alleged to be alternatively liable 9-14
Time and place, notice 24-14 Personal representatives of deceased cocontractors on
Unemployment compensation 22-2 joint contract 9-12
Delinquency, see JUVENILE MATTERS Persons liable on same instrument 9-13
Family with service needs, see JUVENILE MATTERS Misjoinder 9-19
Telephonic hearings, family support magistrate proceedings Motion to strike as remedy for 11-3
25a-4 Nonjoinder 9-19
Termination of parental rights, see JUVENILE MATTERS Motion to strike for nonjoinder 10-39, 11-3
Parties and actions 9-3
HEARSAY Plaintiffs in one action 9-4
Child’s hearsay statement; residual exception 35a-23 Torts 10-23
IN CAMERA Criminal Matters
See generally HEARINGS Defendants 36-22
Proceedings on motion for protective order in criminal case Misjoinder not requiring dismissal 41-10
40-42, 40-43 Motion for 41-3
Motion for severance 41-18
INDIGENT DEFENDANT Offenses in information 36-22
See PUBLIC DEFENDER Family Matters
Nonjoinder of necessary party, motion to strike 25-16
INFORMATION
See ARREST AND PRELIMINARY CRIMINAL PRO- JUDGES AND JUDICIAL AUTHORITIES
CEDURE Appellate jurists sitting as superior court judges 60-6
Chief judge of appellate court 62-1
INFRACTIONS Disqualification 1-22
As offenses 44-21 Motion for 1-23
Centralized infractions bureau 44-28 Judge trial referee, reference to 19-3
Powers of 44-29 Criminal cases 44-19
Custody, when not required 44-23 Senior judges, references, applicable rules 19-1
When required 44-24
Definition of 44-37 JUDGMENT FILES
Magistrates, hearings by 44-30 See JUDGMENTS
Not guilty pleas 44-26 JUDGMENTS
Hearings following entry of 44-27 Generally 17-1, chapters 6 and 17; see also APPELLATE
Payment of fine as plea of nolo contendere 44-25 PROCEDURE; VERDICT
Summons and complaint, form 44-22 Automatic stay pending appeal, and exceptions 61-11
Nonautomatic stay 61-12
INJUNCTION
Decision, statement of by judicial authority, when required
Notice required for ex parte temporary 4-5
6-1, 64-1, 64-2
INSTRUCTIONS Declaratory judgments, see DECLARATORY JUDGMENT
See JURIES—CIVIL; JURIES—CRIMINAL Default judgments and nonsuits
Appear, failure to 17-19
INTERACTIVE AUDIOVISUAL DEVICE Affidavit of debt 17-25
584
INDEX
JUDGMENTS — (Cont) JUDGMENTS — (Cont)

Default judgments and nonsuits — (Cont) Summary judgments, scope of remedy 17-44 — (Cont)
Judgment, entry of 17-27, 17-33 For part of claim 17-51
Enforcement of 17-28 Motion for, proceedings on 17-45
Liquidated sum, action for, applicable procedure 17-24 Permission to file, motion for 17-44
Military or naval service, affidavit concerning 17-21, Timing of, when scheduling order exists 17-44
17-25 Timing of, when assigned for trial, no scheduling order
Default rules not applicable to defendant in military 14-44
or naval service 17-23 Triable issue as to damages only 17-50
Motion for default for failure to appear 17-20, 17-25 Summary process 17-30
Notice of judgment, mailing by counsel 17-22 Execution 17-53
Short calendar, motion not on 17-29
Weekly payments, order for 17-26 JUDICIAL REVIEW COUNCIL
Damages, hearing in Appeals from, in general 74-1
Defense, notice to be specific 17-37 Appellate rules, applicability of 74-6
Amending notice 17-38 Decision of council, statement of 74-4
Reply not allowed 17-39 Initiation of proceedings by supreme court 74-3A
Time to give 17-35 Papers to be filed 74-1
Evidence to reduce damages 17-39 Parties, proper form of reference 74-5
Notice by clerk of default 17-36 Recommendation by council, action on by supreme court
Opening default where judgment not rendered 17-42 where no appeal 74-2A
Opening judgment on default or nonsuit 17-43
JURIES—CIVIL
Plead, default for failure to 17-31, 17-32
Amount in demand, disclosure to jury prohibited 16-19
Executions 17-52
Array, challenge to 16-2
Facts underlying judgment to appear of record 17-5
Cause, excuse of juror for 16-3
Finality for purposes of appeal, see APPELLATE PRO-
Charge, see Instructions this title
CEDURE
Communications with jurors prohibited 16-14
Finding, form of 17-6
Deliberations 16-16
Special finding, request for 17-7
Deadlocked jury 16-29
Form and contents of 17-9
Interrogatories 16-18
Functions of 17-8
Return for reconsideration 16-17
Foreclosure, timing to file motion for judgment, see FORE-
Review of testimony during 16-27
CLOSURE
Discharge after verdict 16-33
Judgment files, captions and contents 6-2
Exhibits, pleadings and copy or tape of instructions, submis-
Appeal papers, filing requirements 63-4, 67-8
sion to jury 16-15
Appellate proceedings, judgment files in, see APPEL-
Fact, questions of to be decided by jury 16-9
LATE PROCEDURE
Family matters 25-38 Equitable actions, facts decided by jury, when 16-10
Notation of satisfaction of judgment 6-5 Judgment of court 16-13
Preparation, when, by whom, filing 6-3 Hearing impaired jurors, interpreters for 16-1
Signing 6-4 Interpreters not to participate in deliberations 16-8
Memorandum of decision 6-1, 64-1, 64-2 Instructions
Modifying judgment after appeal 17-9 Additional instructions 16-26, 16-28
Offer of compromise Counsel to be informed of substance of charge 16-25
By defendant 17-11 Deadlocked jury 16-29
Acceptance of offer 17-12 Modification for correction or clarification 16-25
Failure to accept offer 17-13 Requests for, see Requests to charge and exceptions,
By plaintiff, counterclaim plaintiff 17-14 this title
Acceptance of offer 17-15 Interrogatories 16-18
Failure to accept offer 17-16 Jury selection, preliminary proceedings
Judgment where amount greater than offer recovered Disqualification of jurors 16-4
17-18 Peremptory challenges 16-5
Negligence of health care provider alleged 17-14A Voir dire 16-6
Offer and acceptance to be included in record 17-17 Legal and equitable issues, determination of case pre-
Opening 17-4 senting both 16-11
Expedited procedure, opening judgment of foreclosure Judgment in 16-13
17-4 Note taking by jurors 16-7
Record of proceeding, facts to appear on 17-5 Oath and admonitions to jurors 16-8
Remittitur where judgment too large 17-3 Pleadings, submission to jury 16-15
Setting aside 17-4 Polling after verdict 16-32
Stay pending appeal, and exceptions 61-11, 61-12 Questions by jurors during trial 16-7
Summary judgments, scope of remedy 17-44 Questions of fact, jury to decide 16-9
Affidavits Judgment 16-13
Bad faith, affidavits made in 17-48 Questions of law, judicial authority to decide 16-9
Form of 17-46 Request to charge and exceptions 16-20
Appropriate documents not available 17-47 Filing 16-22
Judgment 17-49 Form, contents and number 16-23
585
INDEX
JURIES—CIVIL — (Cont) JUVENILE MATTERS — (Cont)

Request to charge and exceptions 16-20 — (Cont) Attorney — (Cont)
Principles of law in 16-21 Neglected, abused and uncared for child; termination
Selection of jurors of parental rights 32a-1, 32a-7
Disqualification of jurors 16-4 Review by appellate review attorney 35a-21
Peremptory challenges 16-5 Right to 27-5, 27-6, 30-3, 30a-1, 32a-1
Voir dire 16-6 Waiver of right, neglected, abused and uncared for child;
Verdict, see VERDICT termination of parental rights 35a-1
Viewing of place or thing by jury 16-12 Chief public defender, assignment of attorney to represent
Voir dire of prospective jurors 16-6 child 32a-1
Child, definition of 26-1
JURIES—CRIMINAL As witness, procedure for testimony 32a-4
Array, challenge to 42-4 Child protection, see Neglected, abused and uncared for
Cause, excuse of juror for 42-11 child; termination of parental rights, this title
Charge, see Instructions, this title Commitment, definition 26-1
Communications Commitment of child as mentally ill 31a-15
Judicial authority and jurors 42-7 Revocation of 35a-14A
Parties and jurors 42-8 Complaint, definition of 26-1
Deliberations 42-21 Contempt 34a-22
Deadlocked jury 42-28 Continuances and advancements 34a-5
Testimony, request by jury for review of 42-26 For case status conference on denial of petition alleging
Disqualification of jurors 42-5 neglected, abused and uncared for child and termina-
Duty to report prejudicial information, improper outside influ- tion of parental rights 33a-7, 35a-2
ence, clerical mistake in verdict 42-8 Coterminous petitions, neglected, abused and uncared for
Hearing impaired jurors, interpreters 42-10 child; termination of parental rights 35a-3
Information, exhibits, copy or tape of instructions to be sub- Counsel, see Attorney, this title
mitted to jury 42-23 Court-ordered evaluation of child 34a-21
Instructions, conference with counsel concerning substance Custody, order of temporary 33a-6
42-19 Emergency or life-threatening situation, application proce-
Additional instructions 42-25 dure 33a-8
Jury’s request for 42-27 Preliminary hearing 33a-7
Clarification or modification 42-24 Respondent’s rights, statement of 33a-7
Jury selection, preliminary proceedings 42-11 Default, opening order obtained by 35a-18
Array, challenge to 42-4 Defenses, disclosure of, delinquency proceedings 31a-17
Peremptory challenges 42-13 Definitions 26-1
Voir dire 42-12 Delinquency, complaint or petition, nonjudicial handling, see
Note taking by jurors 42-9 Nonjudicial handling of delinquency or family with service
Oath and admonitions to jurors 42-14 needs complaints or petitions, this title
Questions by jurors 42-9 Delinquency hearing, see Hearings: delinquency, family with
Questions of fact, jury to decide 42-20 service needs, this title
Requests to charge and exceptions 42-16 Delinquency informations or petitions, contents and service
Filing 42-17 29-1, 29-2
Form and contents 42-18 Processing 29-1A
Right to jury trial, waiver 42-1 Detention
Selection of jurors, preliminary proceedings 42-11 Admission to 31-1A
Array, challenge to 42-4 Advisement of rights 30-3
Peremptory challenges 42-13 Notice to parents 30-4
Voir dire 42-12 Basis for, requirements 30-6
Sequestration 42-22 Conditional release 30-10
Size of jury, election by defendant 42-3 Definition of 26-1
Testimony, request by jury for review of 42-26 Duration of 30-5, 30-8, 30-10
Two part information 42-2 Requirements for extension 30-5
Verdict, see VERDICT Family with service needs 30-2A
Viewing of place or thing by jury 42-6 Hearing
Voir dire of jurors 42-12 Information to be considered 30-9
Waiver of right to jury trial 42-1 Place of 30-7
Waiver of 30-8
JUVENILE MATTERS Initial order for, without hearing 30-8
Adjudicatory hearing Release to parents 30-8
Neglected, abused and uncared for child; termination of Nondelinquent child, other jurisdiction 30-5
parental rights 35a-1 Order for, after hearing, on finding of necessary factor
Appeal, see also APPELLATE PROCEDURE 30-10
Applicability of general superior court rules 34a-1 Release, and periodic drug testing as condition 30-10
Attorney Subsequent to dispositional hearing, mandatory review
Access to reports and studies 30-11
Delinquency and family with service needs 30-9, 30a-8 Disclosure of defenses, delinquency proceedings 31a-17
586
INDEX
JUVENILE MATTERS — (Cont) JUVENILE MATTERS — (Cont)

Discovery Hearings: delinquency, family with service needs — (Cont)
Delinquency, family with service needs, youth in crisis Counsel, request for 30a-2
matters 31a-16 Dispositional hearing 30a-5
Neglected, abused and uncared for child; termination of Victim, statement on behalf of 30a-6
parental rights 34a-20 Plea agreement 30a-2
Dismiss, motion to 34a-9—34a-11 Plea canvass 30a-4
Electronic filing 26-3 Plea hearing, initial 30a-1
Emergency medical situations requiring temporary custody Counsel, appointment of 30a-1
33a-8 Preadjudication continuance 30a-1A
Emergency relief 34a-23 Pretrial conference 30a-2
Evaluation of child 34a-21 Recording of hearings 30a-7
Examinations, physical or mental, delinquency or family with Records 30a-8
service needs 31a-14 Testimony admissible at dispositional hearing 30a-5
Family support center, definition of 26-1 Hearsay, child’s statement; residual exception 35a-23
Family with service needs, complaint or petition, nonjudicial Indian child, definition of 26-1
handling, see Nonjudicial handling of delinquency or fam- Indigent parties, requests for subpoenas 32a-2
ily with service needs complaints or petitions, this title Information, definition 26-1
Family with service needs hearing, see Hearings: delin- Informations, delinquency, contents and service 29-1, 29-2
quency, family with service needs, this title Processing 29-1A
Family with service needs petition, contents and service 29- Interactive audiovisual device, appearance by 35a-22
1, 29-2 Mentally ill child, commitment as 31a-15
Processing 29-1B Modification of probation 31a-18
Family with service needs, petition for child at imminent risk Motions and applications: delinquency and family with ser-
31a-21 vice needs
Family with service needs, petition for violation of post- Adult criminal docket, motion to transfer to 31a-12
adjudicatory orders 31a-20 Bill of particulars, motion for 31a-2
Family with service needs petition, preadjudication continu- Continuances and advancements 31a-1A
ance 30a-1A Discovery, motions for 31a-16
Family with service needs referrals 27-9 Dismiss, motion to 31a-3
Guardian, definition 26-1 Extension of delinquency commitment, motion for 31a-19
Hearing procedure, neglected, abused and uncared for Extension of family with service needs commitment,
child; termination of parental rights 32a-2 motion for 31a-19A
Hearings Form of motions, time for filing, amendment 31a-1
Adjudicatory, neglected, abused and uncared for child; Joint trial of petitions or informations, motion for 31a-10
termination of parental rights 35a-1 Judgment of acquittal, motion for 31a-5
Advancement of 34a-5 Motion in limine 31a-7
Attendance of persons 26-2 New trial, motion for 31a-11
Agency representative 26-2 Permanency plan, delinquency, motion for review of
Exclusion of persons not necessary 26-2 31a-19
Foster parent 26-2 Permanency plan, family with service needs, motion for
News media 26-2 review 31a-19A
Prohibition of disclosure of identifying information for Sequestration of witnesses, motion for 31a-8
good cause 26-2 Severance of offenses for trial, motion for 31a-9
Relatives 26-2 Suppress, motion to 31a-4
Service Provider 26-2 Take into custody order, application for 31a-13
Termination of parental rights or allegations of uncared Temporary custody order 31a-13A
for, neglected or abused child, attendance of per- Transfer of venue, motion for 31a-6
sons with legitimate interest 26-2 Transfer to adult criminal docket, motion for 31a-12
Victim in delinquency hearings, exclusion of for good Motions, in general 31a-1, 34a-1
cause 26-2 Changes in court dates, continuances 34a-5
Audiovisual device, appearance by 35a-22 Contempt 34a-22
Civil proceedings, hearings as 32a-2 Dismiss 34a-9—34a-13
Continuance 34a-5 Emergency relief 34a-23
For case status conference, neglected, abused and Evaluation of child 34a-21
uncared for child; termination of parental rights 33a- Intervene 35a-4
7, 35a-2 Strike 34a-15—34a-19
Definition 26-1 Transfer of guardianship 35a-12
Delinquency hearing, see Hearings: delinquency, family Neglected, abused and uncared for child; termination of
with service needs, this title parental rights
Detention hearing, see Detention, hearing, this title Adjudication 35a-1
Dispositional hearings 30a-5, 30a-6, 35a-9—35a-11 Admission or denial of allegations of petition 35a-1
Dispositive hearing, definition 26-1 Adverse inference 35a-7A
Hearings: delinquency, family with service needs Burden of proceeding 35a-8
Advisement of rights, initial plea hearing 30a-1 Consolidation of petitions 35a-6A
Burden of going forward 30a-3 Consolidation with hearing on temporary custody order
Continuance for pretrial conference 30a-2 33a-7
587
INDEX

Neglected, abused and uncared for child; termination of Neglected, abused and uncared for child; termination of
parental rights — (Cont) parental rights — (Cont)
Continuance for case status conference 33a-7, 35a-2 Rights of parents or guardians 32a-1
Evidence 35a-7 Service 33a-2
Exclusion of unnecessary persons from courtroom Standard of proof
35a-1B Clear and convincing evidence and proof beyond a
Explanation of petition 35a-1 reasonable doubt, termination of parental rights
Nolo contendere plea 35a-1 32a-3
Record of case 35a-1A Fair preponderance of evidence, neglect, uncared for
Advisement of rights 32a-1 and dependency petition 32a-3
Allegations of petition 33a-1 Strike, motion to 34a-15—34a-19
Chief public defender, assignment of attorney to represent Subpoenas 32a-2
child 32a-1 Substance abuse treatment records 32a-8
Child or youth Summons accompanying petition, neglected, abused and
As witness 32a-4 uncared for child 33a-2
Consultation with in court 32a-5 Temporary custody, order of 33a-6
Exclusion from courtroom 32a-5 Emergency or life-threatening situation, application pro-
Competency of parent 32a-9 cedure 33a-8
Coterminous petitions 35a-3 Location of minor child, information provided under seal
Counsel, right to 32a-1 to counsel for child 33a-2
Default, opening 35a-18 Preliminary hearing; notification of rights 33a-7
Hearing 35a-18 Respondent’s rights, statement of 33a-7
Discovery 34a-20 Transfer of guardianship, motions for 35a-12A
Dismiss, motion to 34a-9—34a-13 Venue 33a-3
Dispositional hearing Nonjudicial handling of delinquency complaints 27-1A
Evidence and mandated social study 35a-9 Additional offenses and misconduct 27-4
Mandated social study, availability to parties, counsel Denial of responsibility for misconduct 27-6
and self-represented parties 35a-10 Dismissal following successful completion of nonjudicial
Witnesses, respondents’ right to produce 35a-11 handling 27-8A
Dispositions, motions to modify 35a-16 Eligibility for delinquency nonjudicial handling, initial inter-
Evaluation of child 34a-21 view 27-5
Foster parents, prospective adoptive parent, relative care Erasure following successful completion of nonjudicial
giver and siblings, right to be heard 35a-5 handling 27-8A
Guardian, role of 35a-6 Ineligibility for nonjudicial handling 27-4A
Hearing procedure in general 32a-2 Initial interview, explanation of allegations 27-5
Interpreter 32a-6 Notice to appear 27-1A
Intervene, motions to 35a-4 Probation department, referral to 27-1A
Modification of guardianship, post-disposition motion for Responsibility, acknowledgment or denial 27-6, 27-7
35a-20 Nonjudicial supervision of child 27-8A
Motions to modify dispositions 35a-16
Written statement of responsibility 27-7
Order of temporary custody 33a-6
Rights of parties, explanation of 27-5
Preliminary hearing 33a-7
Successful completion of nonjudicial handling, dismissal
Permanency plan, motion for review 35a-14
and erasure of matter 27-8A
Petitions, allegations 33a-1
Petitions, consolidation of 35a-6A Notice
Petitions, coterminous 35a-3 Detention 30-4
Petition to reinstate parent or former legal guardian as To appear, delinquency or family with service needs
guardian 35a-20 27-1A
Petition to remove parent as guardian, transfer from pro- Orders
bate court 35a-19 Custody, take into, definition of 26-1
Pleading 34a-6—34a-8 Application for 31a-13
Probate court, transfer of petition to remove parent as Following violation of condition of suspended detention
guardian 35a-19 30-10
Protective supervision Temporary custody 33a-6
Application to modify 33a-6 Emergency or life-threatening situation, application pro-
Conditions and modification 35a-12 cedure 33a-8
Publication as service 33a-5 Location of minor child, information provided to counsel
Records, confidentiality 32a-7 for child under seal, 33a-2
Records, substance abuse treatment 32a-8 Preliminary order of first hearing 33a-7
Reinstatement of parent or former legal guardian as Respondent’s rights, statement of 33a-7
guardian, motion for 35a-20 Parent, definition of 26-1
Removal of child from home 35a-13 Petition to remove parent as guardian, transfer from pro-
Respondent, identity or location unknown 33a-4 bate court 35a-19
Chief child protection attorney to assign counsel 33a-4 Parties, definition of 26-1
Reunification efforts 35a-15 Intervening party, definition of 26-1
Revocation of commitment 35a-14A Legal party, definition of 26-1
588
INDEX

Permanency hearing, following commitment as delinquent Standards of proof 30a-3, 32a-3
31a-19 Subpoenas 32a-2
Permanency plan, definition 26-1 Substance abuse treatment records 32a-8
Motion for review of 31a-19, 31a-19A, 35a-14 Superior court rules, general provisions, applicability 34a-1
Petitions Supervision
Amendment 31a-1, 34a-1 Judicial, definition of 26-1
Definition of 26-1 Nonjudicial, definition of 26-1
Delinquency petition, contents and service 29-1, 29-2 After acknowledgment of responsibility, delinquency or
Processing 29-1A family with service needs 27-8A
Family with service needs petition, contents and service Protective 26-1, 35a-12
29-1, 29-2 Take into custody order, definition 26-1
Processing 29-1B After violation of condition of suspended detention 30-10
Family with service needs, petition for child at imminent Application for 31a-13
risk 31a-21 Temporary custody, order of 33a-6
Family with service needs post-adjudicatory orders, peti- Consolidation of hearing with underlying petition 33a-7
tion for violation of 31a-20 Emergency or life-threatening situation, application proce-
Neglected, abused and uncared for child; termination of dure 33a-8
parental rights 33a-1 Preliminary order or first hearing 33a-7
Removal of parent as guardian 35a-19 Preliminary order 33a-7
Termination of parental rights 35a-19 Respondent’s rights, statement of 33a-7
Physical and mental examinations, delinquency or family Termination of parental rights, see Neglected, abused and
with service needs 31a-14 uncared for child; termination of parental rights, this title
Pleadings, neglected, abused and uncared for child; termi- Testimony
nation of parental rights Admissible at dispositional hearing, delinquency or family
Contempt, motion for 34a-22 with service needs 30a-5
Dismiss, motion to 34a-9—34a-13 Child as witness, procedure 32a-4
Emergency relief, motion for 34a-23 Narrative form permissible 32a-2
Evaluation of child, motion for 34a-21 Recording of 30a-7, 32a-7
Order 34a-6 Transfer from probate court of petition to remove parent as
Response to summary of facts 34a-14 guardian 35a-19
Strike, motion to 34a-15—34a-19 Transfer to adult criminal docket 31a-12
Time to plead 34a-8 Uncared for child, see Neglected, abused and uncared for
Waiver of right to plead 34a-7 child; termination of parental rights, this title
Preadjudication continuance, family with service needs Venue, child protection 33a-3
30a-1A Venue, delinquency or family with service needs, motion for
Pretrial conference, delinquency or family with service transfer 31a-6
needs 30a-2 Victim, definition 26-1
Probate court, transfer from, or application for removal of Attendance at hearing 26-2
parent as guardian 35a-19 Youth, definition 26-1
Probation
Definition of 26-1 LAND USE REGULATIONS
Department, assignment to of delinquency or family with Copy to be filed with appellate brief 81-6
service needs complaints 27-1A Statement in brief as to applicable version 67-4, 67-5
Presentation of information at detention hearing 30-9
LAW DAYS
Modification of probation 31a-18
See FORECLOSURE
Officer, investigation of delinquency or family with service
needs complaints 27-1A, 27-5, 27-8A LEGAL INTERNS 3-14
Predispositional study by, consideration of at disposi- Activities of 3-17
tional hearing 30a-5 Certification of 3-18
Records Legal internship committee 3-19
Attorney access to 30a-8, 32a-7 Out-of-state interns 3-21
Confidentiality, copying and reproduction of 30a-8, 32a-7 Requirements and limitations 3-16
Erasure 27-8A Supervision of 3-15
Substance abuse treatment 32a-8
Recording of hearings 30a-7, 32a-7, 35a-1A LEGAL SEPARATION
Removal of child from home, required findings 35a-13 See FAMILY MATTERS
Respondent, definition of 26-1
Rights of parties MAGISTRATES
Right of respondents to neglected, abused and uncared Family support, see FAMILY MATTERS
for child or termination of parental rights petition 33a-7 Infractions, hearings on 44-30
To confrontation and cross-examination 30a-1, 32a-1 MANDAMUS
To counsel 27-5, 30-3, 30a-1, 32a-1, 35a-21 Aid of pending action 23-47
To remain silent 30a-1, 32a-1 Complaint 23-46
Short calendar sessions 34a-2—34a-4 Parties plaintiff 23-45
Specific steps, definition 26-1 Pleadings in 23-49
Staff secure facility, definition of 26-1 Privileged in assignment for trial 14-9
589
INDEX
MANDAMUS — (Cont) MOTIONS, APPLICATIONS AND REQUESTS, CIVIL, MIS-

Temporary order of 23-48 CELLANEOUS — (Cont)
Strike, motion to, grounds 10-39
MEDIA Date for hearing 10-40
Appellate proceedings 70-9 Family matters 25-16—25-22
Arraignments, media coverage 1-11A Memorandum of decision, when required 10-43
Cellular telephones in courts 1-10 Memorandum of law 10-39
Civil proceedings, media coverage 1-11B Misjoinder and nonjoinder of parties 11-3
Computers, portable in courts 1-10 Opposition 10-40
Coverage of court proceedings in general, requests for and Stricken pleading part of other cause or defense 10-45
limitations on 1-10B Substitute pleading, or judgment after motion granted
Criminal proceedings, media coverage 1-11C 10-44
Definition of media 1-10A
Electronic devices in courts, generally 1-10 MOTIONS, MISCELLANEOUS, CRIMINAL
Exclusion by judicial authority 11-20 See also CRIMINAL PROCEDURE
Juvenile matters 26-2 Acquittal, motion for
Motion for directed verdict of, abolished 42-40
Personal digital assistant in courts 1-10
Motion for judgment of 42-40
MEDICAL, HOSPITAL AND PSYCHIATRIC RECORDS After guilty verdict 42-51
Family matters, procedure for introducing 25-55 After mistrial 42-50
Prerequisites for filing in clerks’ offices 7-18 At close of evidence, reservation of decision on 42-42
At close of prosecution’s case 42-41
MORTGAGES Time limit for filing 42-52
See FORECLOSURE Arrest of judgment, motion in 42-56
Dismiss, motion to, matters to be raised by 41-8
MOTIONS, APPLICATIONS AND REQUESTS, CIVIL, MIS- Appeal from denial after conditional plea of nolo conten-
CELLANEOUS dere 61-6 (a) (2) (A)
See also FAMILY MATTERS; JUVENILE MATTERS Defects not requiring dismissal 41-10
Appeal period, motions that delay 11-11 Remedies for 41-11
Appellate counsel, participation in trial court motions 62-8 Restrictions on 41-9
Argument of motions 11-18 Electronic filing 4-4
Cite in new parties 9-22 Limine, motion in 42-15
Definition of 11-2 Mistrial, motion for
Destruction of files and records, motion to prevent 7-16 Prejudice to defendant 42-43
Dismiss, motion to 10-30 Prejudice to prosecution 42-44
Family matters 25-12—25-15 New trial, motion for 42-53
Further pleading by defendant following denial 10-34 Time for filing 42-54
Grounds 10-31 Where based on newly discovered evidence 42-55
Subject matter jurisdiction not subject to waiver 10-33 Pretrial motions and requests, in general 41-1, 41-2
Waiver of lack of personal jurisdiction, improper venue, Form and manner of making 41-6
insufficiency of process or service 10-32 Hearings and rulings 41-7
Electronic filing 4-4 List of motions 41-3
Electronic filing system nonoperational 7-17 Speedy trial 43-41
Time to make, waiver 41-4, 41-5
Exclusion of public, sealing documents, motion for 11-20
Suppress, motion to 41-12
Family matters 25-23
Appeal from denial after conditional plea of nolo conten-
Form of 11-1 dere 61-6 (a) (2) (A)
Health information, motion for authorization to obtain pro- Intercepted communications 41-14
tected 13-9, 13-11A Judicial authority, when disqualified from hearing 41-17
Limine, motion in 15-3 Seized property, return and suppression 41-13, 41-16
Memorandum of law required 11-10 Time to file 41-15
Misjoinder and nonjoinder of parties, motion to strike for 11-3
Motion to dismiss, see Dismiss, motion to, this title MOTOR VEHICLE OFFENSES
Motion to strike, see Strike, motion to, this title See generally INFRACTIONS
New trial, motion for 17-4A
MUNICIPAL OFFICERS
Oral argument of motions 11-18
Bond to, action to enforce 9-25
Order of notice, applications for 11-4
Postverdict motions: arrest of judgment, additur, remittitur, MUNICIPAL TAX LIENS
set aside verdict, new trial, collateral source reduction Foreclosure, allegations 10-70
16-35
Previous motions and applications, disclosure of 11-9 NOLLE PROSEQUI
Reargue, motion to 11-12 Generally 39-29—39-32
Request to revise 10-35 NONSUIT
Granting of and objection to 10-37 See generally DEFAULT JUDGMENTS
Reasons in 10-36
Waiver of further pleading revisions 10-38 NOTICE
Sealing files and documents 11-20 Alimony and support, notice of orders concerning 25-29
590
INDEX
NOTICE — (Cont) PARTIES, CIVIL ACTIONS — (Cont)

Clerks to notify counsel and self-represented parties of judg- Third parties affected by counterclaim 9-21
ments, decisions and rulings 7-5
Criminal convictions, notice of right to appeal 43-30 PATERNITY ACTIONS
Default judgments 17-22, 17-36 Right to counsel 25-68
Depositions, criminal cases 40-48 PERSONAL DIGITAL ASSISTANT IN COURTROOM
Ex parte temporary injunction 4-5 See MEDIA
Habeas corpus, notice of right to appeal 43-30
Juvenile matters, detention 30-4 PERSONAL IDENTIFYING INFORMATION
Orders of notice 11-4—11-8; see ORDERS OF NOTICE See RECORDS; CIVIL ACTIONS, Motions; FAMILY
Pleading notice 10-68 MATTERS, Documents; see also APPELLATE PRO-
Receivers, appointment 21-1, 21-3 CEDURE, Appendix
Small claims, notice in 24-1
Notice of suit, service of 24-10 PICTURE IDENTIFICATION CARD
Notice of time and place of hearing 24-14 See also MEDIA
Authorizing attorney use of electronic devices in courtroom
OATH 1-10
Administration to jurors 16-8, 42-14
Administration to witnesses 5-3 PLAIN ERROR REVIEW 60-5
Deposed witnesses, criminal cases 40-49
Juvenile matters, child witnesses 34-4 PLEA AGREEMENTS
See PLEAS—CRIMINAL
OFFER OF COMPROMISE
See Judgments PLEADINGS, CIVIL ACTIONS
See also FAMILY MATTERS; JUVENILE MATTERS;
OFF-SITE JUDICIAL PROCEEDINGS SMALL CLAIMS
Transcript, recording, summary of 1-24 Admissions
Express admissions and denials to be direct and specific
ORAL ARGUMENT 10-48
See also APPELLATE PROCEDURE In special defenses 10-52
Appellate court arguments, precedence over trial court Of material allegations, implied 10-19
assignments 1-2 Alternative relief, claims for 10-25
Argument on interlocutory questions during trial 5-5 Amendments
Child protection matters, appeals 79a-9 Amendment calling for legal relief, issue to be placed on
Short calendar 11-18 jury docket 10-64
Supreme court arguments, precedence over trial court Amount in demand 10-66
assignments 1-2 As of right by plaintiff, time limit 10-59
Time limit 15-7 Claim against insolvent estate, amendment of 10-67
Criminal cases 42-37 Consent, order of judicial authority, or failure to object,
ORDER OF TEMPORARY CUSTODY amendment by 10-60
See JUVENILE MATTERS Contract to tort 10-65
Equitable to legal relief, legal to equitable relief 10-63
ORDERS OF NOTICE Pleading after amendment 10-61
Applications for 11-4 Time limit, amendment by plaintiff as of right 10-59
Attestation, publication, proof of compliance 11-7 Tort to contract 10-65
Continuance, subsequent orders of 11-5 Variance between pleadings and proof, amendment in
Directed outside United States 11-8 cases of 10-62
Family matters 25-23, 25-28, 25-29 Answer, general and special denial 10-46
Publication, notice by 11-6 Contributory negligence, pleading of 10-53
Receivers, presentation of claims to 21-7 Counterclaim and setoff, pleading of 10-54
Right to prosecute after withdrawal of action 10-55
PARENTAL RIGHTS, TERMINATION OF Denials to meet substance of allegations 10-47
See JUVENILE MATTERS Express admissions and denials 10-48
PARKING OR CITATION ASSESSMENT General denial in action by corporation on contract 10-49
Petition to open 23-51 Response to answer by plaintiff 10-56
Matter in avoidance of answer 10-57
PARTIES, CIVIL ACTIONS Pleadings subsequent to reply 10-58
See also JOINDER Special defenses 10-50
Addition or substitution of 9-18 Admissions and denials in 10-52
Motion to cite in new parties 9-22 Several special defenses 10-51
Class actions 9-7, 9-8 Closed pleadings, certification of 14-8
Adequate representation, orders to ensure 9-10 Common counts writ, abolished 10-9
Dismissal or compromise 9-9 Complaint, contents of 10-20
Fiduciaries 9-11 Counterclaim, supplemental pleadings 10-10
Parents as necessary parties in minor’s name change action Dismiss, motion to see Motion to dismiss, this title
9-24 Equitable relief, claim for 10-27
Real party in interest 9-23 Exhibits as part of pleading 10-29
Substituted plaintiff 9-20 Fact pleading 10-1
591
INDEX
PLEADINGS, CIVIL ACTIONS — (Cont) PLEADINGS, CIVIL ACTIONS — (Cont)

Family matters 25-2—25-4, 25-7—25-11 Service 10-12 — (Cont)
Filing and endorsing pleadings 4-3 Proof of service 10-14
Electronic filing 4-4 Several parties represented by one attorney 10-16
Signing pleadings 4-2 Signing pleadings 4-2
Prepared with assistance of counsel notation 4-2 Prepared with assistance of counsel notation 4-2
Foreign law, notice of claim based on 10-3 Statutory grounds, allegations based on 10-3
Form of pleadings 4-1 Strike, motion to, see Motion to strike, this title
Electroncially filed 4-1 Third party, impleading of by defendant 10-11
Filing and endorsing pleadings 4-3 Time to plead 10-8
Signing pleadings 4-2 Untrue allegations or denials, payment of reasonable
Prepared with assistance of counsel notation 4-2 expenses required 10-5
Impleading, of third party defendant 10-11 Variance, in action for goods sold at reasonable price 10-75
Implied admissions of material allegations 10-19 Waiver of right to plead 10-7
Implied duty, unnecessary to allege 10-4
Interest and costs, unnecessary to claim 10-28 PLEAS—CRIMINAL
Joinder of causes of action 10-21 See also APPEARANCE AND ARRAIGNMENT—CRIM-
Legal and equitable relief 10-24 INAL MATTERS
Torts 10-23 Agreements, conditional pleas of guilty or nolo contendere
Transactions connected with same subject 10-22 39-5
Legal effect, pleading 10-2 Alternative dispositions recommended by prosecuting
Miscellaneous special matters and required pleadings authority 39-6
Action by assignee of chose in action, required pleading Appeal from denial of motion to dismiss or suppress 61-
10-72 6 (a) (2) (i)
Charters, pleading 10-73 Disclosure to judicial authority 39-7
Collateral source payments, pleading 10-78 Rejection by judicial authority 39-10
Foreclosure of mortgage or real property lien, required Reservation of right to appeal 61-6 (a) (2) (ii)
pleading 10-69 Sentencing 39-8, 39-9
Foreclosure of municipal liens, required pleading 10-70 At arraignment 37-7
Incorporation by General Assembly, pleading 10-73 Discussions, procedure for in general 39-1
Insurance, policy limitations or payments by insurer, spe- Defendant represented or unrepresented by counsel 39-2
cial defense of 10-79 Defense counsel, role in plea agreements 39-3
Probate appeals, required pleading 10-76 Subject matter 38-4
Appeals from commissioners appointed by court of pro- Guilty or nolo contendere 37-8, 39-18
bate, required pleading 10-77 Acceptance and canvass of defendant by judicial authority
Probate bond 10-71 39-19—39-21
Wrongful sale, wrongful conversion 10-74 Conditional pleas of 39-5
Motion to dismiss 10-30 Other offenses, pleading to after finding of guilty 39-22
Family matters 25-12—25-15 Record of proceedings 39-24
Further pleading by defendant following denial 10-34 Rejected plea inadmissible 39-35
Opposition 10-31 Withdrawal of plea 39-26—39-28
Subject matter not subject to waiver 10-33 Nolle prosequi 39-29
Waiver of lack of personal jurisdiction, improper venue, Dismissal of information or complaint 39-32
insufficiency of process or service 10-32 Effect of 39-31
Motion to strike, grounds 10-39
Objection by defendant 39-30
Date for hearing 10-40
Not guilty 37-9
Family matters 25-16—25-22
Two part information charging former conviction 37-10, 37-
Memorandum of decision, when required 10-43
11, 39-23
Memorandum of law 10-41
Substitute pleading, or judgment after motion granted PRACTICE OF LAW
10-44 See ATTORNEYS
Where stricken pleading part of other cause or defense
10-45 PREJUDGMENT REMEDIES
Notice, pleading of 10-68 Disclosure of assets by party against whom prejudgment
Order of pleading 10-6 remedy granted 13-13
Pleadings closed, certification of 14-8
Request to revise 10-35 PRESENTENCE INVESTIGATION
Granting of and objection to 10-37 See CRIMINAL PROCEDURE
Reasons in 10-36
Waiver of further pleading revisions 10-38 PRETRIAL—CIVIL
Separate counts for separate causes of action 10-26 Assignment for 14-11
Service 10-12 Orders at 14-14
Electronic delivery, service by 10-13 Pretrial procedure 14-13
Exception for request for mediation 10-12 When case not disposed of at 14-12
Indifferent person, service by 10-17 Family matters 25-48
Method of 10-13 Interactive audiovisual device, presence of incarcerated
Numerous defendants, service where 10-15 individual by 23-68
592
INDEX
PRETRIAL CRIMINAL PROCEDURE RECEIVERS — (Cont)

See CRIMINAL PROCEDURE, Appearance and Claims, presentation 21-7
Arraignment; Arrest and preliminary procedure; Allowance and disallowance 21-8
Bail; Bond; Pleas Extensions of time 21-9
Hearing 21-10
PRETRIAL RELEASE Clerks, duty to enforce rules 21-16
See CRIMINAL PROCEDURE Inventory of estate, receiver to give 21-5
PRIVILEGE LOG Insolvent estates, liquidation 21-6
See CIVIL ACTIONS, Discovery Permanent receivers, assignment of case for appointment
21-2
PROBABLE CAUSE Removal 21-17
See APPEARANCE AND ARRAIGNMENT—CRIMI- Rents, receivers of 21-19
NAL MATTERS Appointment 21-20
Bond 21-21
PROBATE Discharge 21-22
Action on bond 10-71 Orders concerning 21-23
Appeals, pleading in 10-76 Reports 21-24
Commissioners, appeals from, pleading in 10-77 Summary of orders, semiannual, receiver to file 21-13
Application for removal of parent as guardian, transfer from Temporary receivers, appointment 21-1, 21-3
probate court 35a-19
Physical or mental examination, request for 13-11 RECORD ON APPEAL
See APPELLATE PROCEDURE
PROBATE JUDICIAL CONDUCT, COUNCIL ON
Appeals from decisions of, in general 75-1 RECORDS
Appellate rules, applicability of 75-6 Clerks, records of cases to be kept by 7-1
Decision of council, statement of 75-4 Destruction of files and records 7-10
Fees, costs and security waived 75-1 Motion to prevent 7-16
Papers to be filed 75-1 Retention and stripping of files, schedule 7-11
Parties, proper form of reference 75-5 Adult probation and family division, reports from 7-14
Criminal actions, records and files 7-13
PROBATION Title to land, files in actions affecting 7-12
Delinquency or family with service needs, referral to proba- Transfer to records center or state library 7-15
tion department 27-1A Financial accounts, clerks to keep records of 7-3
Investigation by probation officer 27-1A, 27-5, 27-8A Juvenile, erasure 27-8A
Modification of probation 31a-18 Lodged records 7-4C
Nonjudicial supervision of child 27-8A Treatment during appellate process 68-1, 77-2
Predispositional study by probation officer, consideration Motion to file record under seal 7-4B
at dispositional hearing 30a-5 Personal identifying information, omission and redaction of
Vocational probation, definition 26-1 in civil and family matters 4-7
Revocation of 43-29 Motion to redact or seal 11-20B
Stay pending appeal 43-32 Short calendar matters, records of 7-20
Unfinished record, completion of by clerk 7-9
PROCESS 8-1
REFERENCES
PRO HAC VICE See also ARBITRATION; CIVIL ACTIONS, Fact-finding
See ATTORNEYS Acceptance of report, objections 19-14, 19-15
Accountant, reference to 19-19
PUBLIC DEFENDER
Application of rules 19-1
Appeals by indigent defendant 43-33—43-38
Dissolution of marriage or civil union, legal separation,
Appointment of 37-6
annulment, excepted from rules 19-1
Reference to, investigation of indigency 37-5
Appointment, committee or referee 19-2, 19-5
Appointment of counsel, criminal cases in general 44-1—
Hearing on motion for 19-2
44-6
Appraiser, applicability of rules to 19-1
QUESTIONS OF LAW AND FACT Appraisal fees, recommendation by committee 19-8
See generally JURIES—CIVIL; JURIES—CRIMINAL Appraisal report in eminent domain proceeding 19-6
Attorney trial referee, reference to 19-2A
RECEIVERS Report by 19-4
Accounts, semiannual 21-14 Auditor, applicability of rules to 19-1
Ancillary receivers 21-18 Cases that may be referred 19-3
Application for 21-1 Committee, reference to 19-2
Appraisers and temporary receivers, appointment 21-1, Consent of parties 19-2, 19-3
21-3 Correction of report 19-17
Bond 21-4 Court, action by on report 19-17
Business, continuance of 21-11 Dissolution of marriage or civil union, legal separation,
Reports 21-12 annulment, excepted from rules 19-1
Chambers, appointment of receiver in 21-1 Effect of reference 19-6
Applications for orders, receiver appointed in chambers Eminent domain proceeding, appraisal report in 19-6
21-15 Examination of account or books 19-19
593
INDEX
REFERENCES — (Cont) SANCTIONS

Exceptions to finding and report 19-13 Actions subject to 1-25
Extension of time 19-18
Family matters 25-53 SEALING FILES OR LIMITING DISCLOSURE
Finding of facts 19-2 Civil cases 11-20A, 11-20B
Request for 19-9 Criminal cases 42-49A
Function of court 19-17 Affidavit supporting arrest warrant application 36-2
Judge trial referee 19-3 During appellate process 77-2
Criminal cases 44-19 Family matters 25-59A, 25-59B
Powers of superior court to be exercised by 19-3, 44-19 Identification of cases 7-4A
Judgment on report 19-16, 19-17 Motion to file record under seal 7-4B
Motions Lodging record 7-4C
Appointment of committee 19-2 SENTENCE REVIEW
Summary judgment, reference of motion for 19-3 See SENTENCING
Original action, supreme court 84a-4
Pleadings to be closed before reference made 19-7 SENTENCING
Recommendations by counsel 19-5 Correction of illegal sentence 43-22
Report 19-8 Defendant’s right to make statement 43-10
Acceptance 19-14, 19-15 Defense counsel
Alternative claims, report on 19-10 Correction of presentence investigation report 43-14
Amendment 19-11 Disclosure of undisclosed plea agreement 43-15
Attorney trial referee, report by 19-4 Supplementary documents, submission of 43-16
Judgment on 19-16 Definite sentence, reduction of 43-21
Objections 19-14, 19-15 Hearing, procedure 43-10
Rejection 19-17 Illegal sentence, correction of 43-22
Special assignment probate judges, report by 19-4 Mittimus, where sentence includes fine as well as imprison-
Request for finding 19-9 ment 43-20
Revocation of reference 19-6 Prosecuting authority, role 43-11
Senior judge, applicability of rules to 19-1 Disclosure of plea agreement 43-12
Special assignment probate judges 19-3A Reduction of definite sentence 43-21
Applicability of rules to 19-1 Sentence review
State referees, applicability of rules to 19-1 Application for, time for filing 43-24
Summary judgment, reference of motion for 19-3 Counsel, representation by before sentence review divi-
sion 43-23
REMITTITUR Documents, preparation by clerk 43-25, 43-26
Judgment too large 17-3 Hearing, briefs and memoranda 43-27
Motion for 16-35 Scope of review 43-28
REQUESTS Stay pending appeal 61-13
See MOTIONS, APPLICATIONS AND REQUESTS, Victim, participation at 43-10
CIVIL, MISCELLANEOUS SERVICE
See PLEADINGS—CIVIL ACTIONS
REQUESTS TO CHARGE
Civil trials 16-20—16-23 SHORT CALENDAR
Criminal trials 42-16—42-18 Generally 11-13
Assignments automatic 11-15
RESCRIPTS
Continuances 11-16
To be sent to trial court and appellate clerk 71-4
Default for failure to appear, motion for not on short calendar
RESERVATIONS 17-29
Procedure, form 73-1 Family matters, 25-23, 25-34
Frequency, time of sessions, lists 11-14
RETENTION AND DESTRUCTION OF FILES AND Interactive audiovisual device, presence of incarcerated
RECORDS 7-10—7-16 individual by 23-68
Juvenile matters 34a-2—34a-4
RULES OF COURT Motion to strike, family matters 25-17
Appellate rules, applicability of changes to pending appeals Oral argument 11-18
86-2 Records to be kept by clerks 7-20
Definitions 1-1 Time limit for deciding matters 11-19
Effective date 1-9 Transfers 11-17
Appellate rules 86-1 Unemployment compensation appeals to be claimed for
Emergency powers of rules committee 1-9B 22-2
Liberal interpretation of 1-8
Appellate rules 60-1 SMALL CLAIMS
Promulgation and publication 1-9 Actions, institution 24-3, 24-8
Appellate rules 86-1 Answer, date 24-10, 24-12
Emergency 1-9B Failure to file 24-25
Judicial website, placement of rules information on 1-9A Notice of defense 24-16
Scope 1-1 Electronic filing 24-3
594
INDEX
SMALL CLAIMS — (Cont) STRIKE, MOTION TO

Actions, institution 24-3, 24-8 — (Cont) Generally 10-39—10-45
Filing claims, where 24-4
Notice of suit, service 24-10 SUBPOENAS
Undelivered notice, further notice 24-11 Generally 13-27, 13-28; see also DISCOVERY AND
Pleadings DEPOSITIONS—CIVIL
Amendment of claim, answer, counterclaim or setoff Criminal cases, subpoenas for documents or objects 40-2
24-20 Issuance by clerk for self-represented parties 7-19
Answer, notice of defense 24-16 Juvenile matters 32a-2
Counterclaim or setoff, claim for 24-19 Small claims, issuance by clerk 24-22
Deposition or documents, request 24-20A
SUMMARY JUDGMENTS
Dismiss, motion to 24-20
Affidavits, bad faith 17-48
Prohibited pleadings 24-17
Setoff or counterclaim, claim for 24-19 Affidavits, form 17-46
Time to pay, request for 24-16 Appropriate documents, unavailability 17-47
Service, notice of suit 24-10 Habeas corpus
Undelivered writ and notice, further notice 24-11 Civil cases 23-34, 23-37
Writ, preparation of 24-9 Family cases 25-46
Affidavits required for judgment 24-24 Judgment 17-49
Allowable actions 24-2 Judgment for part of claim 17-51
Applicability of rules, limitations 24-2 Motion for, proceedings upon 17-45
Attorney, services of not required 24-1 Triable issue as to damages only 17-50
Costs 24-33 SUMMARY PROCESS
Default judgments 24-24, 24-25 Default for failure to appear 17-30
Definition of representative 24-6 Executions 17-53
Deposition or documents, request for 24-20A
Dismissal for failure to obtain judgment 24-27 SUMMONS AND COMPLAINT—CRIMINAL
Electronic institution of action 24-3 See ARREST AND PRELIMINARY CRIMINAL PRO-
Execution, application for 24-32 CEDURE
File, what constitutes 24-7
Hearings SUPERIOR COURT
Continuances 24-15 See also CLERKS; FILES; RECORDS
Failure of party to appear 24-26 Adjournment 1-13
Hearing in damages following default 24-25 County court designations, admission of attorneys 2-1
Notice of time and place 24-14 Divisions 1-3
Scheduling 24-15 Civil 1-5
Judgments 24-24 Criminal 1-6
Appear, failure of party to 24-26 Family 1-4
Dismissal of action for failure to obtain 24-27 Housing 1-7
Execution, application for 24-32 Judicial authority, disqualification 1-22
Finality 24-28 Motion for 1-23
Notice of 24-29 Opening 1-12
Opening, costs 24-31 Recess 1-13
Satisfaction 24-30
SUPPORT ENFORCEMENT OFFICER
Time limit on 24-29
Services by 25a-30
Written decision, when required 24-29
Purpose of 24-1 SUPREME COURT
Regular docket, transfer to 24-21 See generally APPELLATE PROCEDURE
Representative, definition of 24-6
Subpoenas, issuance by clerk 24-22 TERMINATION OF PARENTAL RIGHTS
Transfer to regular docket 24-21 See JUVENILE MATTERS
Venue 24-25
Where claims to be filed 24-4 THIRD PARTY
Witnesses 24-33 Impleading in civil action 10-11
Writ, form of service 24-9 TRANSCRIPT, APPELLATE PROCEDURE
Service 24-10 Electronic 63-8A
Written decision, when required 24-29 Ordering and filing, paper 63-8
SPEEDY TRIAL Ordering, child protection matters 79a-5
See CRIMINAL PROCEDURE Rectification, motion for 66-5
Statement concerning, filing with appeal 63-4 (a)
STATEWIDE GRIEVANCE COMMITTEE Amendment 63-4 (b)
See ATTORNEYS
TRANSFER OF ACTIONS 12-1—12-3
STAY OF EXECUTION PENDING APPEAL Small claims to regular docket 24-21
See APPELLATE PROCEDURE Wrong court, appeals brought to 65-4
595
INDEX
TRIALS IN GENERAL VERDICT — (Cont)

See also ASSIGNMENT FOR TRIAL—CIVIL; EVI- Criminal matters — (Cont)
DENCE; JURIES—CIVIL; JURIES—CRIMINAL; After guilty verdict 42-51
VERDICT After mistrial 42-50
Briefs 5-1 At close of evidence, reservation of decision on 42-42
Page limitations 4-6 At close of prosecution’s case 42-41
Civil actions, consolidation for trial 9-5 Time limit for filing 42-52
Counsel Communication with jurors prohibited 42-8
Argument by 15-5—15-7 Deliberations by jury 42-21
Criminal trials, time limits 42-37 Directed verdict of acquittal, motion for abolished 42-40
Failure to appear by, sanctions 5-10 Discharge of jury 42-32
New trial, motion for 17-4A Impeachment of verdict 42-33
Order of parties proceeding 15-5 Inability of jury to reach verdict 42-45
Order of trial of issues 15-1 Lesser included offense, modification of verdict 42-51
Protective order, restraining order, criminal protective order Memorandum of decision by trial court 64-1, 64-2
or criminal restraining order, testimony by person on New trial, time limit for motion following verdict 42-54
behalf of whom order issued 5-11 Polling jury after verdict 42-31
Public, exclusion Return of verdict 42-29
Expedited review of order 77-1 Submission of facts to jury 42-20
From civil proceedings 11-20
From criminal trials 42-48 VICTIM
Question of law that may be subject of appeal, raising 5-2 Inquiry concerning during presentence investigation 43-4
Separate trials 15-2 Participation at sentencing 43-10
Statement of at dispositional hearing, delinquency, family
UNEMPLOYMENT COMPENSATION with service needs 30a-6
Appeals from employment security board of review
Filing and form of appeal 22-1 VIDEOCONFERENCING
Finding of board 22-3 Appeals, hearings on motion, certain cases 66-4
Correction, motion for by appellant 22-4 Appeals; oral argument, certain cases 70-1
Additional evidence, filing by appellee 22-5 Child protection matters; appeals; oral argument; certain
Decision of board, challenge to 22-8 cases 79a-9
Duty of board 22-7 Deposition by 13-30
Motion by appellee 22-6 Family relations matter, testimony in, when protective
Hearing, assignment for, privileged status 22-2 order, restraining order or standing criminal restraining
Record 22-1 order issued on behalf of party or child 5-11
Time limit 22-1 VOIR DIRE
Court, function on appeal 22-9
See JURIES
VERDICT
Civil actions WARRANT
Acceptance of 16-31 See ARREST AND PRELIMINARY CRIMINAL PRO-
Communication with jurors prohibited 16-14 CEDURE
Deliberations by jury 16-16 WITNESSES
Directed verdict, reservation of decision on motion for Absent witness, missing evidence 14-24
16-37 Child witness, juvenile matters 34-3
Discharge of jury 16-33 Discovery concerning, criminal cases 40-13
Impeachment of verdict 16-34 Examination of 5-4
In excess of amount in demand 16-19 Oath, administration of 5-3
Judgment on verdict 16-13, 17-2 Expert, appointment by judicial authority in family matters
Jury interrogatories 16-18 25-33
Memorandum of decision by trial court 64-1, 64-2 Experts, criminal cases 40-18—40-20
Motion for directed verdict, reservation of decision on Experts, disclosure of 13-4
16-37 Fees
Polling jury after verdict 16-32 In several suits 18-10
Postverdict motions: additur, arrest of judgment, remittitur, Nonresident witnesses 18-9
set aside verdict, new trial, collateral source reduction Witness not called 18-11
16-35 Protective order, restraining order, criminal protective order
Reduce verdict, motion to 17-2A or criminal restraining order, testimony by person on
Reduction by judicial authority 16-19 behalf of whom order issued 5-11
Return of jury for reconsideration 16-17 Sequestration, criminal cases 42-36
Return of verdict 16-30 Small claims 24-23
Setting aside, memorandum on 16-38
Criminal matters WORKERS’ COMPENSATION APPEALS
Acceptance of verdict 42-30 Applicability of appellate rules 76-1
Acquittal Case file, exhibits 76-3
Judgment of following guilty verdict 42-51 Definitions 76-6
Motion for directed verdict of abolished 42-40 Fees and costs 76-4
Motion for judgment of 42-40 Filing appeal 76-2
596
INDEX
WORKERS’ COMPENSATION APPEALS — (Cont) WRITS OF ERROR — (Cont)

Reservation of question from compensation review board Assignments of error 23-50
76-5, 76-5A Copy of record not to be taxed in costs 18-6
WRITS OF ERROR Form 72-2
Generally 72-1 Procedure applicable 72-3
Appellate rules, applicability of 72-4 Withdrawal 63-9
597
APPENDIX OF FORMS
APPENDIX OF FORMS
The forms in this appendix were adopted by the judges of the Superior Court and are specifically
referenced in the rules, with the exception of Form 101, which implements Section 4-1.
Table of Contents
101 Heading of Pleadings, Motions and Requests . . . . . . . . . . . . . . . . . . . . . . . . 600
201 Plaintiff’s Interrogatories . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 601
202 Defendant’s Interrogatories . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 605
203 Plaintiff’s Interrogatories—Premises Liability Cases . . . . . . . . . . . . . . . . . . . . . 611
204 Plaintiff’s Requests for Production . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 614
205 Defendant’s Requests for Production . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 616
206 Plaintiff’s Requests for Production—Premises Liability . . . . . . . . . . . . . . . . . . . 619
207 Interrogatories—Actions to Establish, Enforce or Modify Child Support Orders . . . . . . 621
208 Defendant’s Supplemental Interrogatories—Workers’ Compensation Benefits—No
Intervening Plaintiff . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 626
209 Defendant’s Supplemental Requests for Production—Workers’ Compensation Benefits—
No Intervening Plaintiff. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 629
210 Defendant’s Interrogatories—Workers’ Compensation Benefits—Intervening Plaintiff . . 631
211 Defendant’s Requests for Production—Workers’ Compensation Benefits—Intervening
Plaintiff . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 633
599
Form 101 APPENDIX OF FORMS
Form 101
Heading of Pleadings, Motions and Requests
No.
Superior Court
(First Named Plaintiff)
Judicial District of (or) G.A. No.

v.
at
(First Named Defendant) (Date)
(Name or Designation of Pleading or Motion)
(P.B. 1963, Form 249; P.B. 1978–1997, Form 105.1)
600
APPENDIX OF FORMS Form 201
Form 201
Plaintiff’s Interrogatories
No. CV- : SUPERIOR COURT
(Plaintiff) : JUDICIAL DISTRICT OF
VS. : AT
(Defendant) : (Date)
The undersigned, on behalf of the Plaintiff, hereby propounds the following interrogatories to be
answered by the Defendant, , under oath, within thirty (30) days of the filing hereof
in compliance with Practice Book Section 13-2.
Definition: ‘‘You’’ shall mean the Defendant to whom these interrogatories are directed except that
if that Defendant has been sued as the representative of the estate of a decedent, ward, or incapable
person, ‘‘you’’ shall also refer to the Defendant’s decedent, ward or incapable person unless the context
of an interrogatory clearly indicates otherwise.
In answering these interrogatories, the Defendant(s) is (are) required to provide all information within
their knowledge, possession or power. If an interrogatory has subparts, answer each subpart separately
and in full and do not limit the answer to the interrogatory as a whole. If any interrogatories cannot be
answered in full, answer to the extent possible.
(1) State the following:
(a) your full name and any other name(s) by which you have been known;
(b) your date of birth;
(c) your motor vehicle operator’s license number;
(d) your home address;
(e) your business address;
(f) if you were not the owner of the subject vehicle, the name and address of the owner or lessor
of the subject vehicle on the date of the alleged occurrence.
(2) Have you made any statements, as defined in Practice Book Section 13-1, to any person regarding
any of the incidents alleged in the Complaint?
COMMENT:
This interrogatory is intended to include party statements made to a representative of an insurance company prior to involvement
of defense counsel.
(3) If the answer to Interrogatory #2 is affirmative, state:
(a) the name and address of the person or persons to whom such statements were made;
(b) the date on which such statements were made;
(c) the form of the statement (i.e., whether written, made by recording device or recorded by a
stenographer, etc.);
(d) the name and address of each person having custody, or a copy or copies of each statement.
(4) State the names and addresses of all persons known to you who were present at the time of
the incident alleged in the Complaint or who observed or witnessed all or part of the incident.
601
(5) As to each individual named in response to Interrogatory #4, state whether to your knowledge,
or the knowledge of your attorney, such individual has given any statement or statements as defined
in Practice Book Section 13-1 concerning the subject matter of the Complaint in this lawsuit. If your
answer to this interrogatory is affirmative, state also:
(a) the date on which the statement or statements were taken;
(b) the names and addresses of the person or persons who took such statement or statements;
(c) the names and addresses of any person or persons present when such statement or statements
were taken;
(d) whether such statement or statements were written, made by recording device or taken by court
reporter or stenographer;
(e) the names and addresses of any person or persons having custody or a copy or copies or such
statement or statements.
(6) Are you aware of any photographs depicting the accident scene, any vehicle involved in the
incident alleged in the Complaint, or any condition or injury alleged to have been caused by the incident
alleged in the Complaint? If so, for each set of photographs taken of each such subject by each
photographer, please state:
(a) the name and address of the photographer, other than an expert who will not testify at trial;
(b) the dates on which such photographs were taken;
(c) the subject (e.g., ‘‘Plaintiff’s vehicle,’’ ‘‘scene,’’ etc.);
(d) the number of photographs.
(7) If, at the time of the incident alleged in the Complaint, you were covered by an insurance policy
under which an insurer may be liable to satisfy part or all of a judgment or reimburse you for payments
to satisfy part or all of a judgment, state the following:
(a) the name(s) and address(es) of the insured(s);
(b) the amount of coverage under each insurance policy;
(c) the name(s) and address(es) of said insurer(s).
(8) If at the time of the incident which is the subject of this lawsuit you were protected against the type
of risk which is the subject of this lawsuit by excess umbrella insurance, or any other insurance, state:
(a) the name(s) and address(es) of the named insured;
(b) the amount of coverage effective at this time;
(c) the name(s) and address(es) of said insurer(s).
(9) State whether any insurer, as described in Interrogatories #7 and #8 above, has disclaimed/
reserved its duty to indemnify any insured or any other person protected by said policy.
602
(10) If applicable, describe in detail the damage to your vehicle.
(11) If applicable, please state the name and address of an appraiser or firm which appraised or
repaired the damage to the vehicle owned or operated by you.
(12) If any of the Defendants are deceased, please state the date and place of death, whether an
estate has been created, and the name and address of the legal representative thereof.
(13) If any of the Defendants is a business entity that has changed its name or status as a business
entity (whether by dissolution, merger, acquisition, name change, or in any other manner) since the
date of the incident alleged in the Complaint, please identify such Defendant, state the date of the
change, and describe the change.
(14) If you were the operator of any motor vehicle involved in the incident that is the subject of this
action, please state whether, at the time of the incident, you were operating that vehicle in the course
of your employment with any person or legal entity not named as a party to this lawsuit, and, if so,
state the full name and address of that person or entity.
action, please state whether you consumed or used any alcoholic beverages, drugs or medications
within the eight (8) hours next preceding the time of the incident alleged in the Complaint and, if so,
indicate what you consumed or used, how much you consumed, and when.
(16) Please state whether, within eight (8) hours after the incident alleged in the Complaint, any
testing was performed to determine the presence of alcohol, drugs or other medications in your blood,
and, if so, state:
(a) the name and address of the hospital, person or entity performing such test or screen;
(b) the date and time;
(c) the results.
(17) Please identify surveillance material discoverable under Practice Book Section 13-3 (c), by
stating the name and address of any person who obtained or prepared any and all recordings by film,
photograph, videotape, audiotape, or any other digital or electronic means, of any party concerning
this lawsuit or its subject matter, including any transcript thereof which are in your possession or control
or in the possession or control of your attorney, and state the date on which each such recordings
were obtained and the person or persons of whom each such recording was made.
PLAINTIFF,
BY
603
I, , hereby certify that I have reviewed the above interrogatories and responses thereto
and that they are true and accurate to the best of my knowledge and belief.
(Defendant)
Subscribed and sworn to before me this day of , 20 .
Notary Public/
Commissioner of the Superior Court
CERTIFICATION
I certify that a copy of this document was or will immediately be mailed or delivered electronically
or non-electronically on (date) to all attorneys and self-represented parties of record and to
all parties who have not appeared in this matter and that written consent for electronic delivery was
received from all attorneys and self-represented parties receiving electronic delivery.
Name and address of each party and attorney that copy was or will immediately be mailed or
delivered to*
*If necessary, attach additional sheet or sheets with the name and address which the copy was or
will immediately be mailed or delivered to.
Signed (Signature of filer) Print or type name of person signing Date Signed
Mailing address (Number, street, town, state and zip code) or E-mail address, if applicable Telephone number
(P.B. 1978-1997, Form 106.10A.) (Amended June 21, 2004, to take effect Jan. 1, 2005; amended June 29, 2007, to take
effect Jan. 1, 2008; amended June 14, 2013, to take effect Jan. 1, 2014; amended June 13, 2014, to take effect Jan. 1, 2015.)
604
Form 202
Defendant’s Interrogatories
VS. : AT
The undersigned, on behalf of the Defendant, hereby propounds the following interrogatories to be
answered by the Plaintiff, , under oath, within thirty (30) days of the filing hereof in
compliance with Practice Book Section 13-2.
Definition: ‘‘You’’ shall mean the Plaintiff to whom these interrogatories are directed except that if
suit has been instituted by the representative of the estate of a decedent, ward, or incapable person,
‘‘you’’ shall also refer to the Plaintiff’s decedent, ward or incapable person unless the context of an
interrogatory clearly indicates otherwise.
In answering these interrogatories, the Plaintiff(s) is (are) required to provide all information within
(1) State the following:
(a) your full name and any other name(s) by which you have been known;
(b) your date of birth;
(c) your motor vehicle operator’s license number;
(d) your home address;
(e) your business address;
(f) if you were not the owner of the subject vehicle, the name and address of the owner or lessor
of the subject vehicle on the date of the alleged occurrence.
(2) Identify and list each injury you claim to have sustained as a result of the incidents alleged in
the Complaint.
(3) When, where and from whom did you first receive treatment for said injuries?
(4) If you were treated at a hospital for injuries sustained in the alleged incident, state the name
and location of each hospital and the dates of such treatment and confinement therein.
(5) State the name and address of each physician, therapist or other source of treatment for the
conditions or injuries you sustained as a result of the incident alleged in your Complaint.
(6) When and from whom did you last receive any medical attention for injuries alleged to have
been sustained as a result of the incident alleged in your Complaint?
(7) On what date were you fully recovered from the injuries or conditions alleged in your Complaint?
(8) If you claim you are not fully recovered, state precisely from what injuries or conditions you are
presently suffering?
605
(9) Are you presently under the care of any doctor or other health care provider for the treatment
of injuries alleged to have been sustained as a result of the incident alleged in your Complaint?
(10) If the answer to Interrogatory #9 is in the affirmative, state the name and address of each
physician or other health care provider who is treating you.
(11) Do you claim any present disability resulting from injuries or conditions allegedly sustained as
a result of the incident alleged in your Complaint?
(12) If so, state the nature of the disability claimed.
(13) Do you claim any permanent disability resulting from said incident?
(14) If the answer to Interrogatory #13 is in the affirmative, please answer the following:
(a) list the parts of your body which are disabled;
(b) list the motions, activities or use of your body which you have lost or which you are unable
to perform;
(c) state the percentage of loss of use claimed as to each part of your body;
(d) state the name and address of the person who made the prognosis for permanent disability and
the percentage of loss of use;
(e) list the date for each such prognosis.
(15) If you were or are confined to your home or your bed as a result of injuries or conditions
sustained as a result of the incident alleged in your Complaint, state the dates you were so confined.
(16) List each medical report received by you or your attorney relating to your alleged injuries or
conditions by stating the name and address of the treating doctor or other health care provider, and
of any doctor or health care person you anticipate calling as a trial witness, who provided each such
report and the date thereof.
(17) List each item of expense which you claim to have incurred as a result of the incident alleged
in your Complaint, the amount thereof and state the name and address of the person or organization
to whom each item has been paid or is payable.
(18) For each item of expense identified in response to Interrogatory #17, if any such expense, or
portion thereof, has been paid or reimbursed or is reimbursable by an insurer, state, as to each such
item of expense, the name of the insurer that made such payment or reimbursement or that is responsible
for such reimbursement.
(19) If, during the ten year period prior to the date of the incident alleged in the Complaint, you were
under a doctor’s care for any conditions which were in any way similar or related to those identified
and listed in your response to Interrogatory #2, state the nature of said conditions, the dates on which
treatment was received, and the name of the doctor or health care provider.
(20) If, during the ten year period prior to the date of the incident alleged in your Complaint, you
were involved in any incident in which you received personal injuries similar or related to those identified
and listed in your response to Interrogatory #2, please answer the following with respect to each such
earlier incident:
606
(a) on what date and in what manner did you sustain such injuries?
(b) did you make a claim against anyone as a result of said accident?
(c) if so, provide the name and address of the person or persons against whom a claim was made;
(d) if suit was brought, state the name and location of the Court, the return date of the suit, and the
docket number;
(e) state the nature of the injuries received in said accident;
(f) state the name and address of each physician who treated you for said injuries;
(g) state the dates on which you were so treated;
(h) state the nature of the treatment received on each such date;
(i) if you are presently or permanently disabled as a result of said injuries, please state the nature
of such disability, the name and address of each physician who diagnosed said disability and the date
of each such diagnosis.
(21) If you were involved in any incident in which you received personal injuries since the date of
the incident alleged in the Complaint, please answer the following:
(a) on what date and in what manner did you sustain said injuries?
(b) did you make a claim against anyone as a result of said accident?
(c) if so, provide the name and address of the person or persons against whom a claim was made;
(d) if suit was brought, state the name and location of the Court, the return date of the suit, and the
docket number;
(e) state the nature of the injuries received in said accident;
(f) state the name and address of each physician who treated you for said injuries;
(g) state the dates on which you were so treated;
(h) state the nature of the treatment received on each such date;
(i) if you are presently or permanently disabled as a result of said injuries, please state the nature
of such disability, the name and address of each physician who diagnosed said disability and the date
of each such diagnosis.
(22) Please state the name and address of any medical service provider who has rendered an
opinion in writing or through testimony that you have sustained a permanent disability to any body part
other than those listed in response to Interrogatories #13, #14, #20 or #21, and:
(a) list each such part of your body that has been assessed a permanent disability;
(b) state the percentage of loss of use assessed as to each part of your body;
607
(c) state the date on which each such assessment was made.
(23) If you claim that as a result of the incident alleged in your Complaint you were prevented from
following your usual occupation, or otherwise lost time from work, please provide the following infor-
mation:
(a) the name and address of your employer on the date of the incident alleged in the Complaint;
(b) the nature of your occupation and a precise description of your job responsibilities with said
employer on the date of the incident alleged in the Complaint;
(c) your average, weekly earnings, salary, or income received from said employment for the year
preceding the date of the incident alleged in the Complaint;
(d) the date following the date of the incident alleged in the Complaint on which you resumed the
duties of said employment;
(e) what loss of income do you claim as a result of the incident alleged in your Complaint and how
is said loss computed?
(f) the dates on which you were unable to perform the duties of your occupation and lost time from
work as a result of injuries or conditions claimed to have been sustained as a result of the incident
alleged in your Complaint;
(g) the names and addresses of each employer for whom you worked for three years prior to the
date of the incident alleged in your Complaint.
(24) Do you claim an impairment of earning capacity?
(25) List any other expenses or loss and the amount thereof not already set forth and which you
claim to have incurred as a result of the incident alleged in your Complaint.
(26) If you have signed a covenant not to sue, a release or discharge of any claim you had, have
or may have against any person, corporation or other entity as a result of the incident alleged in your
Complaint, please state in whose favor it was given, the date thereof, and the consideration paid to
you for giving it.
(27) If you or anyone on your behalf agreed or made an agreement with any person, corporation
or other entity to limit in any way the liability of such person, corporation or other entity as a result of
any claim you have or may have as a result of the incident alleged in your Complaint, please state in
whose favor it was given, the date thereof, and the consideration paid to you for giving it.
(28) If since the date of the incident alleged in your Complaint, you have made any claims for
workers’ compensation benefits, state the nature of such claims and the dates on which they were made.
(29) Have you made any statements, as defined in Practice Book Section 13-1, to any person
regarding any of the events or happenings alleged in your Complaint?
COMMENT:
This interrogatory is intended to include party statements made to a representative of an insurance company prior to involvement
of defense counsel.
(30) State the names and addresses of all persons known to you who were present at the time of
the incident alleged in your Complaint or who observed or witnessed all or part of the accident.
608
(31) As to each individual named in response to Interrogatory #30, state whether to your knowledge,
or the knowledge of your attorney, such individual has given any statement or statements as defined
in Practice Book Section 13-1 concerning the subject matter of your Complaint or alleged injuries. If
your answer to this interrogatory is affirmative, state also:
(a) the date on which such statement or statements were taken;
(b) the names and addresses of the person or persons who took such statement or statements;
(c) the names and addresses of any person or persons present when such statement or statements
were taken;
(d) whether such statement or statements were written, made by recording device or taken by court
reporter or stenographer;
(e) the names and addresses of any person or persons having custody or a copy or copies of such
statement or statements.
(32) Are you aware of any photographs depicting the accident scene, any vehicle involved in the
incident alleged in the Complaint, or any condition or injury alleged to have been caused by the incident
alleged in the Complaint? If so, for each set of photographs taken of each such subject by each
photographer, please state:
(a) the name and address of the photographer, other than an expert who will not testify at trial;
(b) the dates on which such photographs were taken;
(c) the subject (e.g., ‘‘Plaintiff’s vehicle,’’ ‘‘scene,’’ etc.);
(d) the number of photographs.
action, please state whether you consumed or used any alcoholic beverages, drugs or medications
within the eight (8) hours next preceding the time of the incident alleged in the Complaint and, if so,
indicate what you consumed or used, how much you consumed, and when.
(34) Please state whether, within eight (8) hours after the incident alleged in the Complaint, any
testing was performed to determine the presence of alcohol, drugs or other medications in your blood,
and, if so, state:
(a) the name and address of the hospital, person or entity performing such test or screen;
(b) the date and time;
(c) the results.
stating the name and address of any person who obtained or prepared any and all recordings, by film,
photograph, videotape, audiotape or any other digital or electronic means, of any party concerning this
lawsuit or its subject matter, including any transcript thereof which are in your possession or control
609
COMMENT:
The following two interrogatories are intended to identify situations in which a Plaintiff has applied for and received workers’
compensation benefits. If compensation benefits were paid, then the supplemental interrogatories and requests for production
may be served on the Plaintiff without leave of the court if the compensation carrier does not intervene in the action.
(36) Did you make a claim for workers’ compensation benefits as a result of the incident/occurrence
alleged in the Complaint?
(37) Did you receive workers’ compensation benefits as a result of the incident/occurrence alleged
in the Complaint?
DEFENDANT,
BY
I, , hereby certify that I have reviewed the above interrogatories and responses
thereto and that they are true and accurate to the best of my knowledge and belief.
(Plaintiff)
Notary Public/
CERTIFICATION
delivered to*
(P.B. 1978-1997, Form 106.10B.) (Amended June 21, 2004, to take effect Jan. 1, 2005, amended June 29, 2007, to take
effect Jan. 1, 2008; amended June 14, 2013, to take effect Jan. 1, 2014; amended June 13, 2014, to take effect Jan. 1, 2015.)
610
Form 203
Plaintiff’s Interrogatories
Premises Liability Cases
VS. : AT
The undersigned, on behalf of the Plaintiff, hereby propounds the following interrogatories to be
answered by the Defendant, , under oath, within thirty (30) days of the filing
hereof in compliance with Practice Book Section 13-2.
In answering these interrogatories, the Defendant(s) is (are) required to provide all information within
(1) Identify the person(s) who, at the time of the Plaintiff’s alleged injury, owned the premises where
the Plaintiff claims to have been injured.
(a) If the owner is a natural person, please state:
(i) your name and any other name by which you have been known;
(ii) your date of birth;
(iii) your home address;
(iv) your business address.
(b) If the owner is not a natural person, please state:
(i) your name and any other name by which you have been known;
(ii) your business address;
(iii) the nature of your business entity (corporation, partnership, etc.);
(iv) whether you are registered to do business in Connecticut;
(v) the name of the manager of the property, if applicable.
(2) Identify the person(s) who, at the time of the Plaintiff’s alleged injury, had a possessory interest
(e.g., tenants) in the premises where the Plaintiff claims to have been injured.
(3) Identify the person(s) responsible for the maintenance and inspection of the premises at the time
and place where the Plaintiff claims to have been injured.
(4) State whether you had in effect at the time of the Plaintiff’s injuries any written policies or
procedures that relate to the kind of conduct or condition the Plaintiff alleges caused the injury.
(5) State whether it is your business practice to prepare, or to obtain from your employees, a written
report of the circumstances surrounding injuries sustained by persons on the subject premises.
611
(6) State whether any written report of the incident described in the Complaint was prepared by you
or your employees in the regular course of business.
(7) State whether any warnings or caution signs or barriers were erected at or near the scene of
the incident at the time the Plaintiff claims to have been injured.
(8) If the answer to the previous interrogatory is in the affirmative, please state:
(a) the name, address and employer of the person who erected the warning or caution signs or barriers;
(b) the name, address and employer who instructed the person to erect the warning or caution signs
or barriers;
(c) the time and date a sign or barrier was erected;
(d) the size of the sign or barrier and wording that appeared thereon.
(9) State whether you received, at any time within twenty-four (24) months before the incident
described by the Plaintiff, complaints from anyone about the defect or condition that the Plaintiff claims
caused the Plaintiff’s injury.
(10) If the answer to the previous interrogatory is in the affirmative, please state:
(a) the name and address of the person who made the complaint;
(b) the name, address and person to whom said complaint was made;
(c) whether the complaint was in writing;
(d) the nature of the complaint.
stating the name and address of any person who obtained or prepared any and all recordings, by film,
photograph, videotape, audiotape or any other digital or electronic means, of any party concerning this
lawsuit or its subject matter, including any transcript thereof which are in your possession or control
(12)–(23) (Interrogatories #1 (a) through (e), #2 through #9, #12, #13 and #16 of Form 201 may be
used to complete this standard set of interrogatories.)
PLAINTIFF,
BY
612
CERTIFICATION
delivered to*
(P.B. 1978-1997, Form 106.10C.) (Amended June 20, 2005, to take effect Jan. 1, 2006, amended June 29, 2007, to take
effect Jan. 1, 2008; amended June 22, 2009, to take effect Jan. 1, 2010; amended June 14, 2013, to take effect Jan. 1, 2014;
613
Form 204
Plaintiff’s Requests for Production

VS. : AT
The Plaintiff(s) hereby request(s) that the Defendant provide counsel for the Plaintiff(s) with copies
of the documents described in the following requests for production, or afford counsel for said Plaintiff(s)
the opportunity or, if necessary, sufficient written authorization, to inspect, copy, photograph or otherwise
reproduce said documents. The production of such documents, copies or written authorization shall
take place at the offices of on (day), (date) at (time).
In answering these production requests, the Plaintiff(s) are required to provide all information within
their possession, custody or control. If any production request cannot be answered in full, answer to
the extent possible.
Definition: ‘‘You’’ shall mean the Defendant to whom these interrogatories are directed except that
if that Defendant has been sued as the representative of the estate of a decedent, ward, or incapable
person, ‘‘you’’ shall also refer to the Defendant’s decedent, ward or incapable person unless the context
of an interrogatory clearly indicates otherwise.
(1) A copy of the appraisal or bill for repairs as identified in response to Interrogatory #11.
(2) A copy of declaration page(s) of each insurance policy identified in response to Interrogatory #7
and/or #8.
(3) If the answer to Interrogatory #9 is in the affirmative, a copy of the complete policy contents of
each insurance policy identified in response to Interrogatory #7 and/or #8.
(4) A copy of any photographs identified in response to Interrogatory #6.
(5) A copy of any nonprivileged statement, as defined in Practice Book Section 13-1, of any party
in this lawsuit concerning this action or its subject matter.
(6) A copy of all lease agreements pertaining to any motor vehicle involved in the incident which is
the subject of this action, which was owned or operated by you or your employee, and all documents
referenced or incorporated therein.
(7) A copy of all records of blood alcohol testing or drug screens referred to in answer to Interrogatory
#16, or a signed authorization, sufficient to comply with the provisions of the Health Insurance Portability
and Accountability Act (HIPAA) or those of the Public Health Service Act, whichever is applicable, to
obtain the same for each hospital, person or entity that performed such test or screen. Information
obtained pursuant to the provisions of HIPAA or the Public Health Service Act shall not be used or
disclosed by the parties for any purpose other than the litigation or proceeding for which such information
is requested.
(8) A copy of each and every recording of surveillance material discoverable under Practice Book
Section 13-3 (c), by film, photograph, videotape, audiotape or any other digital or electronic means,
of any party to this lawsuit concerning this lawsuit or the subject matter thereof, including any transcript
of such recording.
PLAINTIFF,
BY
614
CERTIFICATION
delivered to*
(P.B. 1978-1997, Form 106.11A.) (Amended June 21, 2004, to take effect Jan. 1, 2005; amended June 20, 2005, to take
615
Form 205
Defendant’s Requests for Production
VS. : AT
The Defendant(s) hereby request(s) that the Plaintiff provide counsel for the Defendant(s) with
copies of the documents described in the following requests for production, or afford counsel for said
Defendant(s) the opportunity or, where requested, sufficient written authorization, to inspect, copy,
photograph or otherwise reproduce said documents. The production of such documents, copies or
written authorizations shall take place at the offices of not later than
thirty (30) days after the service of the Requests for Production.
(1) All hospital records relating to treatment received as a result of the alleged incident, and to
injuries, diseases or defects to which reference is made in the answers to Interrogatories #19, #20,
#21 and #22, or written authorization, sufficient to comply with the provisions of the Health Insurance
Portability and Accountability Act (HIPAA), to inspect and make copies of said hospital records. Informa-
tion obtained pursuant to the provisions of HIPAA shall not be used or disclosed by the parties for any
purpose other than the litigation or proceeding for which such information is requested.
(2) All reports and records of all doctors and all other care providers relating to treatment allegedly
received by the Plaintiff(s) as a result of the alleged incident, and to the injuries, diseases or defects
to which reference is made in the answers to Interrogatories #19, #20, #21 and #22 (exclusive of any
records prepared or maintained by a licensed psychiatrist or psychologist) or written authorization,
sufficient to comply with provisions of the Health Insurance Portability and Accountability Act, to inspect
and make copies of said reports. Information obtained pursuant to the provisions of HIPAA shall not
be used or disclosed by the parties for any purpose other than the litigation or proceeding for which
such information is requested.
(3) If a claim for lost wages or lost earning capacity is being made, copies of, or sufficient written
authorization to inspect and make copies of, the wage and employment records of all employers of
the Plaintiff(s) for three (3) years prior to the date of the incident and for all years subsequent to the
date of the incident to and including the date hereof.
(4) If a claim of impaired earning capacity or lost wages is being alleged, provide copies of, or
sufficient written authorization to obtain copies of, that part of all income tax returns relating to lost
income filed by the Plaintiff(s) for a period of three (3) years prior to the date of the incident and for
all years subsequent to the date of the incident through the time of trial.
(5) All property damage bills that are claimed to have been incurred as a result of this incident.
(6) All medical bills that are claimed to have been incurred as a result of this incident or written
authorization, sufficient to comply with the provisions of the Health Insurance Portability and Accountabil-
ity Act, to inspect and make copies of said medical bills. Information obtained pursuant to the provisions
of HIPAA shall not be used or disclosed by the parties for any purpose other than the litigation or
proceeding for which such information is requested.
616
(7) All bills for each item of expense that is claimed to have been incurred in the answer to Interroga-
tory #18, and not already provided in response ¶5 and ¶6 above.
(8) Copies of all documentation of claims of right to reimbursement provided to the Plaintiff by third
party payors, and copies of, or written authorization, sufficient to comply with provisions of the Health
Insurance Portability and Accountability Act, to obtain any and all documentation of payments made
by a third party for medical services received or premiums paid to obtain such payment. Information
obtained pursuant to the provisions of HIPAA shall not be used or disclosed by the parties for any
purpose other than the litigation or proceeding for which such information is requested.
(9) All documents identified or referred to in the answers to Interrogatory #26.
(11) Any and all photographs identified in response to Interrogatory #32.
(12) A copy of all records of blood alcohol testing or drug screens referred to in answer to Interrogatory
#35, or a signed authorization, sufficient to comply with the provisions of the Health Insurance Portability
and Accountability Act or those of the Public Health Service Act, whichever is applicable, to obtain the
same. Information obtained pursuant to the provisions of HIPAA or the Public Health Service Act shall
not be used or disclosed by the parties for any purpose other than the litigation or proceeding for which
such information is requested.
of such recording.
DEFENDANT,
BY
CERTIFICATION
delivered to*
617
(P.B. 1978-1997, Form 106.11B.) (Amended June 21, 2004, to take effect Jan. 1, 2005; amended June 20, 2005, to take
amended June 14, 2013, to take effect Jan. 1, 2014; amended June 13, 2014, to take effect Jan. 1, 2015.)
618
Form 206
Plaintiff’s Requests for Production—Premises Liability
VS. : AT
The Plaintiff hereby requests that the Defendant provide counsel for the Plaintiff with copies of the
documents described in the following requests for production, or afford counsel for said Plaintiff the
opportunity or, if necessary, sufficient written authorization, to inspect, copy, photograph or otherwise
reproduce said documents. The production of such documents, copies or written authorization shall
take place at the offices of on (day), (date) at (time).
In answering these production requests, the Defendant(s) are required to provide all information
within their possession, custody or control. If any production request cannot be answered in full, answer
to the extent possible.
(1) A copy of the policies or procedures identified in response to Interrogatory #4.
(2) A copy of the report identified in response to Interrogatory #6.
(3) A copy of any written complaints identified in Interrogatory #10.
(4) A copy of declaration page(s) evidencing the insurance policy or policies identified in response
to Interrogatories numbered and .
of such recording.
PLAINTIFF,
BY
619
CERTIFICATION
delivered to*
(P.B. 1978-1997, Form 106.11C.) (Amended June 29, 2007, to take effect Jan. 1, 2008; amended June 14, 2013, to take
effect Jan. 1, 2014; amended June 13, 2014, to take effect Jan. 1, 2015.)
620
Form 207
Interrogatories—Actions to Establish, Enforce or Modify Child Support Orders
No. : SUPERIOR COURT

(Plaintiff) : FAMILY SUPPORT
: MAGISTRATE DIVISION
VS. : JUDICIAL DISTRICT OF
: AT
The undersigned, on behalf of the Plaintiff/Defendant, propounds the following interrogatories to be

answered by the Defendant/Plaintiff within thirty (30) days of the filing hereof.
(1) For your present residence:
(a) What is the address?
(b) What type of property is it (apartment, condominium, single-family home)?
(c) Who is the owner of the property?
(d) What is your relationship to the owner (landlord, parents, spouse)?
(e) When did you start living at this residence?
(2) List the names of all the adults that live with you.
(a) For each adult you live with, what is your relationship to them (spouse, sibling, roommate, parent,
girlfriend or boyfriend)?
(b) For each adult you live with, what is their financial contribution to the household (who pays the
rent, who pays the utilities, who buys the groceries)?
(3) Give the name and address of your employer.
(a) Are you employed full-time or part-time? Are you self-employed? If you are self-employed, do
not answer (b) through (h) and go directly to Interrogatory #4.
(b) Are you paid a salary, on an hourly basis, or do you work on commission or tips?
(c) What is your income per week?
(d) How many hours per week do you usually work?
(e) Is overtime available, and if it is, how many hours per week do you work overtime and what are
you paid?
(f) Do you, or have you, ever received bonus income from your employment and what is the basis
for the bonus?
(g) Does your employer deduct federal and state taxes and Medicare from your wages or are you
responsible for filing your own deductions? If you file, provide a copy of your most recent tax returns.
621
(h) Do you have a second source of employment? If so, please provide the same information as
requested in (a) through (g).
(4) If you are self-employed:
(a) Are you part of a partnership, corporation or LLC, and if you are, give the name of the business
and your role in it?
(b) Name the other people involved in your business and their roles.
(c) Does the business file taxes (if so, bring copies of the last two tax returns filed to your next
court date)?
(d) Describe the work you do.
(e) How many hours per week do you work, on average?
(f) How much do you typically earn per hour?
(g) List your business expenses, and what they cost per week.
(h) State how you are typically paid (check or cash).
(i) Name the five people or companies you did most of your work for in the last year.
(j) If you have a business account, what bank is it at (bring copies of the last six months of bank
statements to your next court date)?
(k) Do you work alone or do you employ anyone and pay them wages? If you employ anyone, please
identify them, their relationship to you, if any, and the amount you pay them.
(l) How do you keep your payment and expense records? Do you employ an accountant, and if so,
please give the name and address of the accountant responsible for your records?
(5) Except for your current job, list all the places you have worked for the last three years. For each
place, list the address, the type of work you did, the dates you worked there and how much you were
paid at each job.
(6) If you cannot work because of a disability, what is the nature of your disability?
(a) What is the date you became disabled?
(b) Is this disability permanent or temporary?
(c) If a doctor has told you that you cannot work, what is the name of the doctor and his or her office
(bring a note from this doctor stating that you cannot work to your next court date)?
(d) If a doctor has told you that you cannot work, did he or she say you cannot work full-time or
part-time?
(e) If you have a partial or permanent disability, please provide the percentage rating.
622
(f) Is your disability the result of an automobile accident, an accident at work, an accident at home
or otherwise? Please give the date and details of the incident and whether you have filed a lawsuit or
workers’ compensation claim as a result.
(g) Have you had any children since the incident? If so, list their dates of birth.
(7) Have you applied for Social Security Disability (SSD) or Supplemental Security Income (SSI)?
(a) If you did, when did you apply and where are you in the application process?
(b) Have you been told if or when you will receive benefits? If so, who told you and what is the date
they gave you?
(c) If your application for SSD and/or SSI has been denied, did you appeal? If you appealed, what
is the status of the appeal and what lawyer, if any, represents you?
(d) Have you applied for or are you receiving state assistance?
(e) Are you a recipient of the state supplement program, medical assistance program, temporary
family assistance program, state-administered general assistance program (SAGA medical or cash)?
If so, state the source of the benefit, the effective date of the benefit and the date when your eligibility
for benefits will be redetermined by the department of social services.
(8) Do you have any lawsuits pending?
(a) If you do, what type of case is it?
(b) Give the name, address, e-mail address and phone number of the lawyer handling the case for you.
(c) What amount do you expect to recover and when do you expect to receive it?
(d) If you have already settled the case, please provide a copy of the settlement statement.
(9) Do you expect to inherit any money or property in the next six months?
(a) If you do, who do you expect to inherit from and where do they or where did they live?
(b) What do you expect to inherit, what is its value and when do you expect to inherit it?
(c) What is the name and address of the person or lawyer handling the estate and where is the
probate court in which the action is filed?
(10) Is anyone holding any money for you? If so, name the person, their relationship to you, their
address and the amount of money they are holding.
(11) Do you own any rental properties, by yourself, with someone else or in trust? If the answer is yes:
(a) Is the property residential or commercial?
(b) Please identify the location of the property or properties, include the address and identify your
ownership interest.
(c) Do you derive any income from the property? Do you calculate your net income from the property
on a weekly, monthly or yearly basis?
623
(d) What are your expenses relating to the property or properties? Please state the amount of your
mortgage payment, if any, and the amount of your taxes, insurance and utility payments, if any, and
your method of payment of these expenses.
(e) Did you have to apply for a loan to finance any part of the real property or to finance the purchase
of any personal property? If so, identify the item, state the amount of the loan and give a copy of the
loan application.
(12) Are you the beneficiary or settlor of a trust?
(a) If so, please identify the trust, the type of trust, the date of the creation of the trust, the name
and address of the trustee and how the trust is funded.
(b) How often do you receive a distribution from the trust and from whom and in what amounts are
the distributions?
BY
I, , certify that I have reviewed the interrogatories set out above and the responses
to those interrogatories and they are true and accurate to the best of my knowledge and belief.
Notary Public/
CERTIFICATION
624
delivered to*
(Adopted June 21, 2010, to take effect Aug. 1, 2010; amended June 13, 2014, to take effect Jan. 1, 2015.)
625
Form 208
Defendant’s Supplemental Interrogatories
Workers’ Compensation Benefits—No Intervening Plaintiff

VS. : AT
answered by the Plaintiff, , under oath, within thirty (30) days of the filing
hereof insofar as the disclosure sought will be of assistance in the defense of this action and can be
provided by the Plaintiff with substantially greater facility than could otherwise be obtained.
Definition: ‘‘You’’ shall mean the Plaintiff to whom these interrogatories are directed except that if
suit has been instituted by the representative of the estate of a decedent, ward, or incapable person,
‘‘you’’ shall also refer to the Plaintiff’s decedent, ward or incapable person unless the context of an
interrogatory clearly indicates otherwise.
and in full, and do not limit the answer to the interrogatory as a whole. If any interrogatories cannot
be answered in full, answer to the extent possible.
(1) State your full name, home address, and business address.
(2) State the workers’ compensation claim number and the date of injury of each workers’ compensa-
tion claim that you have filed as a result of the incident/occurrence alleged in the complaint.
(3) State the total amount paid on your behalf on each of the claims filed as a result of the incident/
occurrence alleged in the complaint and referred to in Interrogatory #2, and if known, specify the
amount of medical benefits, loss of income benefits, and specific award benefits, and if unknown,
provide an authorization for the same.
(4) Identify any First Report of Injury, Notice of Claim for Compensation, Notice of Intention to Reduce
or Discontinue Benefits, Notice to Compensation Commissioner and Employee of Intention to Contest
Employee’s Right to Compensation Benefits, and any reports of medical exams requested by the
commissioner, respondent and/or employer arising out of the incident/occurrence alleged in the Com-
plaint.
(5) Identify any voluntary agreements, approved stipulations to date, approved full and final stipula-
tions and findings and awards, and findings and denials arising out of the incident/occurrence alleged
in the Complaint and which formed the basis for your answer to Interrogatory #3.
(6) Which of your claims arising out of the incident/occurrence alleged in the Complaint and referenced
in your answer to Interrogatory #2 are still open?
COMMENT:
These supplemental interrogatories are specifically directed at eliciting information about any workers’ compensation claims,
benefits and agreements. Unless the compensation carrier is a party to the action, it can be difficult to obtain this information.
Often the Plaintiff’s lawyers do not represent the client in the workers’ compensation case, and although this information is
available in the workers’ compensation file, providing these records to lawyers not involved in the compensation case could be
626
time-consuming for the workers’ compensation office staff. If compensation benefits were paid, these supplemental interrogatories
may be served on the Plaintiff without leave of the court if there is no Intervening Plaintiff in the action.
DEFENDANT,
BY
I, , hereby certify that I have reviewed the above interrogatories and responses
thereto and that they are true and accurate to the best of my knowledge and belief.
(Plaintiff)
Notary Public/
CERTIFICATION
delivered to*
627
(Adopted June 14, 2013, to take effect Jan. 1, 2014; amended June 13, 2014, to take effect Jan. 1, 2015.)
628
Form 209
Defendant’s Supplemental Requests for Production
Workers’ Compensation Benefits—No Intervening Plaintiff

VS. : AT
The Defendant(s) hereby request(s) that the Plaintiff provide counsel for the Defendant(s) with
copies of the documents described in the following requests for production, or afford counsel for said
Defendant(s) the opportunity or, where requested, sufficient written authorization, to inspect, copy,
written authorizations shall take place at the offices of not later than thirty (30) days
after the service of the Requests for Production.
(1) Produce a copy of the First Report of Injury (Form FRI), Notice of Claim for Compensation (Form
30C), Notice of Intention to Reduce or Discontinue Benefits (Form 36), and Notice to Compensation
Commissioner and Employee of Intention to Contest Employee’s Right to Compensation Benefits
(Form 43).
(2) Produce a copy of all of the approved voluntary agreements, approved stipulations to date,
approved full and final stipulations, findings and awards, and findings and denials that relate to one
or more of the claims referenced in your answer to Interrogatory #2 on Form 208.
(3) Produce a copy of all reports of medical exams requested by the commissioner, respondent and/
or employer that were prepared concerning any of the claims referenced in your answer to Interrogatory
#2 on Form 208.
(4) If you are unable to specify the amount of medical benefits, loss of income benefits, and specific
award benefits paid on your behalf, provide an authorization for the same.
COMMENT:
These supplemental requests for production are specifically directed at eliciting information about any workers’ compensation
claims, benefits and agreements. Unless the compensation carrier is a party to the action, it can be difficult to obtain this
information. Often the Plaintiff’s lawyers do not represent the client in the workers’ compensation case, and although this
information is available in the workers’ compensation file, providing these records to lawyers not involved in the compensation
case could be time-consuming for the workers’ compensation office staff. If compensation benefits were paid, these supplemental
requests for production may be served on the Plaintiff without leave of the court if there is no Intervening Plaintiff in the action.
DEFENDANT,
BY
CERTIFICATION
629
delivered to*
630
Form 210
Defendant’s Interrogatories
Workers’ Compensation Benefits—Intervening Plaintiff

VS. : AT
answered by the Intervening Plaintiff, , under oath, within thirty (30) days of the
filing hereof insofar as the disclosure sought will be of assistance in the defense of this action and
can be provided by the Intervening Plaintiff with substantially greater facility than could otherwise
be obtained.
Definition: ‘‘You’’ shall mean the Intervening Plaintiff to whom these interrogatories are directed
except that if suit has been instituted by the representative of the estate of a decedent, ward, or
incapable person, ‘‘you’’ shall also refer to the Intervening Plaintiff’s decedent, ward or incapable person
unless the context of an interrogatory clearly indicates otherwise.
and in full, and do not limit the answer to the interrogatory as a whole. If any interrogatories cannot
be answered in full, answer to the extent possible.
(1) State the name, business address, business telephone number, business e-mail address and
relationship to the workers’ compensation lien holder of the person answering these interrogatories.
(2) State the workers’ compensation claim number and the date of injury of each workers’ compensa-
tion claim that gave rise to the lien asserted by the workers’ compensation lien holder.
(3) State the total amount paid on each claim referenced in the answer to Interrogatory #2, specifying
the amount of medical benefits, loss of income benefits, and specific award benefits paid.
(4) Identify any First Report of Injury, Notice of Claim for Compensation, Notice of Intention to Reduce
or Discontinue Benefits, Notice to Compensation Commissioner and Employee of Intention to Contest
Employee’s Right to Compensation Benefits, and any reports of medical exams requested by the
commissioner, respondents and/or employer arising out of the incident/occurrence alleged in the Com-
plaint.
(5) Identify any voluntary agreements, approved stipulations to date, approved full and final stipula-
tions and findings and awards, and findings and denials.
(6) Identify the claims referenced in your answer to Interrogatory #2 that are still open.
COMMENT:
These standard interrogatories are intended to tailor the discovery from the intervening compensation carrier to the limited
role and limited material information in the workers’ compensation lien holder’s file. The existing standard interrogatories directed
to the Plaintiffs place an unnecessary burden on the parties, result in discovery disputes, and require the compensation carrier
to produce information and documentation, in many instances, that is duplicative of the responses engendered by the same
interrogatories served upon the Plaintiff in the case.
DEFENDANT,
BY
631
I, , hereby certify that I have reviewed the above interrogatories and responses thereto
and that they are true and accurate to the best of my knowledge and belief.
(Plaintiff)
Notary Public/
CERTIFICATION
delivered to*
632
Form 211
Defendant’s Requests for Production
Workers’ Compensation Benefits—Intervening Plaintiff

VS. : AT
The Defendant(s) hereby request(s) that the Intervening Plaintiff provide counsel for the Defendant(s)
with copies of the documents described in the following requests for production, or afford counsel for
said Defendant(s) the opportunity or, where requested, sufficient written authorization, to inspect, copy,
written authorizations shall take place at the offices of not later than thirty (30) days
after the service of the Requests for Production.
(1) Produce a copy of the First Report of Injury (Form FRI), Notice of Claim for Compensation (Form
30C), Notice of Intention to Reduce or Discontinue Benefits (Form 36), and Notice to Compensation
Commissioner and Employee of Intention to Contest Employee’s Right to Compensation Benefits
(Form 43).
(2) Produce a copy of all of the approved voluntary agreements, approved stipulations to date,
approved full and final stipulations, findings and awards, and findings and denials that relate to one
or more of the claims referenced in your answer to Interrogatory #2 on Form 210.
(3) Produce a copy of all reports of medical exams requested by the commissioner, respondent and/
or employer that were prepared concerning any of the claims referenced in your answer to Interrogatory
#2 on Form 210.
(4) Produce a copy of your workers’ compensation lien calculations.
COMMENT:
These standard requests for production are intended to tailor the discovery from the intervening compensation carrier to the
limited role and limited material information in the workers’ compensation lien holder’s file. The existing standard requests for
production directed to the Plaintiffs place an unnecessary burden on the parties, result in discovery disputes, and require the
compensation carrier to produce information and documentation, in many instances, that is duplicative of the responses engen-
dered by the same requests for production served upon the Plaintiff in the case.
DEFENDANT,
BY
633
CERTIFICATION
delivered to*
634
USED IN CIVIL, FAMILY AND JUVENILE MATTERS
The following is a select list of official Judicial Branch forms used in civil, family and
juvenile matters. All forms listed are available in an electronic version except those which
have an asterisk (*) after the form number. Please see the Judicial Branch website at
www.jud.ct.gov/webforms/ for the most current version of the electronic forms. Any of
the listed forms may be obtained from the clerks’ offices and court service centers.
General
JD-CL-12 Appearance
JD-CL-73 Facsimile Filing Cover Sheet
JD-CL-43 Subpoena/Civil
JD-CL-46 Authorization for Information
JD-CL-51 Affidavit, Lost Bond Receipt
JD-CL-80 Request for Nondisclosure of Information in Protection Order Registry
JD-CL-90 Request to Bring Items into the Courthouse
JD-CL-92 Request for Exclusion from Electronic Services Requirements
JD-CL-93 Interpreter Services Request Form
JD-CL-96 Request to Conform Case Initiation Data Entry to Summons
Civil Matters
JD-CL-53 Claim for Jury
Request and Stipulation for Referral to a Private Alternative Dispute
JD-CL-54
Resolution (ADR) Provider
Request for Exemption from Docket Management Program (DMP)
JD-CL-71
Dismissal
JD-CL-77 Request for Adjudication, Complex Litigation Docket (CLD)
Attorney/Firm Request for Exclusion from Electronic Filing of Request for
JD-CL-87
Exemption from Docket Management Program Dismissal
JD-CV-1 Summons-Civil
JD-CV-1c Civil Case Type Codes Listing
JD-CV-2 Civil Summons, Continuation of Parties
JD-CV-3 Wage Execution Proceedings - Application, Order, Execution
JD-CV-3a Exemption and Modification Claim Form, Wage Execution
JD-CV-5 Property Execution Proceedings - Application, Order, Execution
JD-CV-5b Exemption Claim Form, Property Execution
Property Execution Proceedings, Claim for Determination of Interests in
JD-CV-5c
Disputed Property
JD-CV-11 Certificate of Closed Pleadings
JD-CV-21 Motion for Continuance
635
© Copyrighted by the Secretary of the State of the State of Connecticut
JD-CV-23 Post Judgment Remedies, Interrogatories

JD-CV-23a Interrogatories
Financial Institution Execution Proceedings - Judgment Debtor who is a
JD-CV-24
Natural Person, Application and Execution
JD-CV-24a Exemption Claim Form, Financial Institution Execution
Financial Institution Execution Proceedings - Judgment Debtor who is NOT
JD-CV-24N
a Natural Person, Application and Execution
JD-CV-39 Application for Referral of Case to the Complex Litigation Docket (CLD)
JD-CV-40 Small Claims Writ and Notice of Suit
JD-CV-40R* Answer to Counterclaim/Setoff
JD-CV-40S Instructions for Completing Service by a Proper Officer
JD-CV-41 Withdrawal
Motion for Default for Failure to Appear, Judgment and Order for Weekly
JD-CV-49
Payments
Motion for Default for Failure to Appear, Judgment and Order for Weekly
JD-CV-49
Payments (with automatic calculations)
JD-CV-51 Motion to Open Judgment (Small Claims and Housing Matters)
Affidavit of Debt Re: Motion for Default for Failure to Appear, Judgment
JD-CV-52
and Order for Weekly Payments
JD-CV-54 Application for Examination of Judgment Debtor and Notice of Hearing
JD-CV-58 First Order of Notice Upon Attachment of Estate of Nonresident
JD-CV-61* Answer to Counterclaim
JD-CV-62 Application for Issuance of Subpoena
JD-CV-63* Motion for First Order of Notice Attachment of Estate - Nonresident
JD-CV-67 Continuation of Parties
Petition for Order Re: Commission on Human Rights and Opportunities and
JD-CV-68
Notice of Hearing
Affidavit of Service, Petition for Order Re: Commission on Human Rights
JD-CV-69
and Opportunities and Notice of Hearing
JD-CV-70 Withdrawal, Small Claims and Housing Matters
JD-CV-72 Application for Hearing on Exempt Status of Funds
JD-CV-73 Affidavit Re: Exempt Funds
JD-CV-77 Foreclosure Worksheet
JD-CV-77 Foreclosure Worksheet (with automatic calculations)
JD-CV-78 Uniform Procedures for Foreclosure Judgment, Presentation Instructions
JD-CV-88 Sales Agreement — Foreclosure
JD-CV-95 Foreclosure Mediation — Objection
Foreclosure Mediation — Motion for Permission to Request Mediation Later
JD-CV-96
than 15 Days After Return Date or to Change Mediation Period
Foreclosure/Motion for Approval of Committee Sale, Approval of
JD-CV-99 Committee Deed, Acceptance of Committee Report, Allowance of Fees
and Expenses, Allowance of Appraiser's Fees
636
JD-CV-100 Foreclosure, Motion for Advice

JD-CV-101 Foreclosure, Motion for Possession
JD-CV-102 Foreclosure, Plaintiff's Bid at Foreclosure Sale and Committee's Response
JD-CV-106 Answer to Complaint, Civil Cases Only
Motion to Open Judgment (Civil Matters Other than Small Claims and
JD-CV-107
Housing Matters)
Consent of Parties to Referral to Judge Trial Referee—Civil Matters—For
JD-CV-111
Trial, Judgment and Appeal
JD-CV-115 Expert Discovery Schedule Proposal or Request for Scheduling Conference
JD-CV-116 Caseflow Request
Family Matters
JD-CL-104 General Restraining Order Notifications (Family)
JD-CL-104A Information Concerning Firearms in Relief from Abuse Cases
JD-FM-3 Summons, Family Actions
JD-FM-6-LONG Financial Affidavit
JD-FM-6-SHORT Financial Affidavit
JD-FM-15 Application for Contempt Order, Income Withholding, and/or Other Relief
JD-FM-75 Application for Waiver of Fees/Appointment of Counsel, Family
JD-FM-97 Family Violence Education Program, Application, Orders and Disposition
JD-FM-111 Appeal from Family Support Magistrate
JD-FM-137 Application for Relief from Abuse
JD-FM-138 Affidavit — Relief from Abuse
JD-FM-146* Paternity Petition, Title IV-D
JD-FM-148* Support Petition
JD-FM-159 Divorce Complaint (Dissolution of Marriage)
JD-FM-159A Dissolution of Civil Union Complaint
JD-FM-160 Dissolution Answer
JD-FM-161 Custody/Visitation Application — Parent
JD-FM-163 Case Management Agreement/Order
JD-FM-164 Affidavit Concerning Children
JD-FM-164A Addendum to Affidavit Concerning Children
JD-FM-167 Motion for Order of Notice in Family Cases
JD-FM-172 Dissolution Agreement
JD-FM-172A Instructions to Complete the Dissolution Agreement form, JD-FM-172
JD-FM-173 Motion for Contempt/Contempt Citation
JD-FM-174 Motion for Modification
JD-FM-176 Motion for Orders Before Judgment (Pendente Lite) in Family Cases
JD-FM-178 Affidavit Concerning Military Service
JD-FM-182* Custody/Visitation Answer
637
JD-FM-183 Custody/Visitation Agreement

JD-FM-185 Motion for Intervention in Family Matters
JD-FM-188 Request for Nondisclosure of Location Information
JD-FM-200 Motion to Approve Arbitration Agreement in Family Cases
JD-FM-202 Request for Leave
JD-FM-206 Motion to Open Judgment (Family Matters)
Juvenile Matters
JD-JM-12 Erasure of Record, Petition/Order
JD-JM-13 Appearance, Juvenile Matters
JD-JM-29 Juvenile Delinquency Waiver of Child/Parent Statement of Responsibility
JD-JM-30 Custody Affidavit
JD-JM-34 Application and Writ, Habeas Corpus
JD-JM-58 Motion/Order of Temporary Custody/Order to Appear
JD-JM-60 Affidavit/Consent to Termination of Parental Rights
JD-JM-61 Order of Notice
JD-JM-90 Petition for Emancipation
JD-JM-98 Petition: Neglected, Uncared-for, Abused Child/Youth
JD-JM-114 Application for Appointment of Counsel/Waiver of Fees, Juvenile
JD-JM-119 Complaint - School Truancy/Defiance Family with Service Needs
JD-JM-120 Complaint, Non-School Family with Service Needs
JD-JM-123 Order of Temporary Custody - FWSN
JD-JM-134 School Violence Prevention Program, Motion, Order, Disposition
JD-JM-140 Motion for Continuance, Juvenile Matters
JD-JM-141 Motion for Intervention in Juvenile Matters
JD-JM-150 Application For Issuance of Subpoena, Juvenile Matters
JD-JM-172 Affidavit Concerning Military Service — Juvenile Matters
JD-JM-178 Order to Provide Educational Records and Receipt
JD-JM-181 Summary Guide to Juvenile Court Jurisdiction
638
SUPERIOR COURT STANDING ORDERS
SUPERIOR COURT STANDING ORDERS

Standing Orders that have been issued for civil, family, juvenile and criminal matters in the
Superior Court may be accessed on the Judicial Branch website at www.jud.ct.gov. From the
link to Courts on the main page of the website, click on Superior Court and then click on
Standing Orders.
Standing Orders are provided on the Judicial Branch website for the convenience of the
bench and bar. They are not adopted by the Superior Court judges and are not Practice
Book rules.
639

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OFFICIAL

RULES OF PROFESSIONAL CONDUCT

CODE OF JUDICIAL CONDUCT

RULES FOR THE SUPERIOR COURT

RULES OF APPELLATE PROCEDURE

INDEX OF OFFICIAL JUDICIAL BRANCH FORMS

The Commission on Official Legal Publications

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

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

THE ATTORNEY’S OATH

RULES OF PROFESSIONAL CONDUCT

Preamble: A Lawyer’s Responsibilities In all professional functions a lawyer should be

RULES OF PROFESSIONAL CONDUCT

Client-Lawyer Relationships Transactions with Persons Other than Clients

Rule 1.0. Terminology (b) ‘‘Client’’ or ‘‘person’’ as used in these Rules

CODE OF JUDICIAL CONDUCT

‘‘Knowingly,’’ ‘‘knowledge,’’ ‘‘known,’’ and ‘‘Spouse’’ means a person to whom one is

CODE OF JUDICIAL CONDUCT

CHAPTER AND SECTION HEADINGS OF THE RULES

SUPERIOR COURT—GENERAL PROVISIONS

CHAPTER 1 2-4A. —Records of Examining Committee

5-7. Marking Exhibits 7-2. General Duties of Clerk

SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS

CHAPTER 8 9-7. Class Actions; Prerequisites to Class Actions

CHAPTER 19 21-21. —Bond

SUPERIOR COURT—PROCEDURE IN FAMILY MATTERS

CHAPTER 25 25-6. Parties and Appearances

25-18. —Reasons 25-48. Dockets, Pretrials and Assignment for Disposition

SUPERIOR COURT—PROCEDURE IN FAMILY SUPPORT

CHAPTER 25a 25a-15. Statements to Be Filed

SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERS

[Repealed as of Jan. 1, 2003.] CHAPTER 33a

33a-2. Service of Summons, Petitions and Ex Parte CHAPTER 35

SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERS

CHAPTER 44 44-14. —Assignments for Plea in Judicial District Court

RULES OF APPELLATE PROCEDURE

CHAPTER 60 61-2. Appeal of Judgment on Entire Complaint, Counter-

61-10. Responsibility of Appellant to Provide Adequate CHAPTER 64

CHAPTER 81 CHAPTER 84a

INDEX OF OFFICIAL JUDICIAL BRANCH

SUPERIOR COURT—GENERAL PROVISIONS

representatives should ordinarily be used for Sec. 1-14. —Criminal Contempt

months imprisonment or a fine of five hundred Sec. 1-22. Disqualification of Judicial

applicant, certifying whether such applicant has (b) Definitions

company documents, partnership agreements, constitute the unlicensed or unauthorized practice

Sec. 5-1. Trial Briefs Sec. 5-5. Objections to Evidence; Interlocu-

Sec. 7-1. Dockets; Clerk’s Records Sec. 7-4. Daybook

subject to federal state library pursuant to Section 7-15 (b) or to the

(6) Landlord/Tenant Sec. 7-13. —Criminal/Motor Vehicle Files

SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS

Sec. 8-1. Process (7) Any actions or proceedings in which an

Sec. 10-1. Fact Pleading each containing as nearly as may be a separate

Sec. 10-58. —Pleadings Subsequent to Sec. 10-61. —Pleading after Amendment

discovery is objectionable unless written objection Sec. 13-19. Disclosure of Defense

Sec. 16-2. Challenge to Array Sec. 16-4. Disqualification of Jurors and

Sec. 17-1. Judgments in General Sec. 17-2. Judgment on Verdict and