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1 OFFICIAL 2019 CONNECTICUT PRACTICE BOOK (Revision of 1998) CONTAINING RULES OF PROFESSIONAL CONDUCT CODE OF JUDICIAL CONDUCT RULES FOR THE SUPERIOR COURT RULES OF APPELLATE PROCEDURE APPENDIX OF FORMS NOTICE REGARDING OFFICIAL JUDICIAL BRANCH FORMS Published by The Commission on Official Legal Publications  Copyrighted by the Secretary of the State of the State of Connecticut

2  2019 by the Secretary of the State, State of Connecticut  Copyrighted by the Secretary of the State of the State of Connecticut

3 EXPLANATORY NOTES The Superior Court Rules as organized herein were first published in the Connecticut Law Journal dated July 29, 1997. This 2019 edition of the Practice Book contains amendments to the Rules of Professional Conduct, the Code of Judicial Conduct, the Superior Court Rules and the Rules of Appellate Procedure. The amendments were published in the Connecticut Law Journals dated June 26, 2018, July 3, 2018, and November 6, 2018. In this edition, technical changes were made in order to conform the rules to the style adopted by the courts; certain proper nouns were capitalized, as were verbs in the titles of sections, and hyphens were added to phrases such as ``case-in-chief.'' 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). Origin of the rules . A parenthetical notation about the origin of each rule is found at the ) indicates the end of every section in this volume. The notation (P.B. 1978-1997, Sec. number of the section in the 1978-1997 Practice Book corresponding to the current section. Current numbers of any sections corresponding to the sections in the 1978-1997 Practice Book appear in the Reference Tables following the text of the rules. The notation (1998) indicates that the section was new in the 1998 Practice Book, taking effect October 1, 1997. The notation (See P.B. 1978-1997, Sec. ) (1998) indicates that the section was modeled on a rule in the 1978-1997 Practice Book but was actually adopted for the first time to take effect October 1, 1997. There may be significant differences between the rules in this volume and those in the 1978-1997 Practice Book on which they were modeled. The temporary num- bers assigned to those rules in the July 29, 1997 Connecticut Law Journal, where they were originally published, appear in the Reference Tables following the text of the rules. When a section was adopted or amended after 1997, a parenthetical notation to that effect appears either immediately following the text of the section or following the parenthetical nota- tion concerning the derivation of the section. When the title to a section has been amended, a parenthetical notation appears immediately following the title. . Histories describing the nature of amendments and Com- Histories and commentaries mentaries indicating the intended purpose of new rules or amendments to existing rules are printed following the text of new or amended rules. Histories and Commentaries are included for only those rules that were adopted or amended to take effect in the year corresponding to the current edition of the Practice Book, with the following exceptions: (1) the Histories and Commentaries to the rules on sealing of files and closure of the courtroom will be retained on a cumulative basis; (2) the 2014 Commentary to Section 1-10B and the 2017 Commentary to Section 2-27A have been retained; and (3) Commentaries to certain sections of the Rules of Appellate Procedure have been retained. Users wanting to access the Histories documenting rule changes and Commentaries to new or amended rules, in a given year, should not discard the corresponding edition of the Practice Book. For example, Histories and Commentaries corresponding to rule changes to take effect January 1, 2019, will appear only in the 2019 edition of the Practice Book and not in subsequent editions, unless the rule falls into one of the exceptions, listed previously. iii  Copyrighted by the Secretary of the State of the State of Connecticut

4 The Commentaries to the rules of practice are included in this volume for informational purposes only. Commentaries to those rules are not adopted by the Judges and Justices when they vote to adopt proposed rule changes. Commentaries to the Rules of Professional Conduct and Code of Judicial Conduct are adopted by the Judges and Justices and are printed in every edition of the Practice Book. Beginning in 2000, Amendment Notes were incorporated into the Rules of Professional Conduct and the Code of Judicial Conduct. Those notes, approved by the Rules Committee of the Superior Court to explain the revisions to the Rules of Professional Conduct and Code of Judicial Conduct, appear only in the edition of the Practice Book corresponding to the year of the revision and not in subsequent editions. Every year, certain nonsubstantive, technical editorial changes are made to a number of the rules. Some, but not all, of these changes are explained in Technical Change notes. The Rules of Appellate Procedure . The reorganization of the Rules of Appellate Procedure in 1998 was completed subsequent to the publication of the July 29, 1997 Connecticut Law Journal and was published in this volume for the first time in 1998. The goal in 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. . Effective January 1, 2003, the rules pertaining to procedure in juvenile Juvenile matters matters were amended and reorganized. The amendments initially were published in the Connecticut Law Journal of July 23, 2002. The July 23, 2002 Connecticut Law Journal gave notice that the rules on juvenile matters, which, since 1998, had been found in chapters 26 through 35, had been moved to chapters 26a through 35a. In the Practice Book itself, however, the original numbers of the juvenile rules were retained whenever possible. Appendices and notices . In 2002, an Appendix was added following the Index. The Appendix contains certain forms that previously had been in Volume 2 of the 1978-1997 Practice Book. The Appendix of Superior Court Standing Orders, which was added in 2010, was removed in 2012. A notice referring the reader to the Judicial Branch website for access to the Superior Court Standing Orders was substituted in its place. The Index of Official Judicial Branch Forms Used in Civil, Family and Juvenile Matters, which was added in 2010, was removed in 2018. A notice referring the reader to the Judicial Branch website for access to official Judicial Branch forms was substituted in its place. iv  Copyrighted by the Secretary of the State of the State of Connecticut

5 TABLE OF CONTENTS Attorney's Oath 1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Rules of Professional Conduct Preamble . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 2 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Scope . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 Rules and Commentaries Code of Judicial Conduct Preamble . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 66 66 Scope . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 67 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Terminology 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 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 104 Chapter 1 Scope of Rules 114 Chapter 2 Attorneys . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Chapter 3 Appearances . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 165 Chapter 4 Pleadings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 171 Chapter 5 Trials 174 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Chapter 6 Judgments 176 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Chapter 7 Clerks; Files and Records 178 Superior Court–Procedure in Civil Matters Chapter 8 Commencement of Action . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 184 Chapter 9 Parties . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 186 Chapter 10 Pleadings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 192 . . . . . . . . . . . . . . 204 Chapter 11 Motions, Requests, Orders of Notice, and Short Calendar 213 Chapter 12 Transfer of Actions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Chapter 13 Discovery and Depositions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 214 Chapter 14 Dockets, Trial Lists, Pretrials and Assignment Lists . . . . . . . . . . . . . . . . . . 234 . . . . . . . . . . . . . . . . . . . . . . . . Chapter 15 Trials in General; Argument by Counsel 241 Chapter 16 Jury Trials 243 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 249 Chapter 17 Judgments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 261 Chapter 18 Fees and Costs Chapter 19 References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 264 Chapter 20 Hearings in Chambers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 268 Chapter 21 Receivers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 269 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 273 Chapter 22 Unemployment Compensation Chapter 23 Miscellaneous Remedies and Procedures 275 . . . . . . . . . . . . . . . . . . . . . . . Chapter 24 Small Claims . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 285 Superior Court–Procedure in Family Matters Chapter 25 General Provisions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 292 Superior Court–Procedure in Family Support Magistrate Matters . . . . . . . . . . . . . . . . . . . . . . . . . . . 313 Chapter 25a Family Support Magistrate Matters Superior Court–Procedure in Juvenile Matters Chapter 26 General Provisions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 322 v  Copyrighted by the Secretary of the State of the State of Connecticut

6 Chapter 27 Reception and Processing of Delinquency and Family with Service Needs Com- plaints or Petitions 325 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 328 Chapter 28 Delinquency and Family with Service Needs Nonjudicial Supervision [Repealed] Chapter 29 Reception and Processing of Delinquency and Child from Family with Service Needs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 329 Petitions and Delinquency Informations Chapter 30 Detention 330 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Chapter 30a Delinquency and Family with Service Needs Hearings . . . . . . . . . . . . . . . . 333 Chapter 31 Delinquency and Family with Service Needs Hearing [Repealed] . . . . . . . . . . 336 337 Chapter 31a Delinquency and Family with Service Needs Motions and Applications . . . . . . Chapter 32 Neglected, Uncared for and Dependent Children and Termination of Parental Rights [Repealed] . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 343 Chapter 32a Rights of Parties, Neglected, Abused and Uncared for Children and Termination of Parental Rights . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 344 Chapter 33 Hearings concerning Neglected, Uncared for and Dependent Children and Termina- . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 347 tion of Parental Rights [Repealed] Chapter 33a Petitions for Neglect, Uncared for, Dependency and Termination of Parental Rights: Initiation of Proceedings, Orders of Temporary Custody and Preliminary Hearings 348 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 352 Chapter 34 Rights of Parties [Repealed] Chapter 34a Pleadings, Motions and Discovery Neglected, Abused and Uncared for Children . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 353 and Termination of Parental Rights . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 358 Chapter 35 General Provisions [Repealed] Chapter 35a Hearings concerning Neglected, Abused and Uncared for Children and Termination . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 359 of Parental Rights Superior Court–Procedure in Criminal Matters Chapter 36 Procedure Prior to Appearance 369 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 373 Chapter 37 Arraignment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 376 Chapter 38 Pretrial Release Chapter 39 Disposition without Trial . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 386 Chapter 40 Discovery and Depositions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 390 Chapter 41 Pretrial Motions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 400 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 404 Chapter 42 Trial Procedure 416 Chapter 43 Sentencing, Judgment, and Appeal . . . . . . . . . . . . . . . . . . . . . . . . . . . Chapter 44 General Provisions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 425 Rules of Appellate Procedure Chapter 60 General Provisions Relating to Appellate Rules and Appellate Review . . . . . . . 433 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Chapter 61 Remedy by Appeal 436 Chapter 62 Chief Judge, Appellate Clerk and Docket: General Administrative Matters 445 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 450 Chapter 63 Filing the Appeal; Withdrawals . . . . . . . . . . . . . . . . . . . 457 Chapter 64 Procedure concerning Memorandum of Decision Chapter 65 Transfer of Cases . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 458 Chapter 66 Motions and Other Procedures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 459 Chapter 67 Briefs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 463 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Chapter 68 Case File 471 . . . . . . . . . . . . . . . . . . . . . . . . . . . 473 Chapter 69 Assignment of Cases for Argument Chapter 70 Arguments and Media Coverage of Court Proceedings 474 . . . . . . . . . . . . . . . . Chapter 71 Appellate Judgments and Opinions . . . . . . . . . . . . . . . . . . . . . . . . . . . 477 Chapter 72 Writs of Error . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 479 Chapter 73 Reservations 481 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Chapter 74 Decisions of Judicial Review Council . . . . . . . . . . . . . . . . . . . . . . . . . . 483 Chapter 75 Appeals from Council on Probate Judicial Conduct . . . . . . . . . . . . . . . . . . 485 Chapter 76 Appeals in Workers' Compensation Cases . . . . . . . . . . . . . . . . . . . . . . . 486 vi  Copyrighted by the Secretary of the State of the State of Connecticut

7 Chapter 77 Procedures concerning Court Closure and Sealing Orders or Orders Limiting the Disclosure of Files, Affidavits, Documents or Other Material 488 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 491 Chapter 78 Review of Grand Jury Record or Finding Order 492 Chapter 78a Review of Orders concerning Release on Bail . . . . . . . . . . . . . . . . . . . . Chapter 79 Appeals in Juvenile Matters [Repealed] . . . . . . . . . . . . . . . . . . . . . . . . . 493 Chapter 79a Appeals in Child Protection Matters . . . . . . . . . . . . . . . . . . . . . . . . . . 494 . . . . . . . . . . . . 498 Chapter 80 Appeals in Habeas Corpus Proceedings Following Conviction Chapter 81 Appeals to Appellate Court by Certification for Review in Accordance with General Statutes Chapters 124 and 440 499 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 501 Chapter 82 Certified Questions to or from Courts of Other Jurisdictions Chapter 83 Certification Pursuant to General Statutes ß 52-265a in Cases of Substantial Public . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 503 Interest Chapter 84 Appeals to Supreme Court by Certification for Review . . . . . . . . . . . . . . . . 504 Chapter 84a Matters within Supreme Court's Original Jurisdiction in which Facts May Be Found 507 Chapter 85 Sanctions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 508 . . . . . . . . . . . . . . . . . . . . . . . 509 Chapter 86 Rule Changes; Effective Date; Applicability Tables and Index . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 511 Reference Table 1978-1997 to 1998 Reference Table 1998 to 1978-1997 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 524 Table of Statutes Noted . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 535 Index 539 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Appendix: Forms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 575 Official Judicial Branch Forms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 632 Superior Court Standing Orders . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 633 vii  Copyrighted by the Secretary of the State of the State of Connecticut

8 RULES OF PROFESSIONAL CONDUCT THE ATTORNEY'S OATH You solemnly swear or solemnly and sincerely affirm, as the case may be, that you will do nothing dishonest, and will not knowingly allow anything dishonest to be done in court, and that you will inform the court of any dishonesty of which you have knowledge; that you will not knowingly maintain or assist in maintaining any cause of action that is false or unlawful; that you will not obstruct any cause of action for personal gain or malice; but that you will exercise the office of attorney, in any court in which you may practice, according to the best of your learning and judgment, faithfully, to both your client and the court; so help you God or upon penalty of perjury. (General Statutes ß 1-25 and annotations.) (Amended pursuant to Public Act 02-71 to take effect Oct. 1, 2002.) RULES OF PROFESSIONAL CONDUCT Preamble Scope Rules Commentaries Preamble: A Lawyer's Responsibilities In all professional functions a lawyer should be competent, prompt and diligent. A lawyer should A lawyer, as a member of the legal profession, maintain communication with a client concerning is a representative of clients, an officer of the the representation. A lawyer should keep in confi- legal system and a public citizen having special dence information relating to representation of a responsibility for the quality of justice. client except so far as disclosure is required or As a representative of clients, a lawyer per- permitted by the Rules of Professional Conduct forms various functions. As advisor, a lawyer pro- or other law. vides a client with an informed understanding of A lawyer's conduct should conform to the the client's legal rights and obligations and requirements of the law, both in professional ser- explains their practical implications. As advocate, vice to clients and in the lawyer's business and a lawyer zealously asserts the client's position personal affairs. A lawyer should use the law's under the rules of the adversary system. As nego- procedures only for legitimate purposes and not tiator, a lawyer seeks a result advantageous to the to harass or intimidate others. A lawyer should client but consistent with requirements of honest demonstrate respect for the legal system and for dealing with others. As evaluator, a lawyer exam- those who serve it, including judges, other lawyers ines a client's legal affairs and reports about them and public officials. While it is a lawyer's duty, to the client or to others on the client's behalf. when necessary, to challenge the rectitude of offi- In addition to these representational functions, cial action, it is also a lawyer's duty to uphold a lawyer may serve as a third-party neutral, a legal process. nonrepresentational role helping the parties to As a public citizen, a lawyer should seek resolve a dispute or other matter. Some of these improvement of the law, access to the legal sys- Rules apply directly to lawyers who are or have tem, the administration of justice and the quality served as third-party neutrals. See, e.g., Rules of service rendered by the legal profession. As a 1.12 and 2.4. In addition, there are Rules that member of a learned profession, a lawyer should apply to lawyers who are not active in the practice cultivate knowledge of the law beyond its use for of law or to practicing lawyers even when they clients, employ that knowledge in reform of the are acting in a nonprofessional capacity. For law and work to strengthen legal education. All example, a lawyer who commits fraud in the con- lawyers should work to ensure equal access to duct of a business is subject to discipline for our system of justice for all those who, because engaging in conduct involving dishonesty, fraud, of economic or social barriers, cannot afford or deceit or misrepresentation. See Rule 8.4. 1  Copyrighted by the Secretary of the State of the State of Connecticut

9 RULES OF PROFESSIONAL CONDUCT secure adequate legal counsel. A lawyer should also helps maintain the legal profession's inde- pendence from government domination. An inde- aid the legal profession in pursuing these objec- pendent legal profession is an important force in tives and should help the bar regulate itself in the preserving government under law, for abuse of public interest. legal authority is more readily challenged by a Many of a lawyer's professional responsibilities profession whose members are not dependent on are prescribed in the Rules of Professional Con- government for the right to practice. duct, as well as substantive and procedural law. The legal profession's relative autonomy car- However, a lawyer is also guided by personal ries with it special responsibilities of self-govern- conscience and the approbation of professional ment. The profession has a responsibility to peers. A lawyer should strive to attain the highest assure that its regulations are conceived in the level of skill, to improve the law and the legal public interest and not in furtherance of parochial profession and to exemplify the legal profession's or self-interested concerns of the bar. Every law- ideals of public service. yer is responsible for observance of the Rules of A lawyer's responsibilities as a representative Professional Conduct. A lawyer should also aid of clients, an officer of the legal system and a in securing their observance by other lawyers. public citizen are usually harmonious. Thus, when Neglect of these responsibilities compromises the an opposing party is well represented, a lawyer independence of the profession and the public can be a zealous advocate on behalf of a client interest which it serves. and at the same time assume that justice is being Lawyers play a vital role in the preservation of done. So also, a lawyer can be sure that preserv- society. The fulfillment of this role requires an ing client confidences ordinarily serves the public understanding by lawyers of their relationship to interest because people are more likely to seek our legal system. The Rules of Professional Con- legal advice, and thereby heed their legal obliga- duct, when properly applied, serve to define tions, when they know their communications will that relationship. be private. (Amended June 26, 2006, to take effect Jan. 1, 2007.) In the nature of law practice, however, conflict- ing responsibilities are encountered. Virtually all Scope difficult ethical problems arise from conflict 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 Copyrighted by the Secretary of the State of the State of Connecticut 

10 RULES OF PROFESSIONAL CONDUCT 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 administration of a disciplinary authority, does not established. See Rule 1.18. Whether a client-law- imply that an antagonist in a collateral proceeding yer relationship exists for any specific purpose or transaction has standing to seek enforcement can depend on the circumstances and may be a of the Rule. Nevertheless, since the Rules do question of fact. establish standards of conduct by lawyers, a law- Under various legal provisions, including con- yer's violation of a Rule may be evidence of stitutional, statutory and common law, the respon- breach of the applicable standard of conduct. sibilities of government lawyers may include Moreover, these Rules are not intended to gov- authority concerning legal matters that ordinarily ern or affect judicial application of either the attor- reposes in the client in private client-lawyer rela- ney-client or work product privilege. Those tionships. For example, a lawyer for a government privileges were developed to promote compliance agency may have authority on behalf of the gov- with law and fairness in litigation. In reliance on ernment to decide upon settlement or whether to the attorney-client privilege, clients are entitled to appeal from an adverse judgment. Such authority expect that communications within the scope of in various respects is generally vested in the attor- 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 amination would be incompatible with the general be made on the basis of the facts and circum- policy of promoting compliance with law through stances as they existed at the time of the conduct assurances that communications will be protected in question and in recognition of the fact that a against disclosure. lawyer often has to act upon uncertain or incom- The Commentary accompanying each Rule plete evidence of the situation. Moreover, the explains and illustrates the meaning and purpose Rules presuppose that whether or not discipline of the Rule. The Preamble and this note on Scope should be imposed for a violation, and the severity provide general orientation. The Commentaries of a sanction, depend on all the circumstances, are intended as guides to interpretation, but the such as the wilfulness and seriousness of the text of each Rule is authoritative. Commentaries violation, extenuating factors and whether there do not add obligations to the Rules but provide have been previous violations. 3 Copyrighted by the Secretary of the State of the State of Connecticut 

11 RULES OF PROFESSIONAL CONDUCT 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.) RULES OF PROFESSIONAL CONDUCT Rule Rule 3.9. Advocate in Nonadjudicative Proceedings Terminology 1.0. Transactions with Persons Other than Clients Client-Lawyer Relationships 4.1. Truthfulness in Statements to Others Competence 1.1. 4.2. Communication with Person Represented by Counsel 1.2. Scope of Representation and Allocation of Authority Dealing with Unrepresented Person 4.3. between Client and Lawyer Respect for Rights of Third Persons 4.4. Diligence 1.3. Law Firms and Associations Communication 1.4. 1.5. Fees 5.1. Responsibilities of Partners, Managers, and Supervi- 1.6. Confidentiality of Information sory Lawyers Conflict of Interest: Current Clients 1.7. 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 Professional Independence of a Lawyer 5.4. 1.10. Imputation of Conflicts of Interest: General Rule Unauthorized Practice of Law 5.5. Special Conflicts of Interest for Former and Current 1.11. 5.6. Restrictions on Right To Practice Government Officers and Employees Public Service Former Judge, Arbitrator, Mediator or Other Third- 1.12. 6.1. Pro Bono Publico Service Party Neutral 6.2. Accepting Appointments Organization as Client 1.13. Membership in Legal Services Organization 6.3. 1.14. Client with Impaired Capacity Law Reform Activities Affecting Client Interests 6.4. Safekeeping Property 1.15. 6.5. Nonprofit and Court-Annexed Limited Legal Ser- 1.16. Declining or Terminating Representation vices Programs 1.17. Sale of Law Practice 1.18. Duties to Prospective Client Information about Legal Services 7.1. Communications concerning a Lawyer's Services Counselor Advertising 7.2. 2.1. Advisor Solicilation of Clients 7.3. 2.2. Intermediary [Repealed] Communication of Fields of Practice 7.4. Evaluation for Use by Third Persons 2.3. 7.4A. Certification as Specialist 2.4. Lawyer Serving as Third-Party Neutral 7.4B. Legal Specialization Screening Committee 7.4C. Application by Board or Entity To Certify Lawyers Advocate as Specialists 3.1. Meritorious Claims and Contentions Firm Names and Letterheads 7.5. Expediting Litigation 3.2. Maintaining the Integrity of the Profession Candor toward the Tribunal 3.3. Fairness to Opposing Party and Counsel 3.4. Bar Admission and Disciplinary Matters 8.1. 3.5. Impartiality and Decorum Judicial and Legal Officials 8.2. Trial Publicity 3.6. 8.3. Reporting Professional Misconduct Lawyer as Witness 3.7. 8.4. Misconduct Special Responsibilities of a Prosecutor 3.8. Disciplinary Authority; Choice of Law 8.5. Rule 1.0. Terminology (b) ``Client'' or ``person'' as used in these Rules includes an authorized representative unless (a) ``Belief'' or ``believes'' denotes that the per- otherwise stated. son involved actually supposed the fact in ques- (c) ``Confirmed in writing,'' when used in refer- tion to be true. A person's belief may be inferred from circumstances. ence to the informed consent of a person, denotes 4 Copyrighted by the Secretary of the State of the State of Connecticut 

12 RULES OF PROFESSIONAL CONDUCT Rule 1.0 body, administrative agency or other body acting informed consent that is given in writing by the in an adjudicative capacity. A legislative body, person or a writing that a lawyer promptly trans- administrative agency or other body acts in an mits to the person confirming an oral informed adjudicative capacity when a neutral official, after consent. See subsection (f) for the definition of the presentation of evidence or legal argument ``informed consent.'' If it is not feasible to obtain by a party or parties, will render a binding legal or transmit the writing at the time the person gives judgment directly affecting a party's interests in a informed consent, then the lawyer must obtain or particular matter. transmit it within a reasonable time thereafter. (o) ``Writing'' or ``written'' denotes a tangible or (d) ``Firm'' or ``law firm'' denotes a lawyer or electronic record of a communication or represen- lawyers in a law partnership, professional corpo- tation, including handwriting, typewriting, printing, ration, sole proprietorship or other association photostatting, photography, audio or videore- authorized to practice law; or lawyers employed cording and electronic communications. A in a legal services organization or the legal depart- ``signed'' writing includes an electronic sound, ment of a corporation or other organization. symbol or process attached to or logically associ- (e) ``Fraud'' or ``fraudulent'' denotes conduct ated with a writing and executed or adopted by a that is fraudulent under the substantive or proce- person with the intent to sign the writing. dural law of the applicable jurisdiction and has a (Amended June 26, 2006, to take effect Jan. 1, 2007; purpose to deceive. amended June 14, 2013, to take effect Jan. 1, 2014.) (f) ``Informed consent'' denotes the agreement 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 obtained a client's informed consent, the lawyer may act in and reasonably available alternatives to the pro- reliance on that consent so long as it is confirmed in writing posed course of conduct. within a reasonable time thereafter. (g) ``Knowingly,'' ``known,'' or ``knows'' denotes Whether two or more lawyers constitute a firm within Firm. 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 as constituting a firm. However, if they present themselves to (h) ``Partner'' denotes a member of a partner- the public in a way that suggests that they are a firm or conduct ship, a shareholder in a law firm organized as themselves as a firm, they should be regarded as a firm for a professional corporation, or a member of an 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- thermore, it is relevant in doubtful cases to consider the under- conduct of a reasonably prudent and competent lying purpose of the Rule that is involved. A group of lawyers lawyer. could be regarded as a firm for purposes of the Rule that the (j) ``Reasonable belief'' or ``reasonably be- 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, including the government, there is ordinarily no question that the belief is reasonable. the members of the department constitute a firm within the (k) ``Reasonably should know,'' when used in 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- tion, as well as the corporation by which the members of the l ) ``Screened'' denotes the isolation of a lawyer ( department are directly employed. A similar question can arise from any participation in a matter through the concerning an unincorporated association and its local timely imposition of procedures within a firm that 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 different components of it may constitute a firm or firms for or other law. purposes of these Rules. (m) ``Substantial,'' when used in reference to 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 merely negligent misrepresentation or negligent failure to a binding arbitration proceeding or a legislative 5 Copyrighted by the Secretary of the State of the State of Connecticut 

13 RULES OF PROFESSIONAL CONDUCT Rule 1.0 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 notice and instructions to all other firm personnel forbidding Informed Consent. Many of the Rules of Professional Con- duct require the lawyer to obtain the informed consent of a any communication with the screened lawyer relating to the matter, denial of access by the screened lawyer to firm files client or other person (e.g., a former client or, under certain or other information, including information in electronic form, circumstances, a prospective client) before accepting or con- relating to the matter and periodic reminders of the screen to tinuing representation or pursuing a course of conduct. See, the screened lawyer and all other firm personnel. e.g., Rules 1.2 (c), 1.6 (a) and 1.7 (b). The communication necessary to obtain such consent will vary according to the 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 CLIENT-LAWYER RELATIONSHIPS information reasonably adequate to make an informed deci- sion. Ordinarily, this will require communication that includes Rule 1.1. Competence a disclosure of the facts and circumstances giving rise to the 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 legal knowledge, skill, thoroughness and prep- the client's or other person's options and alternatives. In some aration reasonably necessary for the represen- circumstances it may be appropriate for a lawyer to advise a tation. client or other person to seek the advice of other counsel. A (P.B. 1978-1997, Rule 1.1.) lawyer need not inform a client or other person of facts or . In determin- Legal Knowledge and Skill COMMENTARY: implications already known to the client or other person; never- ing whether a lawyer employs the requisite knowledge and theless, a lawyer who does not personally inform the client or skill in a particular matter, relevant factors include the relative other person assumes the risk that the client or other person complexity and specialized nature of the matter, the lawyer's is inadequately informed and the consent is invalid. In general experience, the lawyer's training and experience in determining whether the information and explanation provided the field in question, the preparation and study the lawyer is are reasonably adequate, relevant factors include whether the able to give the matter and whether it is feasible to refer the client or other person is experienced in legal matters generally matter to, or associate or consult with, a lawyer of established and in making decisions of the type involved, and whether the competence in the field in question. In many instances, the client or other person is independently represented by other required proficiency is that of a general practitioner. Expertise counsel in giving the consent. Normally, such persons need in a particular field of law may be required in some circum- less information and explanation than others, and generally stances. a client or other person who is independently represented by A lawyer need not necessarily have special training or prior other counsel in giving the consent should be assumed to experience to handle legal problems of a type with which have given informed consent. the lawyer is unfamiliar. A newly admitted lawyer can be as Obtaining informed consent will usually require an affirma- competent as a practitioner with long experience. Some tive response by the client or other person. In general, a lawyer important legal skills, such as the analysis of precedent, the may not assume consent from a client's or other person's evaluation of evidence and legal drafting, are required in all silence. Consent may be inferred, however, from the conduct legal problems. Perhaps the most fundamental legal skill con- of a client or other person who has reasonably adequate infor- sists of determining what kind of legal problems a situation mation about the matter. A number of Rules require that a may involve, a skill that necessarily transcends any particular person's consent be confirmed in writing. See Rules 1.7 (b) specialized knowledge. A lawyer can provide adequate repre- and 1.9 (a). For a definition of ``writing'' and ``confirmed in sentation in a wholly novel field through necessary study. writing,'' see subsections (o) and (c). Other Rules require that Competent representation can also be provided through the a client's consent be obtained in a writing signed by the client. association of a lawyer of established competence in the field See, e.g., Rules 1.8 (a) and (g). For a definition of ``signed,'' in question. see subsection (o). In an emergency, a lawyer may give advice or assistance Screened. The definition of ``screened'' applies to situations in a matter in which the lawyer does not have the skill ordinarily where screening of a personally disqualified lawyer is permit- required where referral to or consultation or association with ted to remove imputation of a conflict of interest under Rules another lawyer would be impractical. Even in an emergency, 1.10, 1.11, 1.12 or 1.18. however, assistance should be limited to that reasonably nec- The purpose of screening is to assure the affected parties essary in the circumstances, for ill-considered action under that confidential information known by the personally disquali- emergency conditions can jeopardize the client's interest. A fied lawyer remains protected. The personally disqualified law- lawyer may accept representation where the requisite level of yer shall acknowledge in writing to the client the obligation competence can be achieved by reasonable preparation. This not to communicate with any of the other lawyers in the firm applies as well to a lawyer who is appointed as counsel for with respect to the matter. Similarly, other lawyers in the firm an unrepresented person. See also Rule 6.2. who are working on the matter should be informed that the 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 Copyrighted by the Secretary of the State of the State of Connecticut 

14 RULES OF PROFESSIONAL CONDUCT Rule 1.2 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 matter without contribution by the client. limit the matters for which the lawyer is responsible. See Rule (b) A lawyer's representation of a client, includ- 1.2 (c). ing representation by appointment, does not con- Before Retaining or Contracting with Other Lawyers. 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 tation if the limitation is reasonable under the cir- that the other lawyers' services will contribute to the competent cumstances and the client gives informed and ethical representation of the client. See also Rules 1.2 consent. Such informed consent shall not be (allocation of authority), 1.4 (communication with client), 1.5 (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 gated by contract to provide the client with a and limited task and the task does not require the disclosure defense. of information protected by Rule 1.6. The reasonableness of (d) A lawyer shall not counsel a client to engage, the decision to retain or contract with other lawyers outside 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, course of conduct with a client; (2) counsel or and ethical environments of the jurisdictions in which the ser- assist a client to make a good faith effort to deter- vices will be performed, particularly relating to confidential mine the validity, scope, meaning or application of information. the law; or (3) counsel or assist a client regarding When lawyers from more than one law firm are providing 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- law, of the client's proposed course of conduct. tions of responsibility in a matter pending before a tribunal, (P.B. 1978-1997, Rule 1.2.) (Amended June 26, 2006, to lawyers and parties may have additional obligations that are 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 To maintain the requisite Maintaining Competence. Jan. 1, 2015.) knowledge and skill, a lawyer should keep abreast of changes Allocation of Authority between Client COMMENTARY: 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 be pursued, the lawyer shall consult with the client as required (Amended June 26, 2006, to take effect Jan. 1, 2007.) by Rule 1.4 (a) (2) and may take such action as is impliedly (a) Subject to subsections (c) and (d), a lawyer 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 skill of their lawyer with respect to the means to be used to means by which they are to be pursued. A lawyer accomplish their objectives, particularly with respect to techni- may take such action on behalf of the client as is cal, legal and tactical matters. Conversely, lawyers usually impliedly authorized to carry out the representa- 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 the actions in question may implicate the interests of a tribunal consultation with the lawyer, as to a plea to be or other persons, this Rule does not prescribe how such dis- entered, whether to waive jury trial and whether agreements are to be resolved. Other law, however, may be the client will testify. Subject to revocation by the 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 client, the lawyer may withdraw from the representation. See third party obligated under the terms of a contract 7 Copyrighted by the Secretary of the State of the State of Connecticut 

15 RULES OF PROFESSIONAL CONDUCT Rule 1.2 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 then discovers is criminal or fraudulent. The lawyer must, At the outset of a representation, the client may authorize therefore, withdraw from the representation of the client in the the lawyer to take specific action on the client's behalf without further consultation. Absent a material change in circum- matter. See Rule 1.16 (a). In some cases, withdrawal alone might be insufficient. It may be necessary for the lawyer to give stances and subject to Rule 1.4, a lawyer may rely on such an advance authorization. The client may, however, revoke notice of the fact of withdrawal and to disaffirm any opinion, document, affirmation or the like. See Rule 4.1. such authority at any time. 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 Legal Independence from Client's Views or Activities. 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 The Agreements Limiting Scope of Representation. 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 A lawyer shall act with reasonable diligence and and typically uncomplicated legal problem, the lawyer and promptness in representing a client. client may agree that the lawyer's services will be limited to (P.B. 1978-1997, Rule 1.3.) a brief telephone consultation. Such a limitation, however, COMMENTARY: A lawyer must pursue a matter on behalf would not be reasonable if the time allotted was not sufficient of a client despite opposition, obstruction or personal inconve- to yield advice upon which the client could rely. Although an nience to the lawyer, and take whatever lawful and ethical agreement for a limited representation does not exempt a measures are required to vindicate a client's cause or lawyer from the duty to provide competent representation, the endeavor. A lawyer must also act with commitment and dedica- limitation is a factor to be considered when determining the tion to the interests of the client and with zeal in advocacy legal knowledge, skill, thoroughness and preparation reason- upon the client's behalf. A lawyer is not bound, however, to ably necessary for the representation. See Rule 1.1. press for every advantage that might be realized for a client. All agreements concerning a lawyer's representation of a For example, a lawyer may have authority to exercise profes- client must accord with the Rules of Professional Conduct and sional discretion in determining the means by which a matter other law. See, e.g., Rules 1.1, 1.8 and 5.6. should be pursued. See Rule 1.2. The lawyer's duty to act Sub- Criminal, Fraudulent and Prohibited Transactions. with reasonable diligence does not require the use of offensive section (d) prohibits a lawyer from knowingly counseling or tactics or preclude the treating of all persons involved in the assisting a client to commit a crime or fraud. This prohibition, legal process with courtesy and respect. however, does not preclude the lawyer from giving an honest A lawyer's work load must be controlled so that each matter opinion about the actual consequences that appear likely to can be handled competently. result from a client's conduct. Nor does the fact that a client Perhaps no professional shortcoming is more widely uses advice in a course of action that is criminal or fraudulent resented than procrastination. A client's interests often can of itself make a lawyer a party to the course of action. There be adversely affected by the passage of time or the change of is a critical distinction between presenting an analysis of legal conditions; in extreme instances, as when a lawyer overlooks aspects of questionable conduct and recommending the a statute of limitations, the client's legal position may be means by which a crime or fraud might be committed. destroyed. Even when the client's interests are not affected When the client's course of action has already begun and in substance, however, unreasonable delay can cause a client is continuing, the lawyer's responsibility is especially delicate. needless anxiety and undermine confidence in the lawyer's The lawyer is required to avoid assisting the client, for example, trustworthiness. A lawyer's duty to act with reasonable prompt- by drafting or delivering documents that the lawyer knows are ness, however, does not preclude the lawyer from agreeing fraudulent or by suggesting how the wrongdoing might be 8 Copyrighted by the Secretary of the State of the State of Connecticut 

16 RULES OF PROFESSIONAL CONDUCT Rule 1.4 to a reasonable request for a postponement that will not preju- If these Rules or other law Communicating with Client. require that a particular decision about the representation be dice the lawyer's client. made by the client, subsection (a) (1) requires that the lawyer Unless the relationship is terminated as provided in Rule promptly consult with and secure the client's consent prior to 1.16, a lawyer should carry through to conclusion all matters taking action. See Rule 1.2 (a). undertaken for a client. If a lawyer's employment is limited to Subsection (a) (2) requires the lawyer to reasonably consult a specific matter, the relationship terminates when the matter with the client about the means to be used to accomplish the has been resolved. If a lawyer has served a client over a client's objectives. In some situations–depending on both the substantial period in a variety of matters, the client sometimes importance of the action under consideration and the feasibility may assume that the lawyer will continue to serve on a continu- of consulting with the client–this duty will require consultation ing basis unless the lawyer gives notice of withdrawal. Doubt prior to taking action. In other circumstances, such as during about whether a client-lawyer relationship still exists should a trial when an immediate decision must be made, the exigency be clarified by the lawyer, preferably in writing, so that the of the situation may require the lawyer to act without prior client will not mistakenly suppose the lawyer is looking after consultation. In such cases the lawyer must nonetheless act the client's affairs when the lawyer has ceased to do so. For reasonably to inform the client of actions the lawyer has taken example, if a lawyer has handled a judicial or administrative on the client's behalf. Additionally, subsection (a) (3) requires proceeding that produced a result adverse to the client and that the lawyer keep the client reasonably informed about the the lawyer and the client have not agreed that the lawyer will status of the matter, such as significant developments affecting handle the matter on appeal, the lawyer must consult with the timing or the substance of the representation. the client about the possibility of appeal before relinquishing A lawyer's regular communication with clients will minimize responsibility for the matter. See Rule 1.4 (a) (2). Whether the occasions on which a client will need to request information the lawyer is obligated to prosecute the appeal for the client concerning the representation. When a client makes a reason- depends on the scope of the representation the lawyer has able request for information, however, subsection (a) (4) agreed to provide to the client. See Rule 1.2. requires prompt compliance with the request, or if a prompt To prevent neglect of client matters in the event of a sole response is not feasible, that the lawyer, or a member of the practitioner's death or disability, the duty of diligence may lawyer's staff, acknowledge receipt of the request and advise require that each sole practitioner prepare a plan, in conformity the client when a response may be expected. A lawyer should with applicable rules, that designates another competent law- promptly respond to or acknowledge client communications. yer to review client files, notify each client of the lawyer's Explaining Matters. The client should have sufficient infor- death or disability, and determine whether there is a need for mation to participate intelligently in decisions concerning the immediate protective action. Cf. Rule 28 of the American Bar 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 to result in significant expense or to injure or coerce others. (1) promptly inform the client of any decision or On the other hand, a lawyer ordinarily will not be expected to circumstance with respect to which the client's describe trial or negotiation strategy in detail. The guiding 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 as to the character of representation. In certain circumstances, means by which the client's objectives are to be such as when a lawyer asks a client to consent to a representa- accomplished; tion affected by a conflict of interest, the client must give (3) keep the client reasonably informed about informed consent, as defined in Rule 1.0 (f). the status of the matter; Ordinarily, the information to be provided is that appropriate (4) promptly comply with reasonable requests for a client who is a comprehending and responsible adult. However, fully informing the client according to this standard for information; and may be impracticable, for example, when the client is a child (5) consult with the client about any relevant 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- tions to the appropriate officials of the organization. See Rule other law. 1.13. Where many routine matters are involved, a system of (b) A lawyer shall explain a matter to the extent limited or occasional reporting may be arranged with the client. reasonably necessary to permit the client to make In some circumstances, a law- Withholding Information. 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 may not withhold information to serve the lawyer's own interest participate in the representation. 9 Copyrighted by the Secretary of the State of the State of Connecticut 

17 RULES OF PROFESSIONAL CONDUCT Rule 1.4 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 where the lawyer will be paid by the court or a the client. Rule 3.4 (3) directs compliance with such rules state agency. or orders. (c) A fee may be contingent on the outcome of Rule 1.5. Fees the matter for which the service is rendered, except in a matter in which a contingent fee is (a) A lawyer shall not make an agreement for, prohibited by subsection (d) or other law. A contin- charge, or collect an unreasonable fee or an gent fee agreement shall be in a writing signed unreasonable amount for expenses. The factors by the client and shall state the method by which to be considered in determining the reasonable- the fee is to be determined, including the percent- ness of a fee include the following: age or percentages of the recovery that shall (1) The time and labor required, the novelty and accrue to the lawyer as a fee in the event of settle- difficulty of the questions involved, and the skill ment, trial or appeal, whether and to what extent requisite to perform the legal service properly; the client will be responsible for any court costs (2) The likelihood, if made known to the client, and expenses of litigation, and whether such that the acceptance of the particular employment expenses are to be deducted before or after the will preclude other employment by the lawyer; contingent fee is calculated. The agreement must (3) The fee customarily charged in the locality clearly notify the client of any expenses for which for similar legal services; the client will be liable whether or not the client (4) The amount involved and the results ob- is the prevailing party. Upon conclusion of a con- tained; tingent fee matter, the lawyer shall provide the (5) The time limitations imposed by the client client with a written statement stating the outcome or by the circumstances; of the matter and, if there is a recovery, showing (6) The nature and length of the professional the remittance to the client and the method of relationship with the client; its determination. (7) The experience, reputation, and ability of (d) A lawyer shall not enter into an arrangement the lawyer or lawyers performing the services; and for, charge, or collect: (8) Whether the fee is fixed or contingent. (1) Any fee in a domestic relations matter, the (b) The scope of the representation, the basis payment or amount of which is contingent upon or rate of the fee and expenses for which the client the securing of a dissolution of marriage or civil will be responsible, shall be communicated to the union or upon the amount of alimony or support, client, in writing, before or within a reasonable or property settlement in lieu thereof; or time after commencing the representation, except (2) A contingent fee for representing a defend- when the lawyer will charge a regularly repre- ant in a criminal case. sented client on the same basis or rate. Any (e) A division of fee between lawyers who are changes in the basis or rate of the fee or expenses not in the same firm may be made only if: shall also be communicated to the client in writing (1) The client is advised in writing of the com- before the fees or expenses to be billed at higher pensation sharing agreement and of the participa- rates are actually incurred. In any representation tion of all the lawyers involved, and does not in which the lawyer and the client agree that the object; and lawyer will file a limited appearance, the limited (2) The total fee is reasonable. appearance engagement agreement shall also (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 Subsection (a) Basis or Rate of Fee. COMMENTARY: requires that lawyers charge fees that are reasonable under the lawyer will appear on behalf of the client; and the circumstances. The factors specified in (1) through (8) are notification to the client that after the limited 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 telephone charges, either by charging a reasonable amount the matter, and as to which the client will have no to which the client has agreed in advance or by charging an right to object. Any change in the scope of the 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  Copyrighted by the Secretary of the State of the State of Connecticut

18 RULES OF PROFESSIONAL CONDUCT Rule 1.6 a trial specialist. Contingent fee agreements must be in writing expenses for which the client will be responsible. In a new 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 (a) A lawyer shall not reveal information relating for the fee. Applicable law also may apply to situations other to representation of a client unless the client gives than a contingent fee, for example, government regulations regarding fees in certain tax matters. In matters where a contin- informed consent, the disclosure is impliedly gent fee agreement has been signed by the client and is authorized in order to carry out the representation, in accordance with General Statutes ß 52-251c, the fee is or the disclosure is permitted by subsection (b), presumed to be reasonable. (c), or (d). A lawyer may require advance pay- Terms of Payment. (b) A lawyer shall reveal such information to the ment of a fee, but is obliged to return any unearned portion. 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 or fraudulent act that the lawyer believes is likely interest in the cause of action or subject matter of the litigation to result in death or substantial bodily harm. contrary to Rule 1.8 (i). However, a fee paid in property instead (c) A lawyer may reveal such information to the of money may be subject to the requirements of Rule 1.8 (a) 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 (1) Prevent the client from committing a criminal the lawyer improperly to curtail services for the client or perform or fraudulent act that the lawyer believes is likely them in a way contrary to the client's interest. For example, to result in substantial injury to the financial inter- a lawyer should not enter into an agreement whereby services 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 of a client's criminal or fraudulent act in the com- client. Otherwise, the client might have to bargain for further mission of which the lawyer's services had assistance in the midst of a proceeding or transaction. How- been used; ever, it is proper to define the extent of services in light of the client's ability to pay. A lawyer should not exploit a fee (3) Secure legal advice about the lawyer's com- arrangement based primarily on hourly charges by using pliance with these Rules; wasteful procedures. (4) Comply with other law or a court order. Prohibited Contingent Fees. Subsection (d) prohibits a (5) Detect and resolve conflicts of interest aris- lawyer from charging a contingent fee in a domestic relations 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- not compromise the attorney-client privilege or nection with the recovery of postjudgment balances due under otherwise prejudice the client. support, alimony or other financial orders because such con- tracts do not implicate the same policy concerns. (d) A lawyer may reveal such information to A division of fee is a single billing to a Division of Fee. 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 client, to establish a defense to a criminal charge than one lawyer in a matter in which neither alone could serve or civil claim against the lawyer based upon con- the client as well and most often is used when the fee is contingent and the division is between a referring lawyer and duct in which the client was involved, or to respond 11  Copyrighted by the Secretary of the State of the State of Connecticut

19 RULES OF PROFESSIONAL CONDUCT Rule 1.6 of the firm, unless the client has instructed that particular to allegations in any proceeding concerning the information be confined to specific lawyers. lawyer's representation of the client. 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 value of life and physical integrity and requires disclosure in (P.B. 1978-1997, Rule 1.6.) (Amended June 26, 2006, to take effect Jan. 1, 2007; amended June 14, 2013, to take certain circumstances. Subsection (c) (1) is a limited exception to the Rule of effect Jan. 1, 2014.) 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 fraud, as defined in Rule 1.0 (e), that is likely to result in for the lawyer's duties with respect to information provided to substantial injury to the financial or property interests of the lawyer by a prospective client, Rule 1.9 (c) (2) for the lawyer's duty not to reveal information relating to the lawyer's 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 can, of course, prevent such disclosure by refraining from the 1.9 (c) (1) for the lawyer's duties with respect to the use of such wrongful conduct. Although subsection (c) (1) does not require information to the disadvantage of clients and former clients. the lawyer to reveal the client's misconduct, the lawyer may A fundamental principle in the client-lawyer relationship is not counsel or assist the client in conduct the lawyer knows that, in the absence of the client's informed consent, the lawyer 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 an organization, to reveal information relating to the represen- assistance and to communicate fully and frankly with the law- tation in limited circumstances. yer even as to embarrassing or legally damaging subject mat- Subsection (c) (2) addresses the situation in which the ter. The lawyer needs this information to represent the client lawyer does not learn of the client's crime or fraud until after effectively and, if necessary, to advise the client to refrain from it has been consummated. Although the client no longer has wrongful conduct. Almost without exception, clients come to lawyers in order to determine their rights and what is, in the the option of preventing disclosure by refraining from the wrongful conduct, there will be situations in which the loss complex of laws and regulations, deemed to be legal and suffered by the affected person can be prevented, rectified or correct. Based upon experience, lawyers know that almost all mitigated. In such situations, the lawyer may disclose informa- clients follow the advice given, and the law is upheld. tion relating to the representation to the extent necessary to The principle of client-lawyer confidentiality is given effect enable the affected persons to prevent or mitigate reasonably by related bodies of law, the attorney-client privilege, the work certain losses or to attempt to recoup their losses. Subsection product doctrine and the Rule of confidentiality established 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. A lawyer's confidentiality obligations do not preclude a law- required to produce evidence concerning a client. The Rule of client-lawyer confidentiality applies in situations other than yer from securing confidential legal advice about the lawyer's personal responsibility to comply with these Rules. In most those where evidence is sought from the lawyer through com- situations, disclosing information to secure such advice will pulsion of law. The confidentiality Rule, for example, applies not only to matters communicated in confidence by the client be impliedly authorized for the lawyer to carry out the represen- tation. Even when the disclosure is not impliedly authorized, but also to all information relating to the representation, what- subsection (c) (3) permits such disclosure because of the ever its source. A lawyer may not disclose such information importance of a lawyer's compliance with the Rules of Profes- except as authorized or required by the Rules of Professional sional Conduct. The lawyer's right to disclose such information Conduct or other law. See also Scope. 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 information under subsections (b), (c) and (d). The first law- applies to disclosures by a lawyer that do not in themselves reveal protected information but could reasonably lead to the yer's client does not become the client of the second lawyer just because the first lawyer seeks the second lawyer's advice discovery of such information by a third person. A lawyer's under (c) (3). use of a hypothetical to discuss issues relating to the represen- 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 Except to the extent that the cli- considering an association with another firm, two or more Authorized Disclosure. ent's instructions or special circumstances limit that authority, firms are considering a merger, or a lawyer is considering the purchase of a law practice. See Rule 1.17, commentary. Under a lawyer is impliedly authorized to make disclosures about a client when appropriate in carrying out the representation. these circumstances, lawyers and law firms are permitted to disclose limited information, but only once substantive discus- In some situations, for example, a lawyer may be impliedly sions regarding the new relationship have occurred. Any such authorized to admit a fact that cannot properly be disputed to disclosure should ordinarily include no more than the identity make a disclosure that facilitates a satisfactory conclusion to 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- mary of the general issues involved, and information about practice, disclose to each other information relating to a client 12 Copyrighted by the Secretary of the State of the State of Connecticut 

20 RULES OF PROFESSIONAL CONDUCT Rule 1.6 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 required by Rule 1.4. Unless review is sought, however, sub- might arise from the possible new relationship. Moreover, the section (c) (4) permits the lawyer to comply with the court's disclosure of any information is prohibited if it would compro- order. mise the attorney-client privilege or otherwise prejudice the Subsection (b) requires and subsection (c) permits disclo- client (e.g., the fact that a corporate client is seeking advice 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 persuade the client to take suitable action to obviate the need spouse, or that a person has consulted a lawyer about a for disclosure. In any case, a disclosure adverse to the client's criminal investigation that has not led to a public charge). 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 need to know it and appropriate protective orders or other disclosed pursuant to subsection (c) (5) may be used or further disclosed only to the extent necessary to detect and resolve arrangements should be sought by the lawyer to the fullest extent practicable. conflicts of interest. Subsection (c) (5) does not restrict the 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 lawyer may consider such factors as the nature of the lawyer's a lawyer in a firm discloses information to another lawyer in the same firm to detect and resolve conflicts of interest that relationship with the client and with those who might be injured by the client, the lawyer's own involvement in the transaction could arise in connection with undertaking a new represen- tation. and factors that may extenuate the conduct in question. A lawyer's decision not to disclose as permitted by subsection Where a legal claim or disciplinary charge alleges complicity (c) does not violate this Rule. Disclosure may be required, of the lawyer in a client's conduct or other misconduct of the 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 of whether such disclosure is permitted by this Rule. See Rule client. Such a charge can arise in a civil, criminal, disciplinary 3.3 (c). or other proceeding and can be based on a wrong allegedly Sub- Acting Competently To Preserve Confidentiality. committed by the lawyer against the client or on a wrong section (e) requires a lawyer to act competently to safeguard alleged by a third person, for example, a person claiming to information relating to the representation of a client against have been defrauded by the lawyer and client acting together. 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, 5.1 and 5.3. The unauthorized access to, or the inadvertent ceeding that charges such complicity, so that the defense may be established by responding directly to a third party who has or unauthorized disclosure of, information relating to the repre- sentation of a client does not constitute a violation of subsec- made such an assertion. The right to defend also applies, of course, where a proceeding has been commenced. tion (e) if the lawyer has made reasonable efforts to prevent the access or disclosure. Factors to be considered in determin- A lawyer entitled to a fee is permitted by subsection (d) to ing the reasonableness of the lawyer's efforts include, but are prove the services rendered in an action to collect it. This not limited to, the sensitivity of the information, the likelihood aspect of the rule expresses the principle that the beneficiary of disclosure if additional safeguards are not employed, the of a fiduciary relationship may not exploit it to the detriment of the fiduciary. cost of employing additional safeguards, the difficulty of imple- menting the safeguards, and the extent to which the safe- Other law may require that a lawyer disclose information about a client. Whether such a law supersedes Rule 1.6 is guards adversely affect the lawyer's ability to represent clients (e.g., by making a device or important piece of software exces- a question of law beyond the scope of these Rules. When sively difficult to use). A client may require the lawyer to imple- disclosure of information relating to the representation appears ment special security measures not required by this Rule or to be required by other law, the lawyer must discuss the matter with the client to the extent required by Rule 1.4. If, however, may give informed consent to forgo security measures that would otherwise be required by this Rule. Whether a lawyer the other law supersedes this Rule and requires disclosure, may be required to take additional steps to safeguard a client's subsection (c) (4) permits the lawyer to make such disclosures as are necessary to comply with the law. information in order to comply with other law, such as state and federal laws that govern data privacy or that impose notification A lawyer may be ordered to reveal information relating to the representation of a client by a court or by another tribunal requirements upon the loss of, or unauthorized access to, electronic information, is beyond the scope of these Rules. For or governmental entity claiming authority pursuant to other a lawyer's duties when sharing information with nonlawyers law to compel the disclosure. Absent informed consent of the outside the lawyer's own firm, see Rule 5.3, commentary. client to do otherwise, the lawyer should assert on behalf of the client all nonfrivolous claims that the order is not authorized When transmitting a communication that includes informa- tion relating to the representation of a client, the lawyer must by other law or that the information sought is protected against 13 Copyrighted by the Secretary of the State of the State of Connecticut 

21 RULES OF PROFESSIONAL CONDUCT Rule 1.6 take reasonable precautions to prevent the information from Resolution of a conflict of interest problem under this Rule requires the lawyer to: 1) clearly identify the client or clients; coming into the hands of unintended recipients. This duty, 2) determine whether a conflict of interest exists; 3) decide however, does not require that the lawyer use special security whether the representation may be undertaken despite the measures if the method of communication affords a reason- existence of a conflict, i.e., whether the conflict is consentable; able expectation of privacy. Special circumstances, however, and 4) if so, consult with the clients affected under subsection may warrant special precautions. Factors to be considered in (a) and obtain their informed consent, confirmed in writing. determining the reasonableness of the lawyer's expectation The clients affected under subsection (a) include both of the of confidentiality include the sensitivity of the information and clients referred to in subsection (a) (1) and the one or more the extent to which the privacy of the communication is pro- clients whose representation might be materially limited under tected by law or by a confidentiality agreement. A client may subsection (a) (2). require the lawyer to implement special security measures not A conflict of interest may exist before representation is required by this Rule or may give informed consent to the undertaken, in which event the representation must be use of a means of communication that would otherwise be declined, unless the lawyer obtains the informed consent of prohibited by this Rule. Whether a lawyer may be required to each client under the conditions of subsection (b). To deter- take additional steps in order to comply with other law, such mine whether a conflict of interest exists, a lawyer should as state and federal laws that govern data privacy, is beyond adopt reasonable procedures, appropriate for the size and the scope of these Rules. type of firm and practice, to determine in both litigation and Former Client. The duty of confidentiality continues after nonlitigation matters the persons and issues involved. See the client-lawyer relationship has terminated. See Rule 1.9 (c) also Commentary to Rule 5.1. Ignorance caused by a failure (2). See Rule 1.9 (c) (1) for the prohibition against using such to institute such procedures will not excuse a lawyer's violation information to the disadvantage of the former client. of this Rule. As to whether a client-lawyer relationship exists or, having once been established, is continuing, see Commen- Rule 1.7. Conflict of Interest: Current Clients tary to Rule 1.3 and Scope. (Amended June 26, 2006, to take effect Jan. 1, 2007.) If a conflict arises after representation has been undertaken, (a) Except as provided in subsection (b), a law- the lawyer ordinarily must withdraw from the representation, unless the lawyer has obtained the informed consent of the yer shall not represent a client if the representation client under the conditions of subsection (b). See Rule 1.16. involves a concurrent conflict of interest. A concur- Where more than one client is involved, whether the lawyer rent conflict of interest exists if: may continue to represent any of the clients is determined (1) the representation of one client will be both by the lawyer's ability to comply with duties owed to the directly adverse to another client; or former client and by the lawyer's ability to represent adequately the remaining client or clients, given the lawyer's duties to the (2) there is a significant risk that the representa- former client. See Rule 1.9; see also the next paragraph in tion of one or more clients will be materially limited this Commentary and the first paragraph under the ``Special by the lawyer's responsibilities to another client, Considerations in Common Representation'' heading, below. a former client or a third person or by a personal Unforeseeable developments, such as changes in corpo- interest of the lawyer. rate and other organizational affiliations or the addition or (b) Notwithstanding the existence of a concur- realignment of parties in litigation, might create conflicts in the midst of a representation, as when a company sued by the rent conflict of interest under subsection (a), a lawyer on behalf of one client is bought by another client lawyer may represent a client if: represented by the lawyer in an unrelated matter. Depending (1) the lawyer reasonably believes that the law- on the circumstances, the lawyer may have the option to with- yer will be able to provide competent and diligent draw from one of the representations in order to avoid the representation to each affected client; conflict. The lawyer must seek court approval where necessary and take steps to minimize harm to the clients. See Rule 1.16. (2) the representation is not prohibited by law; The lawyer must continue to protect the confidences of the (3) the representation does not involve the client from whose representation the lawyer has withdrawn. assertion of a claim by one client against another See Rule 1.9 (c). client represented by the lawyer in the same litiga- Identifying Conflicts of Interest: Directly Adverse. Loy- alty to a current client prohibits undertaking representation tion or the same proceeding before any tribu- directly adverse to that client without that client's informed nal; and consent. Thus, absent consent, a lawyer may not act as advo- (4) each affected client gives informed consent, cate in one matter against a person the lawyer represents in confirmed in writing. some other matter, even when the matters are wholly unre- (P.B. 1978-1997, Rule 1.7.) (Amended June 26, 2006, to lated. The client as to whom the representation is directly take effect Jan. 1, 2007.) adverse is likely to feel betrayed, and the resulting damage COMMENTARY: General Principles. Loyalty and inde- to the client-lawyer relationship is likely to impair the lawyer's pendent judgment are essential elements in the lawyer's rela- ability to represent the client effectively. In addition, the client tionship to a client. Concurrent conflicts of interest can arise on whose behalf the adverse representation is undertaken from the lawyer's responsibilities to another client, a former reasonably may fear that the lawyer will pursue that client's client or a third person or from the lawyer's own interests. For case less effectively out of deference to the other client, i.e., specific Rules regarding certain concurrent conflicts of interest, that the representation may be materially limited by the law- see Rule 1.8. For former client conflicts of interest, see Rule yer's interest in retaining the current client. Similarly, a directly 1.9. For conflicts of interest involving prospective clients, see adverse conflict may arise when a lawyer is required to cross- Rule 1.18. For definitions of ``informed consent'' and ``con- examine a client who appears as a witness in a lawsuit involv- ing another client, as when the testimony will be damaging to firmed in writing,'' see Rule 1.0 (f) and (c). 14 Copyrighted by the Secretary of the State of the State of Connecticut 

22 RULES OF PROFESSIONAL CONDUCT Rule 1.7 the client who is represented in the lawsuit. On the other hand, disqualification arising from a close family relationship is per- sonal and ordinarily is not imputed to members of firms with simultaneous representation in unrelated matters of clients whom the lawyers are associated. See Rule 1.10. whose interests are only economically adverse, such as repre- 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). A Interest of Person Paying for a Lawyer's Service. Directly adverse conflicts can also arise in transactional lawyer may be paid from a source other than the client, includ- matters. For example, if a lawyer is asked to represent the ing a co-client, if the client is informed of that fact and consents seller of a business in negotiations with a buyer represented and the arrangement does not compromise the lawyer's duty by the lawyer, not in the same transaction but in another, of loyalty or independent judgment to the client. See Rule unrelated matter, the lawyer could not undertake the represen- 1.8 (f). If acceptance of the payment from any other source tation without the informed consent of each client. presents a significant risk that the lawyer's representation of Identifying Conflicts of Interest: Material Limitation. the client will be materially limited by the lawyer's own interest Even where there is no direct adverseness, a conflict of interest in accommodating the person paying the lawyer's fee or by exists if there is a significant risk that a lawyer's ability to the lawyer's responsibilities to a payer who is also a co-client, consider, recommend or carry out an appropriate course of then the lawyer must comply with the requirements of subsec- action for the client will be materially limited as a result of the tion (b) before accepting the representation, including lawyer's other responsibilities or interests. For example, a determining whether the conflict is consentable and, if so, that lawyer asked to represent several individuals seeking to form the client has adequate information about the material risks a joint venture is likely to be materially limited in the lawyer's of the representation. ability to recommend or advocate all possible positions that Prohibited Representations. Ordinarily, clients may con- each might take because of the lawyer's duty of loyalty to the sent to representation notwithstanding a conflict. However, as others. The conflict in effect forecloses alternatives that would indicated in subsection (b), some conflicts are noncon- otherwise be available to the client. The mere possibility of sentable, meaning that the lawyer involved cannot properly subsequent harm does not itself require disclosure and con- ask for such agreement or provide representation on the basis sent. The critical questions are the likelihood that a difference of the client's consent. When the lawyer is representing more in interests will eventuate and, if it does, whether it will materi- than one client, the question of consentability must be resolved ally interfere with the lawyer's independent professional judg- as to each client. ment in considering alternatives or foreclose courses of action that reasonably should be pursued on behalf of the client. Consentability is typically determined by considering whether the interests of the clients will be adequately protected Lawyer's Responsibilities to Former Clients and Other if the clients are permitted to give their informed consent to In addition to conflicts with other current cli- Third Persons. representation burdened by a conflict of interest. Thus, under ents, a lawyer's duties of loyalty and independence may be subsection (b) (1), representation is prohibited if in the circum- materially limited by responsibilities to former clients under stances the lawyer cannot reasonably conclude that the lawyer Rule 1.9 or by the lawyer's responsibilities to other persons, will be able to provide competent and diligent representation. ' such as fiduciary duties arising from a lawyer s service as a See Rule 1.1 (competence) and Rule 1.3 (diligence). trustee, executor or corporate director. Subsection (b) (2) describes conflicts that are noncon- Personal Interest Conflicts. The lawyer's own interests sentable because the representation is prohibited by applica- must not be permitted to have an adverse effect on representa- ble law. tion of a client. For example, if the probity of a lawyer's own 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 requires that each Informed Consent. 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 Copyrighted by the Secretary of the State of the State of Connecticut 

23 RULES OF PROFESSIONAL CONDUCT Rule 1.7 Under some circumstances it may be impossible to make materialize in the future are such as would make the conflict nonconsentable under subsection (b). the disclosure necessary to obtain consent. For example, Conflicts in Litigation. Subsection (b) (3) prohibits repre- when the lawyer represents different clients in related matters sentation of opposing parties in the same litigation, regardless and one of the clients refuses to consent to the disclosure of the clients' consent. On the other hand, simultaneous repre- necessary to permit the other client to make an informed deci- sentation of parties whose interests in litigation may conflict, sion, the lawyer cannot properly ask the latter to consent. In such as coplaintiffs or codefendants, is governed by subsec- some cases the alternative to common representation can be tion (a) (2). A conflict may exist by reason of substantial dis- that each party may have to obtain separate representation crepancy in the parties' testimony, incompatibility in positions with the possibility of incurring additional costs. These costs, in relation to an opposing party or the fact that there are along with the benefits of securing separate representation, substantially different possibilities of settlement of the claims are factors that may be considered by the affected client in or liabilities in question. Such conflicts can arise in criminal determining whether common representation is in the cli- cases as well as civil. The potential for conflict of interest in ent's interests. representing multiple defendants in a criminal case is so grave Subsection (b) requires Consent Confirmed in Writing. that ordinarily a lawyer should decline to represent more than the lawyer to obtain the informed consent of the client, con- one codefendant. On the other hand, common representation firmed in writing. Such a writing may consist of a document of persons having similar interests in civil litigation is proper executed by the client or one that the lawyer promptly records if the requirements of subsection (b) are met. and transmits to the client following an oral consent. See Ordinarily, a lawyer may take inconsistent legal positions Rule 1.0 (c); see also Rule 1.0 (o) (writing includes electronic in different tribunals at different times on behalf of different transmission). If it is not feasible to obtain or transmit the clients. The mere fact that advocating a legal position on behalf writing at the time the client gives informed consent, then the of one client might create precedent adverse to the interests lawyer must obtain or transmit it within a reasonable time of a client represented by the lawyer in an unrelated matter thereafter. See Rule 1.0 (c). The requirement of a writing does does not create a conflict of interest. A conflict of interest not supplant the need in most cases for the lawyer to talk exists, however, if there is a significant risk that a lawyer's with the client, to explain the risks and advantages, if any, of action on behalf of one client will materially limit the lawyer's representation burdened with a conflict of interest, as well as effectiveness in representing another client in a different case; reasonably available alternatives, and to afford the client a for example, when a decision favoring one client will create reasonable opportunity to consider the risks and alternatives a precedent likely to seriously weaken the position taken on and to raise questions and concerns. Rather, the writing is behalf of the other client. Factors relevant in determining required in order to impress upon clients the seriousness of whether the clients need to be advised of the risk include: the decision the client is being asked to make and to avoid where the cases are pending, whether the issue is substantive disputes or ambiguities that might later occur in the absence or procedural, the temporal relationship between the matters, of a writing. the significance of the issue to the immediate and long-term A client who has given consent to a Revoking Consent. 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 Conflicts of interest under subsec- Nonlitigation Conflicts. 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 Copyrighted by the Secretary of the State of the State of Connecticut 

24 RULES OF PROFESSIONAL CONDUCT Rule 1.7 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 confidential with the informed consent of both clients. Whether a conflict is consentable depends on the circum- 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 Resolving ques- Conflict Charged by an Opposing Party. 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 Copyrighted by the Secretary of the State of the State of Connecticut 

25 RULES OF PROFESSIONAL CONDUCT Rule 1.8 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 the client unless the client gives informed consent, (a) A lawyer shall not enter into a business except as permitted or required by these Rules. transaction, including investment services, with a (c) A lawyer shall not solicit any substantial gift client or former client or knowingly acquire an from a client, including a testamentary gift, or pre- ownership, possessory, security or other pecuni- pare on behalf of a client an instrument giving ary interest adverse to a client or former client the lawyer or a person related to the lawyer any unless: substantial gift, unless the lawyer or other recipi- (1) The transaction and terms on which the law- ent of the gift is related to the client. For purposes yer acquires the interest are fair and reasonable of this paragraph, related persons include a to the client or former client and are fully disclosed spouse, child, grandchild, parent, grandparent or and transmitted in writing to the client or former other relative or individual with whom the lawyer or client in a manner that can be reasonably under- the client maintains a close, familial relationship. stood by the client or former client; (d) Prior to the conclusion of representation of (2) The client or former client is advised in writ- a client, a lawyer shall not make or negotiate an ing that the client or former client should consider 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 to revocation by the client, such informed consent concerning the transaction; and shall be implied where the lawyer is retained to (5) With regard to the providing of investment represent a client by a third party obligated under services, the lawyer advises the client or former the terms of a contract to provide the client with client in writing (A) whether such services are a defense; covered by legal liability insurance or other insur- (2) There is no interference with the lawyer's ance, and either (B) that the lawyer will provide independence of professional judgment or with legal services to the client or former client con- the client-lawyer relationship; and cerning the transaction, or (C) that the lawyer will (3) Information relating to representation of a not provide legal services to the client or former client is protected as required by Rule 1.6. client and that the lawyer is involved as a business (g) A lawyer who represents two or more clients person only and not as a lawyer representing the shall not participate in making an aggregate settle- client or former client and that the lawyer is not ment of the claims of or against the clients, or in one to whom the client or former client can turn a criminal case an aggregated agreement as to to for legal services concerning the transaction. guilty or nolo contendere pleas, unless each client Investment services shall only apply where the gives informed consent, in a writing signed by the lawyer has either a direct or indirect control over client. The lawyer's disclosure shall include the the invested funds and a direct or indirect interest existence and nature of all the claims or pleas in the underlying investment. involved and of the participation of each person For purposes of subsection (a) (1) through (a) in the settlement. Subject to revocation by the (5), the phrase ``former client'' shall mean a client client and to the terms of the contract, such for whom the two-year period starting from the conclusion of representation has not expired. informed consent shall be implied and need not 18 Copyrighted by the Secretary of the State of the State of Connecticut 

26 RULES OF PROFESSIONAL CONDUCT Rule 1.8 client, and the restrictions in subsection (a) are unnecessary be in writing where the lawyer is retained to repre- and impracticable. sent a client by a third party obligated under the 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 advised, in writing, of the desirability of seeking the advice of by the client. independent legal counsel. It also requires that the client be (h) A lawyer shall not: 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- sary, the lawyer should discuss both the material risks of making the agreement; or the proposed transaction, including any risk presented by the (2) Settle a claim or potential claim for such 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 lawyer to represent the client in the transaction itself or when legal counsel in connection therewith. the lawyer's financial interest otherwise poses a significant risk (i) A lawyer shall not acquire a proprietary inter- 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 the requirements of Rule 1.7. Under that Rule, the lawyer must (1) Acquire a lien granted by law to secure the disclose the risks associated with the lawyer's dual role as lawyer's fee or expenses; and 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 expense of the client. Moreover, the lawyer must obtain the (j) A lawyer shall not have sexual relations with client's informed consent. In some cases, the lawyer's interest a client unless a consensual sexual relationship may be such that Rule 1.7 will preclude the lawyer from seeking existed between them when the client-lawyer rela- 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 a written disclosure by the lawyer involved in the transaction (i) that applies to any one of them shall apply to or by the client's independent counsel. The fact that the client all of them. was independently represented in the transaction is relevant (P.B. 1978-1997, Rule 1.8.) (Amended June 26, 2006, to in determining whether the agreement was fair and reasonable take effect Jan. 1, 2007; amended June 29, 2007, to take to the client as subsection (a) (1) further requires. effect Jan. 1, 2008.) Use of Use of Information Related to Representation. Business Transactions between Client COMMENTARY: 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 voidable by the client under the doctrine of undue influence, transactions, the lawyer has no advantage in dealing with the 19 Copyrighted by the Secretary of the State of the State of Connecticut 

27 RULES OF PROFESSIONAL CONDUCT Rule 1.8 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 to render legal services for another). made to the lawyer or for the lawyer's benefit, except where the lawyer is related to the client as set forth in paragraph (c). 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 and the identity of the third-party payer. If, however, the fee instrument such as a will or conveyance, the client should arrangement creates a conflict of interest for the lawyer, then have the detached advice that another lawyer can provide. the lawyer must comply with Rule 1.7. The lawyer must also The sole exception to this Rule is where the client is a relative conform to the requirements of Rule 1.6 concerning confidenti- of the donee. ality. Under Rule 1.7 (a), a conflict of interest exists if there This Rule does not prohibit a lawyer from seeking to have 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- tion. Under Rule 1.7 (b), the informed consent must be con- ing the choice of an executor or other fiduciary. In obtaining firmed in writing. the client's informed consent to the conflict, the lawyer should Aggregate Settlements. Differences in willingness to advise the client concerning the nature and extent of the law- make or accept an offer of settlement are among the risks of yer's financial interest in the appointment, as well as the avail- common representation of multiple clients by a single lawyer. ability of alternative candidates for the position. Under Rule 1.7, this is one of the risks that should be discussed An agreement by which a lawyer acquires Literary Rights. literary or media rights concerning the conduct of the represen- before undertaking the representation, as part of the process of obtaining the clients' informed consent. In addition, Rule tation creates a conflict between the interests of the client and 1.2 (a) protects each client's right to have the final say in the personal interests of the lawyer. Measures suitable in the representation of the client may detract from the publication deciding whether to accept or reject an offer of settlement and in deciding whether to enter a guilty or nolo contendere plea value of an account of the representation. Subsection (d) does 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 multiple clients, the lawyer must inform each of them about arrangement conforms to Rule 1.5 and subsections (a) and (i). 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 accepted. See also Rule 1.0 (f) (definition of informed consent). including making or guaranteeing loans to their clients for living expenses, because to do so would encourage clients to pursue Lawyers representing a class of plaintiffs or defendants, or those proceeding derivatively, may not have a full client-lawyer lawsuits that might not otherwise be brought and because 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 designed to ensure adequate protection of the entire class. including the expenses of medical examination and the costs 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- practice are prohibited unless the client is independently repre- and help ensure access to the courts. Similarly, an exception 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 clients are unable to evaluate the desirability of making such funds will be repaid is warranted. an agreement before a dispute has arisen, particularly if they Subsection (f) Person Paying for a Lawyer's Services. are then represented by the lawyer seeking the agreement. requires disclosure of the fact that the lawyer's services are This subsection does not, however, prohibit a lawyer from being paid for by a third party. Such an arrangement must entering into an agreement with the client to arbitrate legal also conform to the requirements of Rule 1.6 concerning confi- malpractice claims, provided such agreements are enforce- dentiality and Rule 1.7 concerning conflict of interest. Where able and the client is fully informed of the scope and effect of the client is a class, consent may be obtained on behalf of the agreement. Nor does this subsection limit the ability of the class by court-supervised procedure. Lawyers are frequently asked to represent a client under lawyers to practice in the form of a limited-liability entity, where permitted by law, provided that each lawyer remains personally circumstances in which a third person will compensate the liable to the client for his or her own conduct and the firm lawyer, in whole or in part. The third person might be a relative complies with any conditions required by law, such as provi- or friend, an indemnitor (such as a liability insurance company) sions requiring client notification or maintenance of adequate or a co-client (such as a corporation sued along with one or liability insurance. Nor does it prohibit an agreement in accord- more of its employees). Because third-party payers frequently 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 representation illusory will amount to an attempt to limit liability. and in learning how the representation is progressing, lawyers Agreements settling a claim or a potential claim for malprac- are prohibited from accepting or continuing such representa- tice are not prohibited by this Rule. Nevertheless, in view of tions unless the lawyer determines that there will be no interfer- the danger that a lawyer will take unfair advantage of an ence with the lawyer's independent professional judgment and 20 Copyrighted by the Secretary of the State of the State of Connecticut 

28 RULES OF PROFESSIONAL CONDUCT Rule 1.9 unrepresented client or former client, the lawyer must first subsection (j) is personal and is not applied to associated lawyers. advise such a person in writing of the appropriateness of independent representation in connection with such a settle- Rule 1.9. Duties to Former Clients ment. In addition, the lawyer must give the client or former 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 another person in the same or a substantially from acquiring a proprietary interest in litigation. Like subsec- related matter in which that person's interests are tion (e), the general rule, which has its basis in common-law materially adverse to the interests of the former champerty and maintenance, is designed to avoid giving the 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 person in the same or a substantially related mat- to specific exceptions developed in decisional law and contin- ter in which a firm with which the lawyer formerly ued in these Rules. The exception for certain advances of the was associated had previously represented a costs of litigation is set forth in subsection (e). In addition, 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 (2) about whom the lawyer had acquired infor- liens granted by statute, liens originating in common law and mation protected by Rules 1.6 and 1.9 (c) that is liens acquired by contract with the client. When a lawyer material to the matter; unless the former client acquires by contract a security interest in property other than 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 has formerly represented a client in a matter shall by Rule 1.5. not thereafter: The relationship Client-Lawyer Sexual Relationships. (1) use information relating to the representa- between lawyer and client is a fiduciary one in which the lawyer 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 become generally known; or ethical obligation not to use the trust of the client to the client's (2) reveal information relating to the representa- disadvantage. In addition, such a relationship presents a signif- tion except as these Rules would permit or require icant danger that, because of the lawyer's emotional involve- 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 Copyrighted by the Secretary of the State of the State of Connecticut 

29 RULES OF PROFESSIONAL CONDUCT Rule 1.9 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 disqualified from representing another client in the same or a position adverse to the prior client. Similar considerations can related matter even though the interests of the two clients apply to the reassignment of military lawyers between defense 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. (a) While lawyers are associated in a firm, none When lawyers have Lawyers Moving between Firms. of them shall knowingly represent a client when been associated within a firm but then end their association, 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 est of the disqualified lawyer and does not present to the client is not compromised. Second, the rule should not a significant risk of materially limiting the repre- be so broadly cast as to preclude other persons from having sentation of the client by the remaining lawyers reasonable choice of legal counsel. Third, the rule should not 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 or 1.9 (b) and arises out of the disqualified lawyer's many lawyers practice in firms, that many lawyers to some association with a prior firm, and degree limit their practice to one field or another, and that (A) the disqualified lawyer is timely screened many move from one association to another several times in 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 (B) written notice is promptly given to any another and of the opportunity of clients to change counsel. affected former client to enable the former client Subsection (b) operates to disqualify the lawyer only when to ascertain compliance with the provisions of this the lawyer involved has actual knowledge of information pro- Rule, which shall include a description of the tected by Rules 1.6 and 1.9 (c). Thus, if a lawyer, while with 22 Copyrighted by the Secretary of the State of the State of Connecticut 

30 RULES OF PROFESSIONAL CONDUCT Rule 1.10 materially limit the representation by others in the firm, the screening procedures employed; a statement of firm should not be disqualified. On the other hand, if an oppos- the firm's and of the screened lawyer's compli- 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. The Rule in subsection (a) also does not prohibit represen- about the screening procedures; and tation by others in the law firm where the person prohibited from (C) certifications of compliance with these involvement in a matter is a nonlawyer, such as a paralegal Rules and with the screening procedures are pro- 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, must be screened from any personal participation in the matter upon termination of the screening procedures. to avoid communication to others in the firm of confidential (b) When a lawyer has terminated an associa- information that both the nonlawyers and the firm have a legal tion with a firm, the firm is not prohibited from 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- less of when the formerly associated lawyer represented the (1) The matter is the same or substantially client. However, the law firm may not represent a person with related to that in which the formerly associated 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- sented the client and any other lawyer currently in the firm material to the matter. has material information protected by Rules 1.6 and 1.9 (c). (c) A disqualification prescribed by this Rule Rule 1.10 (c) removes imputation with the informed consent may be waived by the affected client under the 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 has given informed consent to the representation, confirmed yers is governed by Rule 1.11. in writing. In some cases, the risk may be so severe that the (P.B. 1978-1997, Rule 1.10.) (Amended June 26, 2006, to conflict may not be cured by client consent. For a discussion take effect Jan. 1, 2007; amended June 15, 2012, to take of the effectiveness of client waivers of conflicts that might effect Jan. 1, 2013.) arise in the future, see Rule 1.7 and its commentary. For a COMMENTARY: For purposes of Definition of ``Firm.'' definition of informed consent, see Rule 1.0 (f). the Rules of Professional Conduct, the term ``firm'' denotes Rule 1.10 (a) (2) similarly removes the imputation otherwise lawyers in a law partnership, professional corporation, sole required by Rule 1.10 (a), but unlike subsection (c), it does proprietorship or other association authorized to practice law; so without requiring that there be informed consent by the or lawyers employed in a legal services organization or the former client. Instead, it requires that the procedures laid out legal department of a corporation or other organization. See in subparagraphs (A) through (C) of subsection (a) (2) be Rule 1.0 (d). Whether two or more lawyers constitute a firm followed. A description of effective screening mechanisms within this definition can depend on the specific facts. See ) and commentary thereto. Lawyers l appears in Rule 1.0 ( Rule 1.0 and its Commentary. should be aware, however, that, even where screening mecha- Principles of Imputed Disqualification. The rule of nisms have been adopted, tribunals may consider additional imputed disqualification stated in subsection (a) gives effect factors in ruling upon motions to disqualify a lawyer from pend- to the principle of loyalty to the client as it applies to lawyers ing litigation. who practice in a law firm. Such situations can be considered Subparagraph (A) of subsection (a) (2) does not prohibit from the premise that a firm of lawyers is essentially one lawyer the screened lawyer from receiving a salary or partnership for purposes of the rules governing loyalty to the client, or share established by prior independent agreement, but that from the premise that each lawyer is vicariously bound by the lawyer may not receive compensation directly related to the obligation of loyalty owed by each lawyer with whom the lawyer matter in which the lawyer is disqualified. is associated. Subsection (a) operates only among the lawyers 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  Copyrighted by the Secretary of the State of the State of Connecticut

31 RULES OF PROFESSIONAL CONDUCT Rule 1.10 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 only if the disqualified lawyer is timely screened used inappropriately, either prior to timely implementation of from any participation in the matter and is appor- a screen or thereafter. If compliance cannot be certified, the tioned no part of the fee therefrom. certificate must describe the failure to comply. (d) Except as law may otherwise expressly per- Where a lawyer has joined a private firm after having repre- 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- (1) Is subject to Rules 1.7 and 1.9; and vate practice, nongovernmental employment or in another gov- (2) Shall not: ernment agency, former-client conflicts are not imputed to (A) Participate in a matter in which the lawyer government lawyers associated with the individually disquali- participated personally and substantially while in fied lawyer. private practice or nongovernmental employment, Where a lawyer is prohibited from engaging in certain trans- 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 its informed consent, confirmed in writing; or other lawyers associated in a firm with the personally prohib- (B) Negotiate for private employment with any ited lawyer. person who is involved as a party or as lawyer for a party in a matter in which the lawyer is partici- Rule 1.11. Special Conflicts of Interest for pating personally and substantially; except that a Former and Current Government Officers lawyer serving as a law clerk to a judge, other and Employees adjudicative officer or arbitrator may negotiate for (Amended June 26, 2006, to take effect Jan. 1, 2007.) private employment as permitted by Rule 1.12 (a) Except as law may otherwise expressly per- (b) and subject to the conditions stated in Rule mit, a lawyer who has formerly served as a public 1.12 (b). officer or employee of the government: (e) Grievance counsel, disciplinary counsel and (1) is subject to Rule 1.9 (c); and bar counsel as well as members of the Statewide (2) shall not otherwise represent a client in con- Grievance Committee and grievance panels shall nection with a matter in which the lawyer partici- not represent any party other than the state with pated personally and substantially as a public respect to an unauthorized practice of law com- officer or employee, unless the appropriate gov- plaint or attorney grievance matter, while serving ernment agency gives its informed consent, con- as such. In addition, such counsel and members firmed in writing, to the representation. shall not represent an individual or entity investi- (b) When a lawyer is disqualified from represen- gated or prosecuted for the unauthorized practice tation under subsection (a), no lawyer in a firm of law or an attorney investigated or prosecuted with which that lawyer is associated may know- with respect to an attorney grievance matter if that ingly undertake or continue representation in such specific unauthorized practice of law complaint or a matter unless: attorney grievance matter was pending in their (1) The disqualified lawyer is timely screened office or with their committee or panel at the time from any participation in the matter and is appor- of such counsel's or member's termination of tioned no part of the fee therefrom; and employment or service as such grievance coun- (2) Written notice is promptly given to the appro- sel, disciplinary counsel, bar counsel or member priate government agency to enable it to ascertain of the Statewide Grievance Committee or a griev- compliance with the provisions of this Rule. ance panel. (c) Except as law may otherwise expressly per- (f) As used in this Rule, the term ``matter'' mit, a lawyer having information that the lawyer includes: knows is confidential government information (1) Any judicial or other proceeding, applica- about a person acquired when the lawyer was a tion, request for a ruling or other determination, public officer or employee, may not represent a contract, claim, controversy, investigation, charge, private client whose interests are adverse to that accusation, arrest or other particular matter person in a matter in which the information could involving a specific party or parties, and be used to the material disadvantage of that per- (2) Any other matter covered by the conflict of son. As used in this Rule, the term ``confidential interest rules of the appropriate government government information'' means information that agency. (P.B. 1978-1997, Rule 1.11.) (Amended June 26, 2006, to has been obtained under governmental authority take effect Jan. 1, 2007; amended June 15, 2018, to take and which, at the time this Rule is applied, the effect Jan. 1, 2019.) government is prohibited by law from disclosing HISTORY–2019: What is now subsection (e) was added, to the public or has a legal privilege not to disclose and what had been subsection (e) is now designated subsec- tion (f). and which is not otherwise available to the public. 24 Copyrighted by the Secretary of the State of the State of Connecticut 

32 RULES OF PROFESSIONAL CONDUCT Rule 1.11 TECHNICAL CHANGE: Subparagraphs in subsection (d) by a city and subsequently is employed by a federal agency. (2) have been designated with capital letters. However, because the conflict of interest is governed by sub- COMMENTARY: A lawyer who has served or is currently section (d), the latter agency is not required to screen the serving as a public officer or employee is personally subject lawyer as subsection (b) requires a law firm to do. The question of whether two government agencies should be regarded as to the Rules of Professional Conduct, including the prohibition against concurrent conflicts of interest stated in Rule 1.7. In the same or different clients for conflict of interest purposes addition, such a lawyer may be subject to statutes and govern- is beyond the scope of these Rules. See Commentary to Rule 1.13. ment regulations regarding conflicts of interest. Such statutes Subsections (b) and (c) contemplate a screening arrange- and regulations may circumscribe the extent to which the gov- ment. See Rule 1.0 ( ) (requirements for screening proce- l ernment agency may give consent under this Rule. See Rule 1.0 (f) for the definition of informed consent. dures). These subsections do not prohibit a lawyer from receiving a salary or partnership share established by prior Subsections (a) (1), (a) (2) and (d) (1) restate the obligations independent agreement, but that lawyer may not receive com- of an individual lawyer who has served or is currently serving pensation directly relating the lawyer's compensation to the as an officer or employee of the government toward a former fee in the matter in which the lawyer is disqualified. government or private client. Rule 1.10 is not applicable to the conflicts of interest addressed by this Rule. Rather, sub- Notice, including a description of the screened lawyer's prior section (b) sets forth a special imputation rule for former gov- representation and of the screening procedures employed, generally should be given as soon as practicable after the ernment lawyers that provides for screening and notice. Because of the special problems raised by imputation within need for screening becomes apparent. a government agency, subsection (d) does not impute the Subsection (c) operates only when the lawyer in question has knowledge of the information, which means actual knowl- conflicts of a lawyer currently serving as an officer or employee of the government to other associated government officers or edge; it does not operate with respect to information that employees, although ordinarily it will be prudent to screen merely could be imputed to the lawyer. Subsections (a) and (d) do not prohibit a lawyer from jointly such lawyers. representing a private party and a government agency when Subsections (a) (2) and (d) (2) apply regardless of whether doing so is permitted by Rule 1.7 and is not otherwise prohib- a lawyer is adverse to a former client and are thus designed ited by law. not only to protect the former client, but also to prevent a lawyer For purposes of subsection (e), an ``unauthorized practice from exploiting public office for the advantage of another client. of law complaint'' means a complaint alleging conduct covered For example, a lawyer who has pursued a claim on behalf of by General Statutes ß 51-88. ``Attorney grievance matter'' the government may not pursue the same claim on behalf of a later private client after the lawyer has left government service, means any grievance complaint, investigation, presentment, except when authorized to do so by the government agency interim suspension, disability, resignation, reinstatement, reciprocal discipline, discipline following a finding of guilt of a under subsection (a). Similarly, a lawyer who has pursued a serious crime or inactive status matter. claim on behalf of a private client may not pursue the claim For purposes of subsection (f) of this Rule, a ``matter'' may on behalf of the government, except when authorized to do continue in another form. In determining whether two particular so by subsection (d). As with subsections (a) (1) and (d) (1), matters are the same, the lawyer should consider the extent Rule 1.10 is not applicable to the conflicts of interest addressed by these subsections. to which the matters involve the same basic facts, the same This Rule represents a balancing of interests. On the one or related parties, and the time elapsed. hand, where the successive clients are a government agency HISTORY–2019: What is now the tenth paragraph of and another client, public or private, the risk exists that power commentary was added and, in what is now the eleventh paragraph, what was a reference to subsection (e) now refers or discretion vested in that agency might be used for the special benefit of the other client. A lawyer should not be to subsection (f). AMENDMENT NOTE : The reason for the amendment to in a position where benefit to the other client might affect this provision is to establish rules to avoid conflicts of interest performance of the lawyer's professional functions on behalf of the government. Also, unfair advantage could accrue to the and appearances of such conflicts by those engaged in the disciplinary process. Prior to the amendment, the rule did other client by reason of access to confidential government not prohibit a grievance counsel, bar counsel or committee information about the client's adversary, obtainable only through the lawyer's government service. On the other hand, member from appearing before a local grievance panel or the the rules governing lawyers presently or formerly employed Statewide Grievance Committee while he or she continued to by a government agency should not be so restrictive as to serve as counsel or a panel member. The amendment also prohibits individuals involved in the disciplinary process from inhibit transfer of employment to and from the government. The government has a legitimate need to attract qualified representing someone with respect to a matter that was pend- ing in their office or before their committee at the time that lawyers as well as to maintain high ethical standards. Thus, they terminated their employment or service. a former government lawyer is disqualified only from particular matters in which the lawyer participated personally and sub- The provisions of subsection (e) are prospective to the extent that they apply only to those who held a position subject stantially. The provisions for screening and waiver in subsec- to its terms on the date the amendment became effective. As tion (b) are necessary to prevent the disqualification rule from a result, if a member of the Statewide Grievance Committee imposing too severe a deterrent against entering public ser- vice. The limitation of disqualification in subsections (a) (2) wished to be exempt from this provision, he or she should and (d) (2) to matters involving a specific party or parties, have resigned prior to the effective date of the amendment to Rule 1.11. The prospective effect of this provision is analogous rather than extending disqualification to all substantive issues to the prospective effect of Practice Book Section 2-47B, which on which the lawyer worked, serves a similar function. was adopted in 2015 and imposed restrictions on the activities When a lawyer has been employed by one government agency and then moves to a second government agency, it of deactivated attorneys but applied only to attorneys who were deactivated on or after January 1, 2016, the effective may be appropriate to treat that second agency as another date of the rule. client for purposes of this Rule, as when a lawyer is employed 25  Copyrighted by the Secretary of the State of the State of Connecticut

33 RULES OF PROFESSIONAL CONDUCT Rule 1.12 of ethics governing third-party neutrals may impose more strin- Rule 1.12. Former Judge, Arbitrator, Media- gent standards of personal or imputed disqualification. See tor or Other Third-Party Neutral Rule 2.4. (Amended June 26, 2006, to take effect Jan. 1, 2007.) Although lawyers who serve as third-party neutrals do not (a) Except as stated in subsection (d), a lawyer have information concerning the parties that is protected under shall not represent anyone in connection with a Rule 1.6, they typically owe the parties an obligation of confi- dentiality under law or codes of ethics governing third-party matter in which the lawyer participated personally neutrals. Thus, subsection (c) provides that conflicts of the and substantially as a judge or other adjudicative personally disqualified lawyer will be imputed to other lawyers officer or law clerk to such a person or as an in a law firm unless the conditions of this subsection are met. arbitrator, mediator or other third-party neutral, Requirements for screening procedures are stated in Rule unless all parties to the proceeding give informed l ). Subsection (c) (1) does not prohibit the screened lawyer 1.0 ( consent, confirmed in writing. from receiving a salary or partnership share established by prior independent agreement, but that lawyer may not receive (b) A lawyer shall not negotiate for employment compensation directly related to the matter in which the lawyer with any person who is involved as a party or as is disqualified. lawyer for a party in a matter in which the lawyer Notice, including a description of the screened lawyer's prior is participating personally as a judge or other adju- representation and of the screening procedures employed, dicative officer, or as an arbitrator, mediator or generally should be given as soon as practicable after the other third-party neutral. A lawyer serving as a need for screening becomes apparent. law clerk to a judge or other adjudicative officer Rule 1.13. Organization as Client may negotiate for employment with a party or law- (a) A lawyer employed or retained by an organi- yer involved in a matter in which the clerk is partici- zation represents the organization acting through pating personally, but only after the lawyer has its duly authorized constituents. notified the judge or other adjudicative officer. (b) If a lawyer for an organization knows that (c) If a lawyer is disqualified by subsection (a), an officer, employee or other person associated no lawyer in a firm with which that lawyer is associ- with the organization is engaged in action, intends ated may knowingly undertake or continue repre- to act or refuses to act in a matter related to the sentation in the matter unless: representation that is a violation of a legal obliga- (1) The disqualified lawyer is timely screened tion to the organization, or a violation of law that from any participation in the matter and is appor- reasonably might be imputed to the organization, tioned no part of the fee therefrom; and and that is likely to result in substantial injury to (2) Written notice is promptly given to the parties the organization, then the lawyer shall proceed and any appropriate tribunal to enable them to as is reasonably necessary in the best interest of ascertain compliance with the provisions of this the organization. Rule. Unless the lawyer reasonably believes that it is (d) An arbitrator selected as a partisan of a not in the best interest of the organization to do party in a multi-member arbitration panel is not so, the lawyer shall refer the matter to higher prohibited from subsequently representing that authority in the organization, including, if war- party. ranted by the circumstances, to the highest (P.B. 1978-1997, Rule 1.12.) (Amended June 26, 2006, to take effect Jan. 1, 2007; amended June 13, 2014, to take authority that can act in behalf of the organization effect Jan. 1, 2015.) as determined by applicable law. COMMENTARY: This Rule generally parallels Rule 1.11. (c) Except as provided in subsection (d), if The term ``personally and substantially'' signifies that a judge (1) Despite the lawyer's efforts in accordance who was a member of a multi-member court, and thereafter with subsection (b), the highest authority that can left judicial office to practice law, is not prohibited from repre- act on behalf of the organization insists upon or senting a client in a matter pending in the court, but in which fails to address in a timely and appropriate manner the former judge did not participate. So also the fact that a former judge exercised administrative responsibility in a court an action, or a refusal to act, that is clearly a does not prevent the former judge from acting as a lawyer in violation of law and a matter where the judge had previously exercised remote or (2) The lawyer reasonably believes that the vio- incidental administrative responsibility that did not affect the lation is reasonably certain to result in substantial merits. Compare the Commentary to Rule 1.11. Participation injury to the organization, then the lawyer may on the merits or in settlement discussions is considered per- sonal and substantial. Nominal or ministerial responsibility is reveal information relating to the representation not considered personal and substantial. whether or not Rule 1.6 permits such disclosure, Like former judges, lawyers who have served as arbitrators, 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- to the organization. ally. This Rule forbids such representation unless all of the (d) Subsection (c) shall not apply with respect parties to the proceedings give their informed consent, con- to information relating to a lawyer's representation firmed in writing. See Rule 1.0 (c) and (f). Other law or codes 26 Copyrighted by the Secretary of the State of the State of Connecticut 

34 RULES OF PROFESSIONAL CONDUCT Rule 1.13 clear, however, that when the lawyer knows that the organiza- of an organization to investigate an alleged viola- tion is likely to be substantially injured by action of an officer tion of law, or to defend the organization or an or other constituent that violates a legal obligation to the organi- officer, employee or other constituent associated zation or is in violation of law that might be imputed to the with the organization against a claim arising out organization, the lawyer must proceed as is reasonably neces- of an alleged violation of law. sary in the best interest of the organization. As defined in Rule 1.0 (g), knowledge can be inferred from circumstances, and (e) A lawyer who reasonably believes that he or a lawyer cannot ignore the obvious. she has been discharged because of the lawyer's In determining how to proceed under subsection (b), the actions taken pursuant to subsections (b) or (c), lawyer should give due consideration to the seriousness of or who withdraws under circumstances that the violation and its consequences, the responsibility in the require or permit the lawyer to take action under organization and the apparent motivation of the persons either of those subsections, shall proceed as the involved, the policies of the organization concerning such mat- ters, and any other relevant considerations. Ordinarily, referral lawyer reasonably believes necessary to assure to a higher authority would be necessary. In some circum- that the organization's highest authority is stances, however, it may be appropriate for the lawyer to ask informed of the lawyer's discharge or withdrawal. the constituent to reconsider the matter; for example, if the (f) In dealing with an organization's directors, circumstances involve a constituent's innocent misunder- officers, employees, members, shareholders or standing of law and subsequent acceptance of the lawyer's advice, the lawyer may reasonably believe conclude that the other constituents, a lawyer shall explain the iden- best interest of the organization does not require that the tity of the client when the lawyer knows or reason- matter be referred to higher authority. If a constituent persists ably should know that the organization's interests in conduct contrary to the lawyer's advice, it will be necessary are adverse to those of the constituents with for the lawyer to take steps to have the matter reviewed by a whom the lawyer is dealing. higher authority in the organization. If the matter is of sufficient seriousness and importance or urgency to the organization, (g) A lawyer representing an organization may referral to higher authority in the organization may be neces- also represent any of its directors, officers, sary even if the lawyer has not communicated with the constit- employees, members, shareholders or other con- uent. Any measures taken should, to the extent practicable, stituents, subject to the provisions of Rule 1.7. If minimize the risk of revealing information relating to the repre- the organization's consent to the dual representa- sentation to persons outside the organization. Even in circum- tion is required by Rule 1.7, the consent shall be stances where a lawyer is not obligated by Rule 1.13 to proceed, a lawyer may bring to the attention of an organiza- given by an appropriate official of the organization tional client, including its highest authority, matters that the other than the individual who is to be represented, lawyer reasonably believes to be of sufficient importance to or by the shareholders. warrant doing so in the best interest of the organization. (P.B. 1978-1997, Rule 1.13.) (Amended June 26, 2006, to Subsection (b) also makes clear that when it is reasonably take effect Jan. 1, 2007.) necessary to enable the organization to address the matter COMMENTARY: The Entity as the Client. An organiza- in a timely and appropriate manner, the lawyer must refer tional client is a legal entity, but it cannot act except through the matter to higher authority, including, if warranted by the its officers, directors, employees, shareholders and other con- circumstances, the highest authority that can act on behalf stituents. Officers, directors, employees and shareholders are of the organization under applicable law. The organization's the constituents of the corporate organizational client. The highest authority to whom a matter may be referred ordinarily duties defined in this Commentary apply equally to unincorpo- will be the board of directors or similar governing body. How- rated associations. ``Other constituents'' as used in this Com- ever, applicable law may prescribe that under certain condi- mentary means the positions equivalent to officers, directors, tions the highest authority reposes elsewhere; for example, employees and shareholders held by persons acting for orga- in the independent directors of a corporation. nizational clients that are not corporations. The authority and responsibility Relation to Other Rules. When one of the constituents of an organizational client provided in this Rule are concurrent with the authority and communicates with the organization's lawyer in that person's responsibility provided in other Rules. In particular, this Rule organizational capacity, the communication is protected by does not limit or expand the lawyer's responsibility under Rules Rule 1.6. Thus, by way of example, if an organizational client 1.8, 1.16, 3.3 and 4.1. Subsection (c) of this Rule supplements requests its lawyer to investigate allegations of wrongdoing, Rule 1.6 (b) by providing an additional basis upon which the interviews made in the course of that investigation between lawyer may reveal information relating to the representation, the lawyer and the client's employees or other constituents but does not modify, restrict, or limit the provisions of Rule are covered by Rule 1.6. This does not mean, however, that 1.6 (b) (1) through (6). Under subsection (c) the lawyer may constituents of an organizational client are the clients of the reveal such information only when the organization's highest lawyer. The lawyer may not disclose to such constituents infor- authority insists upon or fails to address threatened or ongoing mation relating to the representation except for disclosures action that is clearly a violation of law, and then only to the explicitly or impliedly authorized by the organizational client extent the lawyer reasonably believes necessary to prevent in order to carry out the representation or as otherwise permit- reasonably certain substantial injury to the organization. It is ted by Rule 1.6. not necessary that the lawyer's services be used in furtherance When constituents of the organization make decisions for of the violation, but it is required that the matter be related to it, the decisions ordinarily must be accepted by the lawyer the lawyer's representation of the organization. If the lawyer's even if their utility or prudence is doubtful. Decisions concern- services are being used by an organization to further a crime ing policy and operations, including ones entailing serious risk, or fraud by the organization, Rules 1.6 (b) (2) and 1.6 (b) (3) may permit the lawyer to disclose confidential information. In are not as such in the lawyer's province. Subsection (b) makes 27 Copyrighted by the Secretary of the State of the State of Connecticut 

35 RULES OF PROFESSIONAL CONDUCT Rule 1.13 such circumstances, Rule 1.2 (d) may also be applicable, in may be brought nominally by the organization, but usually is, in which event, withdrawal from the representation under Rule fact, a legal controversy over management of the organization. 1.6 (a) (1) may be required. The question can arise whether counsel for the organization Subsection (d) makes clear that the authority of a lawyer may defend such an action. The proposition that the organiza- to disclose information relating to a representation in circum- tion is the lawyer's client does not alone resolve the issue. Most stances described in subsection (c) does not apply with respect derivative actions are a normal incident of an organization's to information relating to a lawyer's engagement by an organi- affairs, to be defended by the organization's lawyer like any zation to investigate an alleged violation of law or to defend other suit. However, if the claim involves serious charges of the organization or an officer, employee or other person asso- wrongdoing by those in control of the organization, a conflict ciated with the organization against a claim arising out of an may arise between the lawyer's duty to the organization and alleged violation of law. This is necessary in order to enable the lawyer's relationship with the board. In those circum- organizational clients to enjoy the full benefits of legal counsel stances, Rule 1.7 governs who should represent the directors in conducting an investigation or defending against a claim. and the organization. A lawyer who reasonably believes that he or she has been discharged because of the lawyer's actions taken pursuant to Rule 1.14. Client with Impaired Capacity subsection (b) or (c), or who withdraws in circumstances that (Amended June 26, 2006, to take effect Jan. 1, 2007; require or permit the lawyer to take action under either of these amended June 30, 2008, to take effect Jan. 1, 2009.) subsections, must proceed as the lawyer reasonably believes necessary to assure that the organization's highest authority (a) When a client's capacity to make or commu- is informed of the lawyer's discharge or withdrawal. nicate adequately considered decisions in con- Government Agency. The duty defined in this Rule applies nection with a representation is impaired, whether to governmental organizations. Defining precisely the identity because of minority, mental impairment or for of the client and prescribing the resulting obligations of such some other reason, the lawyer shall, as far as lawyers may be more difficult in the government context and reasonably possible, maintain a normal client-law- is a matter beyond the scope of these Rules. See Scope. Although in some circumstances the client may be a specific yer relationship with the client. agency, it may also be a branch of government, such as the (b) When the lawyer reasonably believes that executive branch, or the government as a whole. For example, the client is unable to make or communicate ade- if the action or failure to act involves the head of a bureau, quately considered decisions, is likely to suffer either the department of which the bureau is a part or the substantial physical, financial or other harm relevant branch of government may be the client for purposes of this Rule. Moreover, in a matter involving the conduct of unless action is taken and cannot adequately act government officials, a government lawyer may have authority in the client's own interest, the lawyer may take under applicable law to question such conduct more exten- reasonably necessary protective action, including sively than that of a lawyer for a private organization in similar consulting with individuals or entities that have circumstances. Thus, when the client is a governmental orga- the ability to take action to protect the client and, nization, a different balance may be appropriate between maintaining confidentiality and assuring that the wrongful act in appropriate cases, seeking the appointment of is prevented or rectified, for public business is involved. In a legal representative. addition, duties of lawyers employed by the government or (c) Information relating to the representation of lawyers in military service may be defined by statutes and a client with impaired capacity is protected by Rule regulations. This Rule does not limit that authority. See Scope. 1.6. When taking protective action pursuant to There are times when the Clarifying the Lawyer's Role. organization's interest may be or become adverse to those of subsection (b), the lawyer is impliedly authorized one or more of its constituents. In such circumstances the under Rule 1.6 (a) to reveal information about the lawyer should advise any constituent, whose interest the law- client, but only to the extent reasonably necessary yer finds adverse to that of the organization of the conflict or to protect the client's interests. potential conflict of interest, that the lawyer cannot represent (P.B. 1978-1997, Rule 1.14.) (Amended June 26, 2006, to such constituent, and that such person may wish to obtain take effect Jan. 1, 2007; amended June 30, 2008, to take independent representation. Care must be taken to assure that effect Jan. 1, 2009.) the individual understands that, when there is such adversity COMMENTARY: The normal client-lawyer relationship is of interest, the lawyer for the organization cannot provide legal based on the assumption that the client, when properly advised representation for that constituent individual, and that discus- and assisted, is capable of making decisions about important sions between the lawyer for the organization and the individ- matters. When the client is a minor or is unable to make ual may not be privileged. or communicate adequately considered decisions, however, Whether such a warning should be given by the lawyer for maintaining the ordinary client-lawyer relationship may not be the organization to any constituent individual may turn on the possible in all respects. In particular, a severely incapacitated facts of each case. person may have no power to make legally binding decisions. Subsection (e) recognizes that a Dual Representation. Nevertheless, a client with impaired capacity often has the lawyer for an organization may also represent a principal offi- ability to understand, deliberate upon, and reach conclusions cer or major shareholder. about matters affecting the client's own well-being. For exam- Under generally prevailing law, the Derivative Actions. ple, children as young as five or six years of age, and certainly shareholders or members of a corporation may bring suit to those of ten or twelve, are regarded as having opinions that compel the directors to perform their legal obligations in the are entitled to weight in legal proceedings concerning their supervision of the organization. Members of unincorporated associations have essentially the same right. Such an action custody. So also, it is recognized that some persons of 28  Copyrighted by the Secretary of the State of the State of Connecticut

36 RULES OF PROFESSIONAL CONDUCT Rule 1.15 advanced age can be quite capable of handling routine finan- than circumstances in fact require. Evaluation of such circum- cial matters while needing special legal protection concerning stances is a matter entrusted to the professional judgment of major transactions. the lawyer. In considering alternatives, however, the lawyer should be aware of any law that requires the lawyer to advocate The fact that a client suffers a disability does not diminish the least restrictive action on behalf of the client. the lawyer's obligation under these rules. Even if the person has a legal representative, the lawyer should as far as possible Disclosure of the Client's Condition. Disclosure of the client's impaired capacity could adversely affect the client's accord the represented person the status of client, particularly interests. For example, raising the question of impaired capac- in maintaining communication. ity could, in some circumstances, lead to proceedings for invol- The client may wish to have family members or other per- untary conservatorship and/or commitment. Information sons participate in discussions with the lawyer. When neces- relating to the representation is protected by Rule 1.6. There- sary to assist in the representation, the presence of such fore, unless authorized to do so by these rules or other law, persons generally does not constitute a waiver of the attorney- the lawyer may not disclose such information. When taking client evidentiary privilege. Nevertheless, the lawyer must protective action pursuant to subsection (b), the lawyer is keep the client's interests foremost and, except for protective impliedly authorized to make the necessary disclosures, even action authorized under subsection (b), must look to the client, when the client directs the lawyer to the contrary. Neverthe- and not family members, to make decisions on the client's less, given the risks of disclosure, subsection (c) limits what behalf. the lawyer may disclose in consulting with other individuals If a legal representative has already been appointed for the or entities or seeking the appointment of a legal representative. client, the lawyer should look to the representative for deci- At the very least, the lawyer should determine whether it is sions on behalf of the client only when such decisions are likely that the person or entity consulted with will act adversely within the scope of the authority of the legal representative. to the client's interests before discussing matters related to the In matters involving a minor, whether the lawyer should look client. The lawyer's position in such cases is an unavoidably to the parents as natural guardians may depend on the type difficult one. of proceeding or matter in which the lawyer is representing Emergency Legal Assistance. In an emergency where the the minor. If the lawyer represents the guardian as distinct from health, safety or a financial interest of a person with impaired the ward, and is aware that the guardian is acting adversely capacity is threatened with imminent and irreparable harm, a to the ward's interest, the lawyer may have an obligation to lawyer may take legal action on behalf of such a person even prevent or rectify the guardian's misconduct. See Rule 1.2 (d). though the person is unable to establish a client-lawyer rela- Taking Protective Action. If a lawyer reasonably believes tionship or to make or express considered judgments about that a client is likely to suffer substantial physical, financial or the matter, when the person or another acting in good faith other harm unless action is taken, and that a normal client- on that person's behalf has consulted with the lawyer. Even lawyer relationship cannot be maintained as provided in sub- in such an emergency, however, the lawyer should not act section (a) because the client lacks sufficient capacity to com- unless the lawyer reasonably believes that the person has municate or to make adequately considered decisions in no other lawyer, agent or other representative available. The connection with the representation, then subsection (b) per- lawyer should take legal action on behalf of the person only mits the lawyer to take protective measures deemed neces- to the extent reasonably necessary to maintain the status quo sary. Such measures could include: consulting with family or otherwise avoid imminent and irreparable harm. A lawyer members, using a reconsideration period to permit clarification who undertakes to represent a person in such an exigent or improvement of circumstances, using voluntary surrogate situation has the same duties under these Rules as the lawyer decision-making tools such as durable powers of attorney or would with respect to a client. consulting with support groups, professional services, adult- A lawyer who acts on behalf of a person with impaired protective agencies or other individuals or entities that have capacity in an emergency should keep the confidences of the the ability to protect the client. In taking any protective action, person as if dealing with a client, disclosing them only to the the lawyer should be guided by such factors as the wishes extent necessary to accomplish the intended protective action. and values of the client to the extent known, the client's best The lawyer should disclose to any tribunal involved and to interests and the goals of intruding into the client's decision- any other counsel involved the nature of his or her relationship making autonomy to the least extent feasible, maximizing cli- with the person. The lawyer should take steps to regularize ent capacities and respecting the client's family and social con- the relationship or implement other protective solutions as nections. soon as possible. Normally, a lawyer would not seek compen- In determining the extent of the client's impaired capacity, sation for such emergency actions taken. the lawyer should consider and balance such factors as: the client's ability to articulate reasoning leading to a decision, Rule 1.15. Safekeeping Property variability of state of mind and ability to appreciate conse- quences of a decision; the substantive fairness of a decision; (a) As used in this Rule, the terms below shall and the consistency of a decision with the known long-term have the following meanings: commitments and values of the client. In appropriate circum- (1) ``Allowable reasonable fees'' for IOLTA stances, the lawyer may seek guidance from an appropriate accounts are per check charges, per deposit diagnostician. charges, a fee in lieu of a minimum balance, fed- If a legal representative has not been appointed, the lawyer should consider whether appointment of a legal representative eral deposit insurance fees, sweep fees, and a is necessary to protect the client's interests. In addition, rules reasonable IOLTA account administrative or of procedure in litigation sometimes provide that minors or maintenance fee. persons with impaired capacity must be represented by a (2) An ``eligible institution'' means (i) a bank or guardian or next friend if they do not have a general guardian. savings and loan association authorized by fed- In many circumstances, however, appointment of a legal repre- sentative may be more expensive or traumatic for the client eral or state law to do business in Connecticut, 29 Copyrighted by the Secretary of the State of the State of Connecticut 

37 RULES OF PROFESSIONAL CONDUCT Rule 1.15 the deposits of which are insured by an agency (6) ``Non-IOLTA account'' means an interest- of the United States government, or (ii) an open- or dividend-bearing account, other than an IOLTA end investment company registered with the account, from which funds may be withdrawn United States Securities and Exchange Commis- upon request by the depositor without delay. sion and authorized by federal or state law to do (7) ``U.S. Government Securities'' means direct business in Connecticut. In addition, an eligible obligations of the United States government, or institution shall meet the requirements set forth obligations issued or guaranteed as to principal in subsection (i) (3) below. The determination of and interest by the United States or any agency whether or not an institution is an eligible institu- or instrumentality thereof, including United States tion shall be made by the organization designated government-sponsored enterprises, as such term by the judges of the Superior Court to administer is defined by applicable federal statutes and regu- the program pursuant to subsection (i) (4) below, lations. subject to the dispute resolution process provided (b) A lawyer shall hold property of clients or in subsection (i) (4) (E) below. third persons that is in a lawyer's possession in (3) ``Federal Funds Target Rate'' means the connection with a representation separate from target level for the federal funds rate set by the the lawyer's own property. Funds shall be kept in Federal Open Market Committee of the Board of a separate account maintained in the state where Governors of the Federal Reserve System from the lawyer's office is situated or elsewhere with time to time or, if such rate is no longer available, the consent of the client or third person. Other any comparable successor rate. If such rate or property shall be identified as such and appropri- successor rate is set as a range, the term ``Federal ately safeguarded. Complete records of such Funds Target Rate'' means the upper limit of account funds and other property shall be kept such range. by the lawyer and shall be preserved for a period (4) ``Interest- or dividend-bearing account'' of seven years after termination of the represen- means (i) an interest-bearing checking account, tation. or (ii) an investment product which is a daily (over- (c) A lawyer may deposit the lawyer's own funds night) financial institution repurchase agreement in a client trust account for the sole purposes of or an open-end money market fund. A daily finan- paying bank service charges on that account or cial institution repurchase agreement must be fully obtaining a waiver of fees and service charges collateralized by U.S. Government Securities and on the account, but only in an amount necessary may be established only with an eligible institution for those purposes. that is ``well-capitalized'' or ``adequately capital- (d) Absent a written agreement with the client ized'' as those terms are defined by applicable otherwise, a lawyer shall deposit into a client trust federal statutes and regulations. An open-end account legal fees and expenses that have been money market fund must be invested solely in paid in advance, to be withdrawn by the lawyer U.S. Government Securities or repurchase only as fees are earned or expenses incurred. agreements fully collateralized by U.S. Govern- (e) Upon receiving funds or other property in ment Securities, must hold itself out as a ``money which a client or third person has an interest, market fund'' as that term is defined by federal a lawyer shall promptly notify the client or third statutes and regulations under the Investment person. Except as stated in this Rule or otherwise Company Act of 1940 and, at the time of the permitted by law or by agreement with the client investment, must have total assets of at least or third person, a lawyer shall promptly deliver to $250,000,000. the client or third person any funds or other prop- erty that the client or third person is entitled to (5) ``IOLTA account'' means an interest- or divi- receive and, upon request by the client or third dend-bearing account established by a lawyer or person, shall promptly render a full accounting law firm for clients' funds at an eligible institution regarding such property. from which funds may be withdrawn upon request by the depositor without delay. An IOLTA account (f) When in the course of representation a law- shall include only client or third person funds, yer is in possession of property in which two or except as permitted by subsection (i) (6) below. more persons (one of whom may be the lawyer) The determination of whether or not an interest- or have interests, the property shall be kept separate dividend-bearing account meets the requirements by the lawyer until any competing interests are of an IOLTA account shall be made by the organi- resolved. The lawyer shall promptly distribute all zation designated by the judges of the Superior portions of the property as to which the lawyer is Court to administer the program pursuant to sub- able to identify the parties that have interests and section (i) (4) below. as to which there are no competing interests. 30 Copyrighted by the Secretary of the State of the State of Connecticut 

38 RULES OF PROFESSIONAL CONDUCT Rule 1.15 earned on the funds in the account or other appro- Where there are competing interests in the prop- priate investments; and (7) any other circum- erty or a portion of the property, the lawyer shall stances that affect the capability of the funds to segregate and safeguard the property subject to earn income for the client in excess of the costs the competing interests. incurred to secure such income. No lawyer shall (g) The word ``interest(s)'' as used in this sub- be subject to discipline for determining in good section and subsections (e) and (f) means more faith to deposit funds in the interest earned on than the mere assertion of a claim by a third party. lawyers' clients' funds account in accordance with In the event a lawyer is notified by a third party this subsection. or a third party's agent of a claim to funds held (i) An IOLTA account may only be established by the lawyer on behalf of a client, but it is unclear at an eligible institution that meets the following to the lawyer whether the third party has a valid requirements: interest within the meaning of this Rule, the lawyer (1) No earnings from the IOLTA account shall may make a written request that the third party be made available to a lawyer or law firm. or third party's agent provide the lawyer such rea- (2) Lawyers or law firms depositing a client's or sonable information and/or documentation as third person's funds in an IOLTA account shall needed to assist the lawyer in determining direct the depository institution: whether substantial grounds exist for the third par- (A) To remit interest or dividends, net of allow- ty's claim to the funds. If the third party or third able reasonable fees, if any, on the average party's agent fails to comply with such a request monthly balance in the account, or as otherwise within sixty days, the lawyer may distribute the computed in accordance with the institution's funds in question to the client. standard accounting practices, at least quarterly, (h) Notwithstanding subsections (b), (c), (d), (e) to the organization designated by the judges of and (f), lawyers and law firms shall participate in the Superior Court to administer this statutory the statutory program for the use of interest program; earned on lawyers' clients' funds accounts to pro- (B) To transmit to the organization administer- vide funding for the delivery of legal services to ing the program with each remittance a report that identifies the name of the lawyer or law firm for the poor by nonprofit corporations whose principal whom the remittance is sent, the amount of remit- purpose is providing legal services to the poor tance attributable to each IOLTA account, the rate and for law school scholarships based on financial and type of interest or dividends applied, the need. Lawyers and law firms shall place a client's amount of interest or dividends earned, the or third person's funds in an IOLTA account if the amount and type of fees and service charges lawyer or law firm determines, in good faith, that deducted, if any, and the average account bal- the funds cannot earn income for the client in ance for the period for which the report is made excess of the costs incurred to secure such and such other information as is reasonably income. For the purpose of making this good faith required by such organization; and determination of whether a client's funds cannot (C) To transmit to the depositing lawyer or law earn income for the client in excess of the costs firm at the same time a report in accordance with incurred to secure such income, the lawyer or law the institution's normal procedures for reporting firm shall consider the following factors: (1) The to its depositors. amount of the funds to be deposited; (2) the (3) Participation by banks, savings and loan expected duration of the deposit, including the associations, and investment companies in the likelihood of delay in resolving the relevant trans- IOLTA program is voluntary. An eligible institution action, proceeding or matter for which the funds that elects to offer and maintain IOLTA accounts are held; (3) the rates of interest, dividends or shall meet the following requirements: yield at eligible institutions where the funds are (A) The eligible institution shall pay no less on to be deposited; (4) the costs associated with its IOLTA accounts than the highest interest rate establishing and administering interest-bearing or dividend generally available from the institution accounts or other appropriate investments for the to its non-IOLTA customers when the IOLTA benefit of the client, including service charges, account meets or exceeds the same minimum minimum balance requirements or fees imposed balance or other eligibility qualifications on its non- by the eligible institutions; (5) the costs of the IOLTA accounts, if any. In determining the highest services of the lawyer or law firm in connection interest rate or dividend generally available from with establishing and maintaining the account or the institution to its non-IOLTA customers, an eli- other appropriate investments; (6) the costs of gible institution may consider, in addition to the balance in the IOLTA account, factors customarily preparing any tax reports required for income 31 Copyrighted by the Secretary of the State of the State of Connecticut 

39 Rule 1.15 RULES OF PROFESSIONAL CONDUCT considered by the institution when setting interest amended, to administer the program. The chief rates or dividends for its non-IOLTA customers, court administrator shall cause to be printed in provided that such factors do not discriminate the Connecticut Law Journal an appropriate between IOLTA accounts and non-IOLTA announcement identifying the designated organi- accounts and that these factors do not include the zation. The organization administering the pro- fact that the account is an IOLTA account. In lieu gram shall comply with the following: of the rate set forth in the first sentence of this (A) Each June mail to each judge of the Superior subparagraph, an eligible institution may pay a Court and to each lawyer or law firm participating rate equal to the higher of either (i) one percent in the program a detailed annual report of all funds per annum, or (ii) sixty percent of the Federal disbursed under the program including the Funds Target Rate. Such alternate rate shall be amount disbursed to each recipient of funds; determined for each calendar quarter as of the (B) Each June submit the following in detail first business day of such quarter and shall be to the chief court administrator for approval and deemed net of allowable reasonable fees and ser- comment by the Executive Committee of the vice charges. The eligible institution may offer, Superior Court: (i) its proposed goals and objec- and the lawyer or law firm may request, a sweep tives for the program; (ii) the procedures it has account that provides a mechanism for the over- established to avoid discrimination in the award- night investment of balances in the IOLTA account ing of grants; (iii) information regarding the insur- in an interest- or dividend-bearing account that is ance and fidelity bond it has procured; (iv) a a daily financial institution repurchase agreement description of the recommendations and advice or a money market fund. Nothing in this Rule shall it has received from the Advisory Panel estab- preclude an eligible institution from paying a lished by General Statutes ß 51-81c and the higher interest rate or dividend than described action it has taken to implement such recommen- above or electing to waive any fees and service dations and advice; (v) the method it utilizes to charges on an IOLTA account. An eligible institu- allocate between the two uses of funds provided tion may choose to pay the higher interest or divi- for in ß 51-81c and the frequency with which it dend rate on an IOLTA account in lieu of disburses funds for such purposes; (vi) the proce- dures it has established to monitor grantees to establishing it as a higher rate product. ensure that any limitations or restrictions on the (B) Interest and dividends shall be calculated in use of the granted funds have been observed accordance with the eligible institution's standard by the grantees, such procedures to include the practices for non-IOLTA customers. receipt of annual audits of each grantee showing (C) Allowable reasonable fees are the only fees compliance with grant awards and setting forth and service charges that may be deducted by quantifiable levels of services that each grantee an eligible institution from interest earned on an has provided with grant funds; (vii) the procedures IOLTA account. Allowable reasonable fees may it has established to ensure that no funds that be deducted from interest or dividends on an have been awarded to grantees are used for lob- IOLTA account only at the rates and in accord- bying purposes; and (viii) the procedures it has ance with the customary practices of the eligible established to segregate funds to be disbursed institution for non-IOLTA customers. No fees or under the program from other funds of the organi- service charges other than allowable reasonable zation; fees may be assessed against the accrued inter- (C) Allow the Judicial Branch access to its est or dividends on an IOLTA account. Any fees books and records upon reasonable notice; and service charges other than allowable reason- (D) Submit to audits by the Judicial Branch; and able fees shall be the sole responsibility of, and (E) Provide for a dispute resolution process for may only be charged to, the lawyer or law firm resolving disputes as to whether a bank, savings maintaining the IOLTA account. Fees and service and loan association, or open-end investment charges in excess of the interest or dividends company is an eligible institution within the mean- earned on one IOLTA account for any period shall ing of this Rule. not be taken from interest or dividends earned on (5) Before an organization may be designated any other IOLTA account or accounts or from the principal of any IOLTA account. to administer this program, it shall file with the chief court administrator, and the judges of the (4) The judges of the Superior Court, upon rec- Superior Court shall have approved, a resolution ommendation of the chief court administrator, of the board of directors of such an organization shall designate an organization qualified under which includes provisions: Sec. 501 (c) (3) of the Internal Revenue Code, or any subsequent corresponding Internal Revenue (A) Establishing that all funds the organization Code of the United States, as from time to time might receive pursuant to subsection (i) (2) (A) 32 Copyrighted by the Secretary of the State of the State of Connecticut 

40 RULES OF PROFESSIONAL CONDUCT Rule 1.15 above will be exclusively devoted to providing records for a period of seven years after termina- tion of the representation: funding for the delivery of legal services to the poor by nonprofit corporations whose principal (1) receipt and disbursement journals con- purpose is providing legal services to the poor taining a record of deposits to and withdrawals from client trust accounts, specifically identifying and for law school scholarships based on financial the date, source, and description of each item need and to the collection, management and dis- deposited, as well as the date, payee and purpose tribution of such funds; of each disbursement; (B) Establishing that all interest and dividends (2) ledger records for all client trust accounts earned on such funds, less allowable reasonable showing, for each separate trust client or benefi- fees, if any, shall be used exclusively for such ciary, the source of all funds deposited, the names purposes; of all persons for whom the funds are or were (C) Establishing and describing the methods held, the amount of such funds, the descriptions the organization will utilize to implement and and amounts of charges or withdrawals, and the administer the program and to allocate funds to names of all persons or entities to whom such be disbursed under the program, the frequency funds were disbursed; with which the funds will be disbursed by the orga- (3) copies of retainer and compensation nization for such purposes, and the segregation agreements with clients as required by Rule 1.5 of such funds from other funds of the organization; of the Rules of Professional Conduct; (D) Establishing that the organization shall con- (4) copies of accountings to clients or third per- sult with and receive recommendations from the sons showing the disbursement of funds to them Advisory Panel established by General Statutes or on their behalf; ß 51-81c regarding the implementation and (5) copies of bills for legal fees and expenses administration of the program, including the rendered to clients; method of allocation and the allocation of funds (6) copies of records showing disbursements to be disbursed under such program; on behalf of clients; (E) Establishing that the organization shall com- (7) the physical or electronic equivalents of all ply with the requirements of this Rule; and checkbook registers, bank statements, records of (F) Establishing that said resolution will not be deposit, prenumbered canceled checks, and sub- amended, and the facts and undertakings set forth stitute checks provided by a financial institution; in it will not be altered, until the same shall have (8) records of all electronic transfers from client been approved by the judges of the Superior Court trust accounts, including the name of the person and ninety days have elapsed after publication by authorizing transfer, the date of transfer, the name the chief court administrator of the notice of such of the recipient and confirmation from the financial approval in the Connecticut Law Journal. institution of the trust account number from which (6) Nothing in this subsection (i) shall prevent money was withdrawn and the date and the time a lawyer or law firm from depositing a client's or the transfer was completed; third person's funds, regardless of the amount of (9) copies of monthly trial balances and at least such funds or the period for which such funds are quarterly reconciliations of the client trust expected to be held, in a separate non-IOLTA accounts maintained by the lawyer; and account established on behalf of and for the bene- (10) copies of those portions of client files that fit of the client or third person. Such an account are reasonably related to client trust account shall be established as: transactions. (A) A separate clients' funds account for the (k) With respect to client trust accounts required particular client or third person on which the inter- by this Rule: est or dividends will be paid to the client or third (1) only a lawyer admitted to practice law in this person; or jurisdiction or a person under the direct supervi- (B) A pooled clients' funds account with subac- sion of the lawyer shall be an authorized signatory counting by the bank, savings and loan associa- or authorize transfers from a client trust account; tion or investment company or by the lawyer or (2) receipts shall be deposited intact and law firm, which provides for the computation of records of deposit should be sufficiently detailed interest or dividends earned by each client's or to identify each item; and third person's funds and the payment thereof to (3) withdrawals shall be made only by check the client or third person. payable to a named payee or by authorized elec- (j) A lawyer who practices in this jurisdiction tronic transfer and not to cash. shall maintain current financial records as pro- ( ) The records required by this Rule may be l vided in this Rule and shall retain the following maintained by electronic, photographic, or other 33  Copyrighted by the Secretary of the State of the State of Connecticut

41 RULES OF PROFESSIONAL CONDUCT Rule 1.15 client, conveying an interest in the funds or other property to media provided that they otherwise comply with another person or entity. these Rules and that printed copies can be pro- The obligations of a lawyer under this Rule are independent duced. These records shall be readily accessible of those arising from activity other than rendering legal ser- to the lawyer. vices. For example, a lawyer who serves only as an escrow (m) Upon dissolution of a law firm or of any agent is governed by the applicable law relating to fiduciaries even though the lawyer does not render legal services in the legal professional corporation, the partners shall transaction and is not governed by this Rule. A ``lawyers' fund'' make reasonable arrangements for the mainte- for client protection provides a means through the collective nance of client trust account records specified in efforts of the bar to reimburse persons who have lost money this Rule. or property as a result of dishonest conduct of a lawyer. Where (n) Upon the sale of a law practice, the seller such a fund has been established, a lawyer must participate shall make reasonable arrangements for the where it is mandatory, and, even when it is voluntary, the lawyer should participate. maintenance of records specified in this Rule. Subsection (i) requires lawyers and law firms to participate (P.B. 1978-1997, Rule 1.15.) (Amended June 26, 2006, to in the statutory IOLTA program. The lawyer or law firm should take effect Sept. 1, 2006; amended June 29, 2007, to take review its IOLTA account at reasonable intervals to determine effect Sept. 1, 2007; amended June 30, 2008, to take effect whether changed circumstances require further action with Aug. 1, 2008; amended June 21, 2010, to take effect Aug. 1, respect to the funds of any client or third person. 2010; amended June 20, 2011, to take effect Jan. 1, 2012; Subsection (j) lists the basic financial records that a lawyer amended June 12, 2015, to take effect Jan. 1, 2016.) must maintain with regard to all trust accounts of a law firm. COMMENTARY: A lawyer should hold property of others These include the standard books of account, and the support- with the care required of a professional fiduciary. Securities ing records that are necessary to safeguard and account for should be kept in a safe deposit box, except when some other the receipt and disbursement of client or third person funds form of safekeeping is warranted by special circumstances. as required by Rule 1.15 of the Rules of Professional Conduct. All property that is the property of clients or third persons, Subsection (j) requires that lawyers maintain client trust including prospective clients, must be kept separate from the account records, including the physical or electronic equiva- lawyer's business and personal property and, if moneys, in lents of all checkbook registers, bank statements, records of one or more trust accounts. Separate trust accounts may be deposit, prenumbered canceled checks, and substitute checks warranted when administering estate moneys or acting in simi- for a period of at least seven years after termination of each lar fiduciary capacities. A lawyer should maintain on a current particular legal engagement or representation. The ``Check basis books and records in accordance with generally Clearing for the 21st Century Act'' or ``Check 21 Act,'' codified accepted accounting practices. at 12 U.S.C. ß 5001 et seq., recognizes ``substitute checks'' While normally it is impermissible to commingle the lawyer's as the legal equivalent of an original check. A ``substitute own funds with client funds, subsection (c) provides that it is check'' is defined at 12 U.S.C. ß 5002 (16) as paper reproduc- permissible when necessary to pay bank service charges on tion of the original check that contains an image of the front that account. Accurate records must be kept regarding which and back of the original check; bears a magnetic ink character part of the funds is the lawyer's. recognition (``MICR'') line containing all the information Lawyers often receive funds from which the lawyer's fee appearing on the MICR line of the original check; conforms will be paid. The lawyer is not required to remit to the clients' with generally applicable industry standards for substitute funds account funds that the lawyer reasonably believes repre- checks; and is suitable for automated processing in the same sent fees owed. However, a lawyer may not hold funds to manner as the original check. Banks, as defined in 12 U.S.C. coerce a client into accepting the lawyer's contention. The ß 5002 (2), are not required to return to customers the original disputed portion of the funds must be kept in a trust account canceled checks. Most banks now provide electronic images and the lawyer should suggest means for prompt resolution of checks to customers who have access to their accounts on of the dispute, such as arbitration. The undisputed portion of internet based websites. It is the lawyer's responsibility to the funds shall be promptly distributed. download electronic images. Electronic images shall be main- Subsection (f) also recognizes that third parties, such as a tained for the requisite number of years and shall be readily client's creditor who has a lien on funds recovered in a personal available for printing upon request or shall be printed and injury action, may have lawful interests in specific funds or maintained for the requisite number years. other property in a lawyer's custody. A lawyer may have a The ACH (Automated Clearing House) Network is an elec- duty under applicable law to protect such third-party interests tronic funds transfer or payment system that primarily provides against wrongful interference by the client. In such cases the for the interbank clearing of electronic payments between origi- lawyer must refuse to surrender the property to the client until nating and receiving participating financial institutions. ACH the competing interests are resolved. A lawyer should not transactions are payment instructions to either debit or credit unilaterally assume to arbitrate a dispute between the client a deposit account. ACH payments are used in a variety of and the third party, but, when there are substantial grounds payment environments including bill payments, business-to- for dispute as to the person entitled to the funds, the lawyer business payments, and government payments (e.g., tax may file an action to have a court resolve the dispute. refunds). In addition to the primary use of ACH transactions, The word ``interest(s)'' as used in subsections (e), (f) and 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- ments of subsection (j) (8). obtaining the property; or a written assignment, signed by the 34  Copyrighted by the Secretary of the State of the State of Connecticut

42 RULES OF PROFESSIONAL CONDUCT Rule 1.16 There are five types of check conversions where a lawyer Authorized electronic transfers shall be limited to (1) money should be careful to comply with the requirements of subsec- required for payment to a client or third person on behalf of tion (j) (8). First, in a ``point-of-purchase conversion,'' a paper a client; (2) expenses properly incurred on behalf of a client, check is converted into a debit at the point of purchase, and such as filing fees or payment to third persons for services the paper check is returned to the issuer. Second, in a ``back- rendered in connection with the representation; or (3) money office conversion,'' a paper check is presented at the point- transferred to the lawyer for fees that are earned in connection of-purchase and is later converted into a debit, and the paper with the representation and are not in dispute; or (4) money check is destroyed. Third, in a ``account-receivable conver- transferred from one client trust account to another client sion,'' a paper check is converted into a debit, and the paper trust account. check is destroyed. Fourth, in a ``telephone-initiated debit'' The requirements in subdivision (2) of subsection (k) that or ``check-by-phone'' conversion, bank account information is receipts shall be deposited intact mean that a lawyer cannot provided via the telephone, and the information is converted deposit one check or negotiable instrument into two or more to a debit. Fifth, in a ``web-initiated debit,'' an electronic pay- accounts at the same time, a practice commonly known as a ment is initiated through a secure web environment. Subsec- split deposit. tion (j) (8) applies to each of the types of electronic funds Subsection ( ) allows the use of alternative media for the l transfers described. All electronic funds transfers shall be maintenance of client trust account records if printed copies recorded, and a lawyer should not reuse a check number which of necessary reports can be produced. If trust records are has been previously used in an electronic transfer transaction. computerized, a system of regular and frequent (preferably The potential of these records to serve as safeguards is daily) backup procedures is essential. If a lawyer uses third- realized only if the procedures set forth in subsection (j) (9) are party electronic or internet based file storage, the lawyer must regularly performed. The trial balance is the sum of balances make reasonable efforts to ensure that the company has in of each client's ledger card (or the electronic equivalent). Its place, or will establish reasonable procedures to protect the value lies in comparing it on a monthly basis to a control confidentiality of client information. See ABA Formal Ethics balance. The control balance starts with the previous month's Opinion 398 (1995). Records required by subsection (j) shall balance, then adds receipts from the Trust Receipts Journal be readily accessible and shall be readily available to be pro- and subtracts disbursements from the Trust Disbursements Journal. Once the total matches the trial balance, the reconcili- duced upon request by the client or third person who has an ation readily follows by adding amounts of any outstanding interest as provided in Rule 1.15 of the Rules of Professional checks and subtracting any deposits not credited by the bank Conduct, or by the official request of a disciplinary authority, at month's end. This balance should agree with the bank including but not limited to, a subpoena duces tecum. Personal statement. Quarterly reconciliation is recommended only as identifying information in records produced upon request by a minimum requirement; monthly reconciliation is the preferred the client or third person or by disciplinary authority shall practice given the difficulty of identifying an error (whether by remain confidential and shall be disclosed only in a manner the lawyer or the bank) among three months' transactions. to ensure client confidentiality as otherwise required by law In some situations, documentation in addition to that listed or court rule. in subdivisions (1) through (9) of subsection (i) is necessary Subsections (m) and (n) provide for the preservation of a for a complete understanding of a trust account transaction. lawyer's client trust account records in the event of dissolution The type of document that a lawyer must retain under subdivi- or sale of a law practice. Regardless of the arrangements the sion (10) of subsection (i) because it is ``reasonably related'' partners or shareholders make among themselves for mainte- to a client trust transaction will vary depending on the nature nance of the client trust records, each partner may be held of the transaction and the significance of the document in responsible for ensuring the availability of these records. For shedding light on the transaction. Examples of documents the purposes of these Rules, the terms ``law firm,'' ``partner,'' that typically must be retained under this subdivision include and ``reasonable'' are defined in accordance with Rules 1.0 correspondence between the client and lawyer relating to a (d), (h), and (i) of the Rules of Professional Conduct. disagreement over fees or costs or the distribution of proceeds, settlement agreements contemplating payment of funds, set- Rule 1.16. Declining or Terminating Repre- tlement statements issued to the client, documentation relating to sharing litigation costs and attorney's fees for subrogated sentation claims, agreements for division of fees between lawyers, guar- (a) Except as stated in subsection (c), a lawyer antees of payment to third parties out of proceeds recovered shall not represent a client or, where representa- on behalf of a client, and copies of bills, receipts or correspon- dence related to any payments to third parties on behalf of a tion has commenced, shall withdraw from the rep- client (whether made from the client's funds or from the law- resentation of a client if: yer's funds advanced for the benefit of the client). (1) The representation will result in violation of Subsection (k) lists minimal accounting controls for client the Rules of Professional Conduct or other law; trust accounts. It also enunciates the requirement that only a lawyer admitted to the practice of law in this jurisdiction or a (2) The lawyer's physical or mental condition person who is under the direct supervision of the lawyer shall materially impairs the lawyer's ability to represent be the authorized signatory or authorized to make electronic the client; or transfers from a client trust account. While it is permissible to (3) The lawyer is discharged. grant limited nonlawyer access to a client trust account, such access should be limited and closely monitored by the lawyer. (b) Except as stated in subsection (c), a lawyer The lawyer has a nondelegable duty to protect and preserve may withdraw from representing a client if: the funds in a client trust account and can be disciplined for (1) withdrawal can be accomplished without failure to supervise subordinates who misappropriate client material adverse effect on the interests of the funds. See Rules 5.1 and 5.3 of the Rules of Professional client; Conduct. 35 Copyrighted by the Secretary of the State of the State of Connecticut 

43 RULES OF PROFESSIONAL CONDUCT Rule 1.16 withdraws from pending litigation. Difficulty may be encoun- (2) the client persists in a course of action tered if withdrawal is based on the client's demand that the involving the lawyer's services that the lawyer rea- lawyer engage in unprofessional conduct. The court may sonably believes is criminal or fraudulent; request an explanation for the withdrawal, while the lawyer (3) the client has used the lawyer's services to may be bound to keep confidential the facts that would consti- perpetrate a crime or fraud; tute such an explanation. Lawyers should be mindful of their obligations to both clients and the court under Rules 1.6 (4) the client insists upon taking action that the and 3.3. lawyer considers repugnant or with which the law- When the lawyer has Withdrawal of Limited Appearance. yer has a fundamental disagreement; filed a limited appearance under Practice Book Section 3-8 (5) the client fails substantially to fulfill an obliga- (b) and the lawyer has completed the representation described tion to the lawyer regarding the lawyer's services in the limited appearance, the lawyer is not required to obtain and has been given reasonable warning that the permission of the tribunal to terminate the representation before filing the certificate of completion. lawyer will withdraw unless the obligation is ful- A client has a right to discharge a lawyer at Discharge. filled; any time, with or without cause, subject to liability for payment (6) the representation will result in an unreason- for the lawyer's services. Where future dispute about the with- able financial burden on the lawyer or has been drawal may be anticipated, it may be advisable to prepare a rendered unreasonably difficult by the client; or written statement reciting the circumstances. (7) other good cause for withdrawal exists. Whether a client can discharge appointed counsel may depend on applicable law. A client seeking to do so should (c) A lawyer must comply with applicable law be given a full explanation of the consequences. These conse- requiring notice to or permission of a tribunal when quences may include a decision by the appointing authority terminating a representation. When ordered to do that appointment of successor counsel is unjustified, thus so by a tribunal, a lawyer shall continue represen- requiring the client to represent himself or herself. tation notwithstanding good cause for terminating If the client has diminished capacity, the client may lack the representation. the legal capacity to discharge the lawyer and, in any event, the discharge may be seriously adverse to the client's inter- (d) Upon termination of representation, a lawyer ests. The lawyer should make special effort to help the client shall take steps to the extent reasonably practica- consider the consequences and may take reasonably neces- ble to protect a client's interests, such as giving sary protective action as provided in Rule 1.14. reasonable notice to the client, allowing time for Assisting the Client upon Withdrawal. Even if the lawyer employment of other counsel, surrendering has been unfairly discharged by the client, a lawyer must take papers and property to which the client is entitled all reasonable steps to mitigate the consequences to the client. The lawyer may retain papers as security for a fee only to the and refunding any advance payment of the fee extent permitted by law. See Rule 1.5. that has not been earned. The lawyer may retain A written statement to the client Confirmation in Writing. papers relating to the client to the extent permitted confirming the termination of the relationship and the basis of by other law. If the representation of the client is the termination reduces the possibility of misunderstanding terminated either by the lawyer withdrawing from the status of the relationship. The written statement should representation or by the client discharging the law- be sent to the client before or within a reasonable time after yer, the lawyer shall confirm the termination in the termination of the relationship. writing to the client before or within a reasonable Rule 1.17. Sale of Law Practice time after the termination of the representation. (P.B. 1978-1997, Rule 1.16.) (Amended June 25, 2001, to A lawyer or a law firm may sell or purchase a take effect Jan. 1, 2002; amended June 26, 2006, to take law practice, or an area of practice, including good effect Jan. 1, 2007.) will, if the following conditions are satisfied: COMMENTARY: A lawyer should not accept representation (a) The seller ceases to engage in the private in a matter unless it can be performed competently, promptly, practice of law, or in the area of practice that has without improper conflict of interest and to completion. Ordi- been sold, in Connecticut; narily, a representation in a matter is completed when the agreed upon assistance has been concluded. See Rules 1.2 (b) The entire practice, or the entire area of (c) and 6.5; see also Rule 1.3, Commentary. practice, is sold to one or more lawyers or law A lawyer ordinarily must decline Mandatory Withdrawal. firms; or withdraw from representation if the client demands that the (c) The seller gives written notice to each of the lawyer engage in conduct that is illegal or violates the Rules seller's clients regarding: of Professional Conduct or other law. The lawyer is not obliged (1) the proposed sale; to decline or withdraw simply because the client suggests such a course of conduct; a client may make such a suggestion in (2) the client's right to retain other counsel or the hope that a lawyer will not be constrained by a profes- to take possession of the file; and sional obligation. (3) the fact that the client's consent to the trans- When a lawyer has been appointed to represent a client, fer of the client's files will be presumed if the client withdrawal ordinarily requires approval of the appointing does not take any action or does not otherwise authority. See also Rule 6.2. Similarly, court approval or notice to the court is often required by applicable law before a lawyer object within ninety days of receipt of the notice. 36 Copyrighted by the Secretary of the State of the State of Connecticut 

44 RULES OF PROFESSIONAL CONDUCT Rule 1.17 counsel if a sale could be limited to substantial fee-generating If a client cannot be given notice, the representa- matters. The purchasers are required to undertake all client tion of that client may be transferred to the pur- matters in the practice or practice area, subject to client con- chaser only upon entry of an order so authorizing sent. This requirement is satisfied, however, even if a pur- by a court having jurisdiction. The seller may dis- chaser is unable to undertake a particular client matter close to the court in camera information relating because of a conflict of interest. Client Confidences, Consent and Notice. Negotiations to the representation only to the extent necessary between a seller and a prospective purchaser prior to disclo- to obtain an order authorizing the transfer of a file. sure of information relating to a specific representation of an (d) The fees charged clients shall not be identifiable client no more violate the confidentiality provisions increased by reason of the sale. of Rule 1.6 than do preliminary discussions concerning the (Adopted June 26, 2006, to take effect Jan. 1, 2007.) possible association of another lawyer or mergers between COMMENTARY: The practice of law is a profession, not firms, with respect to which client consent is not required. See merely a business. Clients are not commodities that can be Rule 1.6 (c) (5). Providing the purchaser access to detailed purchased and sold at will. Pursuant to this Rule, when a information relating to the representation, such as the client's lawyer or an entire firm ceases to practice, or ceases to prac- file, however, requires client consent. The Rule provides that tice in an area of law, and other lawyers or firms take over before such information can be disclosed by the seller to the the representation, the selling lawyer or firm may obtain com- purchaser the client must be given actual written notice of the pensation for the reasonable value of the practice as may contemplated sale, including the identity of the purchaser, withdrawing partners of law firms. See Rules 5.4 and 5.6. and must be told that the decision to consent or make other The requirement Termination of Practice by the Seller. arrangements must be made within ninety days. If nothing is that all of the private practice, or all of an area of practice, be heard from the client within that time, consent to the sale sold is satisfied if the seller in good faith makes the entire is presumed. practice, or the area of practice, available for sale to the pur- A lawyer or law firm ceasing to practice cannot be required chasers. The fact that a number of the seller's clients decide to remain in practice because some clients cannot be given not to be represented by the purchasers but take their matters actual notice of the proposed purchase. Since these clients elsewhere, therefore, does not result in a violation. cannot themselves consent to the purchase or direct any other The requirement that the seller cease to engage in the disposition of their files, the Rule requires an order from a private practice of law does not prohibit employment as a court having jurisdiction authorizing their transfer or other dis- lawyer on the staff of a public agency or a legal services entity position. The court can be expected to determine whether that provides legal services to the poor, or as in-house counsel reasonable efforts to locate the client have been exhausted, to a business. and whether the absent client's legitimate interests will be The Rule permits a sale of an entire practice attendant served by authorizing the transfer of the file so that the pur- upon retirement from the private practice of law within the chaser may continue the representation. Preservation of client jurisdiction. Its provisions, therefore, accommodate the lawyer confidences requires that the petition for a court order be who sells the practice upon the occasion of moving to another considered in camera. This procedure is contemplated as an state. Some states are so large that a move from one locale in camera review of privileged materials. therein to another is tantamount to leaving the jurisdiction in All the elements of client autonomy, including the client's which the lawyer has engaged in the practice of law. To also absolute right to discharge a lawyer and transfer the represen- accommodate lawyers so situated, states may permit the sale tation to another, survive the sale of the practice or area of of the practice when the lawyer leaves the geographic area practice. rather than the jurisdiction. The alternative desired should be Fee Arrangements between Client and Purchaser. The indicated by selecting one of the two provided for in Rule sale may not be financed by increases in fees charged exclu- 1.17 (a). sively to the clients of the purchased practice. Existing This Rule also permits a lawyer or law firm to sell an area agreements between the seller and the client as to fees and of practice. If an area of practice is sold and the lawyer remains the scope of the work must be honored by the purchaser. in the active practice of law, the lawyer must cease accepting Lawyers participat- Other Applicable Ethical Standards. 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 The Sale of Entire Practice or Entire Area of Practice. 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 a nonlawyer representative not subject to these Rules. Since, are less lucrative and who might find it difficult to secure other 37  Copyrighted by the Secretary of the State of the State of Connecticut

45 RULES OF PROFESSIONAL CONDUCT Rule 1.17 however, no lawyer may participate in a sale of a law practice further. Hence, prospective clients should receive some but not all of the protection afforded clients. which does not conform to the requirements of this Rule, the A person becomes a prospective client by consulting with representatives of the seller as well as the purchasing lawyer a lawyer about the possibility of forming a client-lawyer rela- can be expected to see to it that they are met. tionship with respect to a matter. Whether communications, Admission to or retirement from a law partnership or profes- including written, oral, or electronic communications, consti- sional association, retirement plans and similar arrangements, tute a consultation depends on the circumstances. For exam- and a sale of tangible assets of a law practice, do not constitute ple, a consultation is likely to have occurred if a lawyer, either a sale or purchase governed by this Rule. in person or through the lawyer's advertising in any medium, This Rule does not apply to the transfers of legal representa- specifically requests or invites the submission of information tion between lawyers when such transfers are unrelated to about a potential representation without clear and reasonably the sale of a practice or an area of practice. understandable warnings and cautionary statements that limit the lawyer's obligations, and a person provides information in Rule 1.18. Duties to Prospective Client response. In contrast, a consultation does not occur if a person (a) A person who consults with a lawyer con- provides information to a lawyer in response to advertising that cerning the possibility of forming a client-lawyer merely describes the lawyer's education, experience, areas of practice, and contact information, or provides legal informa- relationship with respect to a matter is a prospec- tion of general interest. Such a person communicates informa- tive client. tion unilaterally to a lawyer, without any reasonable (b) Even when no client-lawyer relationship expectation that the lawyer is willing to discuss the possibility ensues, a lawyer who has learned information of forming a client-lawyer relationship, and is thus not a ``pro- from a prospective client shall not use or reveal spective client.'' Moreover, a person who communicates with a lawyer for the purpose of disqualifying the lawyer is not a that information, except as Rule 1.9 would permit ``prospective client.'' with respect to information of a former client. It is often necessary for a prospective client to reveal infor- (c) A lawyer subject to subsection (b) shall not mation to the lawyer during an initial consultation prior to the represent a client with interests materially adverse decision about formation of a client-lawyer relationship. The to those of a prospective client in the same or a lawyer often must learn such information to determine whether substantially related matter if the lawyer received there is a conflict of interest with an existing client and whether the matter is one that the lawyer is willing to undertake. Subsec- information from the prospective client that could tion (b) prohibits the lawyer from using or revealing that infor- be significantly harmful to that person in the mat- mation, except as permitted by Rule 1.9, even if the client or ter, except as provided in subsection (d). If a law- lawyer decides not to proceed with the representation. The yer is disqualified from representation under this duty exists regardless of how brief the initial consultation paragraph, no lawyer in a firm with which that may be. In order to avoid acquiring disqualifying information from lawyer is associated may knowingly undertake or a prospective client, a lawyer considering whether or not to continue representation in such a matter, except undertake a new matter should limit the initial consultation to as provided in subsection (d). only such information as reasonably appears necessary for (d) When the lawyer has received disqualifying that purpose. Where the information indicates that a conflict information as defined in subsection (c), represen- of interest or other reason for nonrepresentation exists, the lawyer should so inform the prospective client or decline the tation is permissible if: representation. If the prospective client wishes to retain the (1) both the affected client and the prospective lawyer, and if consent is possible under Rule 1.7, then consent client have given informed consent, confirmed in from all affected present or former clients must be obtained writing, or before accepting the representation. (2) the lawyer who received the information took A lawyer may condition consultations with a prospective client on the person's informed consent that no information reasonable measures to avoid exposure to more disclosed during the consultation will prohibit the lawyer from disqualifying information than was reasonably representing a different client in the matter. See Rule 1.0 (f) necessary to determine whether to represent the for the definition of informed consent. If the agreement prospective client; and expressly so provides, the prospective client may also consent (A) the disqualified lawyer is timely screened to the lawyer's subsequent use of information received from the prospective client. from any participation in the matter; and Even in the absence of an agreement, under subsection (B) written notice is promptly given to the pro- (c), the lawyer is not prohibited from representing a client with spective client. interests adverse to those of the prospective client in the same (Adopted June 26, 2006, to take effect Jan. 1, 2007; or a substantially related matter unless the lawyer has received amended June 13, 2014, to take effect Jan. 1, 2015.) from the prospective client information that could be signifi- TECHNICAL CHANGE: Subparagraphs in subsection (d) cantly harmful if used in the matter. (2) have been designated with capital letters. 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 disqualified lawyers are timely screened and written notice and the lawyer free (and sometimes required) to proceed no 38  Copyrighted by the Secretary of the State of the State of Connecticut

46 RULES OF PROFESSIONAL CONDUCT Rule 2.3 is promptly given to the prospective client. See Rule 1.0 ( l ) inform the client of forms of dispute resolution that might consti- (requirements for screening procedures). tute reasonable alternatives to litigation. Notice, including a general description of the subject matter A lawyer ordinarily has no duty to initiate investigation of about which the lawyer was consulted, and of the screening a client's affairs or to give advice that the client has indicated procedures employed, generally should be given as soon as is unwanted, but a lawyer may initiate advice to a client when practicable after the need for screening becomes apparent. doing so appears to be in the client's interest. For the duty of competence of a lawyer who gives assis- Rule 2.2. Intermediary tance on the merits of a matter to a prospective client, see Rule 1.1. For a lawyer's duties when a prospective client entrusts [Repealed as of Jan. 1, 2007.] valuables or papers to the lawyer's care, see Rule 1.15. Rule 2.3. Evaluation for Use by Third COUNSELOR Persons Rule 2.1. Advisor (a) A lawyer may provide an evaluation of a matter affecting a client for the use of someone In representing a client, a lawyer shall exercise other than the client if the lawyer reasonably independent professional judgment and render believes that making the evaluation is compatible candid advice. In rendering advice, a lawyer may with other aspects of the lawyer's relationship with refer not only to law but to other considerations the client. such as moral, economic, social and political fac- (b) When the lawyer knows or reasonably tors, that may be relevant to the client's situation. should know that the evaluation is likely to affect (P.B. 1978-1997, Rule 2.1.) Scope of Advice. COMMENTARY: A client is entitled to the client's interests materially and adversely, the straightforward advice expressing the lawyer's honest assess- lawyer shall not provide the evaluation unless the ment. Legal advice often involves unpleasant facts and alter- client gives informed consent. natives that a client may be disinclined to confront. In (c) Except as disclosure is authorized in con- presenting advice, a lawyer endeavors to sustain the client's nection with a report of an evaluation, information morale and may put advice in as acceptable a form as honesty relating to the evaluation is otherwise protected permits. However, a lawyer should not be deterred from giving candid advice by the prospect that the advice will be unpalat- by Rule 1.6. able to the client. (P.B. 1978-1997, Rule 2.3.) (Amended June 26, 2006, to Advice couched in narrow legal terms may be of little value take effect Jan. 1, 2007.) to a client, especially where practical considerations, such COMMENTARY: An evaluation may be per- Definition. as cost or effects on other people, are predominant. Purely formed at the client's direction or when impliedly authorized technical legal advice, therefore, can sometimes be inade- in order to carry out the representation. See Rule 1.2. Such quate. It is proper for a lawyer to refer to relevant moral and an evaluation may be for the primary purpose of establishing ethical considerations in giving advice. Although a lawyer is information for the benefit of third parties; for example, an not a moral advisor as such, moral and ethical considerations opinion concerning the title of property rendered at the behest impinge upon most legal questions and may decisively influ- of a vendor for the information of a prospective purchaser, or ence how the law will be applied. at the behest of a borrower for the information of a prospective A client may expressly or impliedly ask the lawyer for purely lender. In some situations, the evaluation may be required by technical advice. When such a request is made by a client a government agency; for example, an opinion concerning the experienced in legal matters, the lawyer may accept it at face legality of the securities registered for sale under the securities value. When such a request is made by a client inexperienced laws. In other instances, the evaluation may be required by in legal matters, however, the lawyer's responsibility as advisor a third person, such as a purchaser of a business. may include indicating that more may be involved than strictly A legal evaluation should be distinguished from an investi- legal considerations. gation of a person with whom the lawyer does not have a Matters that go beyond strictly legal questions may also be client-lawyer relationship. A legal evaluation of a client should in the domain of another profession. Family matters can also be distinguished from a report by counsel for an insured involve problems within the professional competence of psy- to the insured's carrier on the status of the matter that is the chiatry, clinical psychology or social work; business matters subject of representation, provided the report does not contain can involve problems within the competence of the accounting matter that is detrimental to the client's relationship with the profession or of financial specialists. Where consultation with insurance carrier. For example, a lawyer retained by a pur- a professional in another field is itself something a competent chaser to analyze a vendor's title to property does not have lawyer would recommend, the lawyer should make such a a client-lawyer relationship with the vendor. So also, an investi- recommendation. At the same time, a lawyer's advice at its gation into a person's affairs by a government lawyer, or by best often consists of recommending a course of action in the special counsel employed by the government, is not an evalua- face of conflicting recommendations of experts. tion as that term is used in this Rule. The question is whether In general, a lawyer is not expected to Offering Advice. the lawyer is retained by the person whose affairs are being give advice until asked by the client. However, when a lawyer examined. When the lawyer is retained by that person, the knows that a client proposes a course of action that is likely general rules concerning loyalty to client and preservation of to result in substantial adverse legal consequences to the confidences apply, which is not the case if the lawyer is client, the lawyer's duty to the client under Rule 1.4 may require retained by someone else. For this reason, it is essential to that the lawyer offer advice if the client's course of action is identify the person by whom the lawyer is retained. This should related to the representation. Similarly, when a matter is likely be made clear not only to the person under examination, but to involve litigation, it may be necessary under Rule 1.4 to also to others to whom the results are to be made available. 39 Copyrighted by the Secretary of the State of the State of Connecticut 

47 RULES OF PROFESSIONAL CONDUCT Rule 2.3 When the evalu- Duties Owed to Third Person and Client. (b) A lawyer serving as a third-party neutral ation is intended for the information or use of a third person, shall inform unrepresented parties that the lawyer a legal duty to that person may or may not arise. That legal is not representing them. When the lawyer knows question is beyond the scope of this Rule. However, since or reasonably should know that a party does not such an evaluation involves a departure from the normal client- understand the lawyer's role in the matter, the lawyer relationship, careful analysis of the situation is required. The lawyer must be satisfied as a matter of professional judg- lawyer shall explain the difference between the ment that making the evaluation is compatible with other func- lawyer's role as a third-party neutral and a law- tions undertaken in behalf of the client. For example, if the yer's role as one who represents a client. lawyer is acting as advocate in defending the client against (Adopted June 26, 2006, to take effect Jan. 1, 2007.) charges of fraud, it would normally be incompatible with that COMMENTARY: Alternative dispute resolution has responsibility for the lawyer to perform an evaluation for others become a substantial part of the civil justice system. Aside from concerning the same or a related transaction. Assuming no representing clients in dispute-resolution processes, lawyers such impediment is apparent, however, the lawyer should often serve as third-party neutrals. A third-party neutral is a advise the client of the implications of the evaluation, particu- person, such as a mediator, arbitrator, conciliator or evaluator, larly the lawyer's responsibilities to third persons and the duty who assists the parties, represented or unrepresented, in the to disseminate the findings. resolution of a dispute or in the arrangement of a transaction. Access to and Disclosure of Information. The quality Whether a third-party neutral serves primarily as a facilitator, of an evaluation depends on the freedom and extent of the evaluator or decision maker depends on the particular process investigation upon which it is based. Ordinarily, a lawyer should that is either selected by the parties or mandated by a court. have whatever latitude of investigation seems necessary as The role of a third-party neutral is not unique to lawyers, a matter of professional judgment. Under some circumstances, although, in some court-connected contexts, only lawyers are however, the terms of the evaluation may be limited. For exam- allowed to serve in this role or to handle certain types of cases. ple, certain issues or sources may be categorically excluded, In performing this role, the lawyer may be subject to court rules or the scope of search may be limited by time constraints or or other law that apply either to third-party neutrals generally the noncooperation of persons having relevant information. or to lawyers serving as third-party neutrals. Lawyer-neutrals Any such limitations that are material to the evaluation should may also be subject to various codes of ethics, such as the be described in the report. If after a lawyer has commenced Code of Ethics for Arbitration in Commercial Disputes prepared an evaluation, the client refuses to comply with the terms upon which it was understood the evaluation was to have been by a joint committee of the American Bar Association and the made, the lawyer's obligations are determined by law, having American Arbitration Association or the Model Standards of reference to the terms of the client's agreement and the sur- Conduct for Mediators jointly prepared by the American Bar rounding circumstances. In no circumstances is the lawyer Association, the American Arbitration Association and the permitted to knowingly make a false statement of material fact Society of Professionals in Dispute Resolution. or law in providing an evaluation under this Rule. See Rule 4.1. Unlike nonlawyers who serve as third-party neutrals, law- Information relat- Obtaining Client's Informed Consent. yers serving in this role may experience unique problems as ing to an evaluation is protected by Rule 1.6. In many situa- a result of differences between the role of a third-party neutral tions, providing an evaluation to a third party poses no and a lawyer's service as a client representative. The potential significant risk to the client; thus, the lawyer may be impliedly for confusion is significant when the parties are unrepresented authorized to disclose information to carry out the representa- in the process. Thus, subsection (b) requires a lawyer-neutral tion. See Rule 1.6 (a). Where, however, it is reasonably likely to inform unrepresented parties that the lawyer is not repre- that providing the evaluation will affect the client's interests senting them. For some parties, particularly parties who fre- materially and adversely, the lawyer must first obtain the cli- quently use dispute-resolution processes, this information will ent's consent after the client has been adequately informed be sufficient. For others, particularly those who are using the concerning the important possible effects on the client's inter- process for the first time, more information will be required. ests. See Rules 1.6 (a) and 1.0 (f). Where appropriate, the lawyer should inform unrepresented When a Financial Auditors' Requests for Information. parties of the important differences between the lawyer's role question concerning the legal situation of a client arises at the as third-party neutral and a lawyer's role as a client representa- instance of the client's financial auditor and the question is tive, including the inapplicability of the attorney-client eviden- referred to the lawyer, the lawyer's response may be made tiary privilege as well as the inapplicability of the duty of in accordance with procedures recognized in the legal profes- confidentiality. The extent of disclosure required under this sion. Such a procedure is set forth in the American Bar Associ- subsection will depend on the particular parties involved and ation Statement of Policy Regarding Lawyers' Responses to the subject matter of the proceeding, as well as the particular Auditors' Requests for Information, adopted in 1975. features of the dispute-resolution process selected. A lawyer who serves as a third-party neutral subsequently Rule 2.4. Lawyer Serving as Third-Party may be asked to serve as a lawyer representing a client in Neutral the same matter. The conflicts of interest that arise for both (a) A lawyer serves as a third-party neutral the individual lawyer and the lawyer's law firm are addressed in Rule 1.12. when the lawyer assists two or more persons who Lawyers who represent clients in alternative dispute-resolu- are not clients of the lawyer to reach a resolution of tion processes are governed by the Rules of Professional a dispute or other matter that has arisen between Conduct. When the dispute-resolution process takes place them. Service as a third-party neutral may include before a tribunal, as in binding arbitration (see Rule 1.0 [n]), service as an arbitrator, a mediator or in such the lawyer's duty of candor is governed by Rule 3.3. Otherwise, other capacity as will enable the lawyer to assist the lawyer's duty of candor toward both the third-party neutral the parties to resolve the matter. and other parties is governed by Rule 4.1. 40 Copyrighted by the Secretary of the State of the State of Connecticut 

48 RULES OF PROFESSIONAL CONDUCT Rule 3.3 ADVOCATE Rule 3.3. Candor toward the Tribunal (a) A lawyer shall not knowingly: Rule 3.1. Meritorious Claims Con- and (1) Make a false statement of fact or law to a tentions tribunal or fail to correct a false statement of mate- A lawyer shall not bring or defend a proceeding, rial fact or law previously made to the tribunal by or assert or controvert an issue therein, unless the lawyer; there is a basis in law and fact for doing so that (2) Fail to disclose to the tribunal legal authority is not frivolous, which includes a good faith argu- in the controlling jurisdiction known to the lawyer ment for an extension, modification or reversal of to be directly adverse to the position of the client existing law. A lawyer for the defendant in a crimi- and not disclosed by opposing counsel; or nal proceeding, or the respondent in a proceeding (3) Offer evidence that the lawyer knows to be that could result in incarceration, may neverthe- false. If a lawyer, the lawyer's client, or a witness less so defend the proceeding as to require that called by the lawyer, has offered material evi- every element of the case be established. dence and the lawyer comes to know of its falsity, (P.B. 1978-1997, Rule 3.1.) (Amended June 26, 2006, to the lawyer shall take reasonable remedial mea- take effect Jan. 1, 2007.) sures, including, if necessary, disclosure to the COMMENTARY: The advocate has a duty to use legal tribunal. procedure for the fullest benefit of the client's cause, but also a duty not to abuse legal procedure. The law, both procedural (b) A lawyer who represents a client in an adju- and substantive, establishes the limits within which an advo- dicative proceeding and who knows that a person cate may proceed. However, the law is not always clear and intends to engage, is engaging or has engaged never is static. Accordingly, in determining the proper scope in criminal or fraudulent conduct related to the of advocacy, account must be taken of the law's ambiguities proceeding shall take reasonable remedial mea- and potential for change. sures, including, if necessary, disclosure to the The filing of an action or defense or similar action taken for a client is not frivolous merely because the facts have not tribunal. first been fully substantiated or because the lawyer expects (c) The duties stated in subsections (a) and (b) to develop vital evidence only by discovery. What is required continue at least to the conclusion of the proceed- of lawyers, however, is that they inform themselves about ing, and apply even if compliance requires disclo- the facts of their clients' cases and the applicable law and sure of information otherwise protected by Rule determine that they can make good faith arguments in support of their clients' positions. Such action is not frivolous even 1.6. though the lawyer believes that the client's position ultimately (d) In an ex parte proceeding, a lawyer shall will not prevail. The action is frivolous, however, if the lawyer inform the tribunal of all material facts known to is unable either to make a good faith argument on the merits the lawyer that will enable the tribunal to make of the action taken or to support the action taken by a good an informed decision, whether or not the facts faith argument for an extension, modification or reversal of are adverse. existing law. The lawyer's obligations under this Rule are subordinate (e) When, prior to judgment, a lawyer becomes to federal or state constitutional law that entitles a defendant aware of discussion or conduct by a juror which in a criminal matter to the assistance of counsel in presenting violates the trial court's instructions to the jury, a claim or contention that otherwise would be prohibited by the lawyer shall promptly report that discussion this Rule. or conduct to the trial judge. (P.B. 1978-1997, Rule 3.3.) Rule 3.2. Expediting Litigation COMMENTARY: This Rule governs the conduct of a lawyer A lawyer shall make reasonable efforts to expe- who is representing a client in the proceedings of a tribunal. dite litigation consistent with the interests of the See Rule 1.0 (n) for the definition of ``tribunal.'' It also applies client. 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, such as a deposition. Thus, for example, subsection (a) (3) COMMENTARY: Dilatory practices bring the administration requires a lawyer to take reasonable remedial measures if of justice into disrepute. Although there will be occasions when the lawyer comes to know that a client who is testifying in a a lawyer may properly seek a postponement for personal rea- deposition has offered evidence that is false. sons, it is not proper for a lawyer to routinely fail to expedite 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 41 Copyrighted by the Secretary of the State of the State of Connecticut 

49 RULES OF PROFESSIONAL CONDUCT Rule 3.3 not allow the tribunal to be misled by false statements of law will be false, the lawyer must honor the client's decision to or fact or evidence that the lawyer knows to be false. testify. Representations by a Lawyer. An advocate is responsible Remedial Measures. Having offered material evidence in for pleadings and other documents prepared for litigation, but the belief that it was true, a lawyer may subsequently come is usually not required to have personal knowledge of matters to know that the evidence is false. Or, a lawyer may be sur- asserted therein, for litigation documents ordinarily present prised when the lawyer's client, or another witness called by assertions by the client, or by someone on the client's behalf, the lawyer, offers testimony the lawyer knows to be false, and not assertions by the lawyer. Compare Rule 3.1. However, either during the lawyer's direct examination or in response an assertion purporting to be on the lawyer's own knowledge, to cross-examination by the opposing lawyer. In such situa- as in an affidavit by the lawyer or in a statement in open tions or if the lawyer knows of the falsity of testimony elicited court, may properly be made only when the lawyer knows the from the client during a deposition, the lawyer must take rea- assertion is true or believes it to be true on the basis of a sonable remedial measures. In such situations, the advocate's reasonably diligent inquiry. There are circumstances where proper course is to remonstrate with the client confidentially, failure to make a disclosure is the equivalent of an affirmative advise the client of the lawyer's duty of candor to the tribunal misrepresentation. The obligation prescribed in Rule 1.2 (d) and seek the client's cooperation with respect to the withdrawal not to counsel a client to commit or assist the client in commit- or correction of the false statements or evidence. If that fails, ting a fraud applies in litigation. Regarding compliance with the advocate must take further remedial action. If withdrawal Rule 1.2 (d), see the Commentary to that Rule. See also the from the representation is not permitted or will not undo the Commentary to Rule 8.4 (2). effect of the false evidence, the advocate must make such Legal argument based on a knowingly Legal Argument. disclosure to the tribunal as is reasonably necessary to remedy false representation of law constitutes dishonesty toward the the situation, even if doing so requires the lawyer to reveal tribunal. A lawyer is not required to make a disinterested expo- information that otherwise would be protected by Rule 1.6. It sition of the law, but must recognize the existence of pertinent is for the tribunal then to determine what should be done. legal authorities. Furthermore, as stated in subsection (a) (2), The disclosure of a client's false testimony can result in an advocate has a duty to disclose directly adverse authority grave consequences to the client, including not only a sense in the controlling jurisdiction that has not been disclosed by of betrayal but also loss of the case and perhaps a prosecution the opposing party. The underlying concept is that legal argu- for perjury. But the alternative is that the lawyer cooperate ment is a discussion seeking to determine the legal premises in deceiving the court, thereby subverting the truth-finding properly applicable to the case. process which the adversary system is designed to implement. Subsection (a) (3) requires that the Offering Evidence. 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 offered. If the persuasion is ineffective and the lawyer contin- dicative process, such as bribing, intimidating or otherwise ues to represent the client, the lawyer must refuse to offer the unlawfully communicating with a witness, juror, court official false evidence. If only a portion of a witness' testimony will or other participant in the proceeding, unlawfully destroying or be false, the lawyer may call the witness to testify but may concealing documents or other evidence or failing to disclose not elicit or otherwise permit the witness to present the testi- information to the tribunal when required by law to do so. mony that the lawyer knows is false. Thus, subsection (b) requires a lawyer to take reasonable The duties stated in subsections (a) and (b) apply to all remedial measures, including disclosure if necessary, when- lawyers, including defense counsel in criminal cases. In some ever the lawyer knows that a person, including the lawyer's jurisdictions, however, courts have required counsel to present client, intends to engage, is engaging or has engaged in crimi- the accused as a witness or to give a narrative statement if nal or fraudulent conduct related to the proceeding. Nothing the accused so desires, even if counsel knows that the testi- in Rule 3.3 (e) is meant to limit a lawyer's obligation to take mony or statement will be false. The obligation of the advocate appropriate action after judgment has entered. under the Rules of Professional Conduct is subordinate to A practical time limit on the obliga- Duration of Obligation. such requirements. tion to rectify false evidence or false statements of fact has The prohibition against offering false evidence only applies to be established. The conclusion of the proceeding is a rea- if the lawyer knows that the evidence is false. A lawyer's sonably definite point for the termination of the obligation. In reasonable belief that evidence is false does not preclude its criminal and juvenile delinquency matters, the duty to correct presentation to the trier of fact. A lawyer's knowledge that a newly discovered and material falsehood continues until evidence is false, however, can be inferred from the circum- the defendant or delinquent is discharged from custody or stances. See Rule 1.0 (g). Thus, although a lawyer should released from judicial supervision, whichever occurs later. The resolve doubts about the veracity of testimony or other evi- lawyer shall notify the tribunal that false evidence or false dence in favor of the client, the lawyer cannot ignore an obvi- statements of fact were made. ous falsehood. Ex Parte Proceedings. Ordinarily, an advocate has the Because of the special protections historically provided limited responsibility of presenting one side of the matters that criminal defendants, however, this Rule does not permit a a tribunal should consider in reaching a decision; the conflicting lawyer to refuse to offer the testimony of such a client where position is expected to be presented by the opposing party. the lawyer reasonably believes but does not know that the testimony will be false. Unless the lawyer knows the testimony However, in any ex parte proceeding, such as an application 42 Copyrighted by the Secretary of the State of the State of Connecticut 

50 RULES OF PROFESSIONAL CONDUCT Rule 3.5 for a temporary restraining order, there is no balance of presen- (7) Present, participate in presenting, or tation by opposing advocates. The object of an ex parte pro- threaten to present criminal charges solely to ceeding is nevertheless to yield a substantially just result. The obtain an advantage in a civil matter. judge has an affirmative responsibility to accord the absent (P.B. 1978-1997, Rule 3.4.) party just consideration. The lawyer for the represented party COMMENTARY: The procedure of the adversary system has the correlative duty to make disclosures of material facts contemplates that the evidence in a case is to be marshaled known to the lawyer and that the lawyer reasonably believes competitively by the contending parties. Fair competition in are necessary to an informed decision. the adversary system is secured by prohibitions against Normally, a lawyer's compliance with the duty Withdrawal. destruction or concealment of evidence, improperly influencing of candor imposed by this Rule does not require that the lawyer witnesses, obstructive tactics in discovery procedure, and withdraw from the representation of a client whose interests the like. will be or have been adversely affected by the lawyer's disclo- Documents and other items of evidence are often essential sure. The lawyer may, however, be required by Rule 1.16 (a) to establish a claim or defense. Subject to evidentiary privi- to seek permission of the tribunal to withdraw if the lawyer's leges, the right of an opposing party, including the government, compliance with this Rule's duty of candor results in such an to obtain evidence through discovery or subpoena is an extreme deterioration of the client-lawyer relationship that the important procedural right. The exercise of that right can be lawyer can no longer competently represent the client. Also frustrated if relevant material is altered, concealed or see Rule 1.16 (b) for the circumstances in which a lawyer will destroyed. Applicable law in many jurisdictions makes it an be permitted to seek a tribunal's permission to withdraw. In offense to destroy material for the purpose of impairing its connection with a request for permission to withdraw that is availability in a pending proceeding or one whose commence- premised on a client's misconduct, a lawyer may reveal infor- ment can be foreseen. Falsifying evidence is also generally a mation relating to the representation only to the extent reason- criminal offense. Subdivision (1) applies to evidentiary material ably necessary to comply with this Rule or as otherwise generally, including computerized information. Applicable law permitted by Rule 1.6. may permit a lawyer to take temporary possession of physical evidence of client crimes for the purpose of conducting a Rule 3.4. Fairness to Opposing Party and limited examination that will not alter or destroy material char- Counsel acteristics of the evidence. In such a case, applicable law may require the lawyer to turn the evidence over to the police or A lawyer shall not: other prosecuting authority, depending on the circumstances. (1) Unlawfully obstruct another party's access With regard to subdivision (2), it is not improper to pay a to evidence or unlawfully alter, destroy or conceal witness' expenses or to compensate an expert witness on terms permitted by law. The common law rule in most jurisdic- a document or other material having potential evi- tions is that it is improper to pay an occurrence witness any dentiary value. A lawyer shall not counsel or assist 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 client. See also Rule 4.2. (3) Knowingly disobey an obligation under the 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 refraining from giving such information. effect Jan. 1, 2008.) 43 Copyrighted by the Secretary of the State of the State of Connecticut 

51 RULES OF PROFESSIONAL CONDUCT Rule 3.5 has a legitimate interest in the conduct of judicial proceedings, COMMENTARY: Many forms of improper influence upon particularly in matters of general public concern. Furthermore, a tribunal are proscribed by criminal law. Others are specified the subject matter of legal proceedings is often of direct signifi- in the ABA Model Code of Judicial Conduct, with which an cance in debate and deliberations over questions of public advocate should be familiar. A lawyer is required to avoid policy. contributing to a violation of such provisions. (2) Special rules of confidentiality may validly govern pro- During a proceeding a lawyer may not communicate ex ceedings in juvenile, domestic relations and mental disability parte with persons serving in an official capacity in the proceed- proceedings, and perhaps other types of litigation. Rule 3.4 ing, such as judges, masters or jurors, unless authorized to (3) requires compliance with such Rules. do so by law or court order. (3) The Rule sets forth a basic general prohibition against A lawyer may on occasion want to communicate with a a lawyer making statements that the lawyer knows or should juror or prospective juror after the jury has been discharged. know will have a substantial likelihood of materially prejudicing The lawyer may do so unless the communication is prohibited an adjudicative proceeding. Recognizing that the public value by law or a court order but must respect the desire of the juror of informed commentary is great and the likelihood of prejudice not to talk with the lawyer. The lawyer may not engage in to a proceeding by the commentary of a lawyer who is not improper conduct during the communication. involved in the proceeding is small, the Rule applies only to The advocate's function is to present evidence and argu- lawyers who are, or who have been involved in the investiga- ment so that the cause may be decided according to law. tion or litigation of a case, and their associates. Refraining from abusive or obstreperous conduct is a corollary (4) Certain subjects would not ordinarily be considered to of the advocate's right to speak on behalf of litigants. A lawyer present a substantial likelihood of material prejudice, such as: may stand firm against abuse by a judge but should avoid (a) the claim, offense or defense involved and, except when reciprocation; the judge's default is no justification for similar prohibited by law, the identity of the persons involved; dereliction by an advocate. An advocate can present the (b) information contained in a public record; cause, protect the record for subsequent review and preserve (c) that an investigation of the matter is in progress; professional integrity by patient firmness no less effectively (d) the scheduling or result of any step in litigation; than by belligerence or theatrics. (e) a request for assistance in obtaining evidence and infor- mation necessary thereto; Rule 3.6. Trial Publicity (f) a warning of danger concerning the behavior of a person (a) A lawyer who is participating or has partici- involved, when there is reason to believe that there exists the pated in the investigation or litigation of a matter likelihood of substantial harm to an individual or to the public shall not make an extrajudicial statement that the interest; and lawyer knows or reasonably should know will be (g) in a criminal case: in addition to subparagraphs (a) through (f): disseminated by means of public communication (i) identity, residence, occupation and family status of the and will have a substantial likelihood of materially accused; prejudicing an adjudicative proceeding in the (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 (iv) the identity of investigating and arresting officers or may make a statement that a reasonable lawyer agencies and the length of the investigation. would believe is required to protect a client from (5) There are, on the other hand, certain subjects which the substantial undue prejudicial effect of recent are more likely than not to have a material prejudicial effect publicity not initiated by the lawyer or the lawyer's on a proceeding, particularly when they refer to a civil matter client. A statement made pursuant to this subsec- 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: (a) the character, credibility, reputation or criminal record essary to mitigate the recent adverse publicity. of a party, suspect in a criminal investigation or witness, or (c) No lawyer associated in a firm or govern- the identity of a witness, or the expected testimony of a party ment agency with a lawyer subject to subsection or witness; (a) shall make a statement prohibited by subsec- (b) in a criminal case or proceeding that could result in tion (a). incarceration, the possibility of a plea of guilty to the offense (P.B. 1978-1997, Rule 3.6.) (Amended June 24, 2002, to or the existence or contents of any confession, admission, or take effect Jan. 1, 2003; amended June 26, 2006, to take statement given by a defendant or suspect or that person's effect Jan. 1, 2007.) refusal or failure to make a statement; COMMENTARY: (1) It is difficult to strike a balance between (c) the performance or results of any examination or test protecting the right to a fair trial and safeguarding the right of or the refusal or failure of a person to submit to an examination free expression. Preserving the right to a fair trial necessarily or test, or the identity or nature of physical evidence expected entails some curtailment of the information that may be dis- to be presented; seminated about a party prior to trial, particularly where trial (d) any opinion as to the guilt or innocence of a defendant by jury is involved. If there were no such limits, the result or suspect in a criminal case or proceeding that could result would be the practical nullification of the protective effect of in incarceration; the rules of forensic decorum and the exclusionary rules of (e) information that the lawyer knows or reasonably should evidence. On the other hand, there are vital social interests know is likely to be inadmissible as evidence in a trial and served by the free dissemination of information about events that would, if disclosed, create a substantial risk of prejudicing having legal consequences and about legal proceedings them- an impartial trial; or selves. The public has a right to know about threats to its (f) the fact that a defendant has been charged with a crime, unless there is included therein a statement explaining that safety and measures aimed at assuring its security. It also 44 Copyrighted by the Secretary of the State of the State of Connecticut 

52 RULES OF PROFESSIONAL CONDUCT Rule 3.8 in such a situation the judge has firsthand knowledge of the the charge is merely an accusation and that the defendant is matter in issue; hence, there is less dependence on the adver- presumed innocent until and unless proven guilty. sary process to test the credibility of the testimony. (6) Another relevant factor in determining prejudice is the Apart from these two exceptions, subsection (a) (3) recog- nature of the proceeding involved. Criminal jury trials will be nizes that a balancing is required between the interests of the most sensitive to extrajudicial speech. Civil trials may be less client and those of the tribunal and the opposing party. Whether sensitive. Nonjury hearings and arbitration proceedings may the tribunal is likely to be misled or the opposing party is likely be even less affected. The Rule will still place limitations on to suffer prejudice depends on the nature of the case, the prejudical comments in these cases, but the likelihood of preju- importance and probable tenor of the lawyer's testimony, and dice may be different depending on the type of proceeding. the probability that the lawyer's testimony will conflict with that (7) Finally, extrajudicial statements that might otherwise of other witnesses. Even if there is risk of such prejudice, in raise a question under this Rule may be permissible when determining whether the lawyer should be disqualified, due they are made in response to statements made publicly by regard must be given to the effect of disqualification on the another party, another party's lawyer, or third persons, where lawyer's client. It is relevant that one or both parties could a reasonable lawyer would believe a public response is reasonably foresee that the lawyer would probably be a wit- required in order to avoid prejudice to the lawyer's client. When ness. The conflict of interest principles stated in Rules 1.7, prejudicial statements have been publicly made by others, 1.9 and 1.10 have no application to this aspect of the problem. responsive statements may have the salutary effect of less- Because the tribunal is not likely to be misled when a lawyer ening any resulting adverse impact on the adjudicative pro- acts as advocate in a trial in which another lawyer in the ceeding. Such responsive statements should be limited to lawyer's firm will testify as a necessary witness, subsection contain only such information as is necessary to mitigate (b) permits the lawyer to do so except in situations involving undue prejudice created by the statements made by others. a conflict of interest. (8) See Rule 3.8 (5) for additional duties of prosecutors in In determining if it is permissible to Conflict of Interest. connection with extrajudicial statements about criminal pro- act as advocate in a trial in which the lawyer will be a necessary ceedings. witness, the lawyer must also consider that the dual role may Rule 3.7. Lawyer as Witness give rise to a conflict of interest that will require compliance with Rules 1.7 or 1.9. For example, if there is likely to be (a) A lawyer shall not act as advocate at a trial substantial conflict between the testimony of the client and in which the lawyer is likely to be a necessary that of the lawyer, the representation involves a conflict of witness unless: interest that requires compliance with Rule 1.7. This would (1) The testimony relates to an uncontested be true even though the lawyer might not be prohibited by subsection (a) from simultaneously serving as advocate and issue; witness because the lawyer's disqualification would work a (2) The testimony relates to the nature and substantial hardship on the client. Similarly, a lawyer who value of legal services rendered in the case; or might be permitted to simultaneously serve as an advocate (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 lawyer is called as a witness on behalf of the client or is called (b) A lawyer may act as advocate in a trial in by the opposing party. Determining whether or not such a which another lawyer in the lawyer's firm is likely conflict exists is primarily the responsibility of the lawyer to be called as a witness unless precluded from involved. If there is a conflict of interest, the lawyer must secure doing so by Rule 1.7 or Rule 1.9. the client's informed consent, confirmed in writing. In some (P.B. 1978-1997, Rule 3.7.) (Amended June 26, 2006, to cases, the lawyer will be precluded from seeking the client's take effect Jan. 1, 2007.) 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 ``informed consent.'' also involve a conflict of interest between the lawyer and client. Subsection (b) provides that a lawyer is not disqualified The tribunal has proper objection Advocate-Witness Rule. from serving as an advocate because a lawyer with whom the when the trier of fact may be confused or misled by a lawyer lawyer is associated in a firm is precluded from doing so by serving as both advocate and witness. The opposing party has subsection (a). If, however, the testifying lawyer would also proper objection where the combination of roles may prejudice be disqualified by Rule 1.7 or Rule 1.9 from representing the that party's rights in the litigation. A witness is required to client in the matter, other lawyers in the firm will be precluded testify on the basis of personal knowledge, while an advocate from representing the client by Rule 1.10 unless the client is expected to explain and comment on evidence given by gives informed consent under the conditions stated in Rule 1.7. others. It may not be clear whether a statement by an advo- cate-witness should be taken as proof or as an analysis of Rule 3.8. Special Responsibilities of a Pros- the proof. ecutor To protect the tribunal, subsection (a) prohibits a lawyer The prosecutor in a criminal case shall: from simultaneously serving as advocate and necessary wit- (1) Refrain from prosecuting a charge that the ness except in those circumstances specified in subsections (a) (1) through (a) (3). Subsection (a) (1) recognizes that if prosecutor knows is not supported by probable the testimony will be uncontested, the ambiguities in the dual cause; role are purely theoretical. Subsection (a) (2) recognizes that (2) Make reasonable efforts to assure that the where the testimony concerns the extent and value of legal accused has been advised of the right to, and the services rendered in the action in which the testimony is procedure for obtaining, counsel and has been offered, permitting the lawyers to testify avoids the need for given reasonable opportunity to obtain counsel; a second trial with new counsel to resolve that issue. Moreover, 45 Copyrighted by the Secretary of the State of the State of Connecticut 

53 RULES OF PROFESSIONAL CONDUCT Rule 3.8 person did not commit, subdivision (6) requires prompt disclo- (3) Not seek to obtain from an unrepresented sure to a court and other appropriate authority, such as the accused a waiver of important pretrial rights, such Office of the Chief Public Defender, the Office of the Federal as the right to a preliminary hearing; Defender or the chief prosecutor of the jurisdiction where the (4) Make timely disclosure to the defense of all conviction occurred. When disclosure is made to the chief evidence or information known to the prosecutor prosecutor of the jurisdiction, that prosecutor must then inde- pendently evaluate his or her own ethical obligations under that tends to negate the guilt of the accused or this Rule with respect to the evidence. If the conviction was mitigates the offense, and, in connection with sen- obtained in the prosecutor's jurisdiction, subdivision (6) tencing, disclose to the defense and to the tribunal requires the prosecutor to promptly disclose the evidence to all unprivileged mitigating information known to the defendant and a court and other appropriate authority, the prosecutor, except when the prosecutor is such as the Office of the Chief Public Defender or the Office of the Federal Defender. Disclosure to a court shall be by relieved of this responsibility by a protective order written notice to the presiding judge of the jurisdiction in which of the tribunal; and the conviction was obtained, or, where the conviction was in (5) Exercise reasonable care to prevent investi- federal court, to the chief United States District Court Judge. gators, law enforcement personnel, employees Consistent with the objectives of Rules 4.2 and 4.3, disclosure or other persons assisting or associated with the to a represented defendant must be made through the defend- ant's counsel. If a defendant is not represented, or if the prose- prosecutor in a criminal case from making an cutor cannot determine if a defendant is represented, extrajudicial statement that the prosecutor would disclosure to the Office of the Chief Public Defender or the be prohibited from making under Rule 3.6. Office of the Federal Defender shall satisfy the requirement (6) When a prosecutor knows of new and credi- of notice to the defendant. The prosecutor may seek to delay ble evidence creating a reasonable probability disclosure by means of a protective order or other appropriate that a convicted defendant did not commit an measure to protect the safety of a witness, to secure the integrity of an ongoing investigation, or other similar purpose. offense of which the defendant was convicted, the Knowledge denotes the actual knowledge of the prosecutor prosecutor shall, unless a court authorizes delay: who is determining the scope of his or her own ethical duty (A) if the conviction was obtained outside the to act. A ``reasonable probability that the defendant did not prosecutor's jurisdiction, promptly disclose that commit an offense of which the defendant was convicted'' is evidence to a court and an appropriate author- ``a probability sufficient to undermine confidence in the out- come,'' as articulated in Maryland v. Brady , 373 U.S. 83, 87, ity, and Strickland v. 83 S. Ct. 1194, 10 L. Ed. 2d 215 (1963), and (B) if the conviction was obtained in the prose- , 466 U.S. 668, 694, 105 S. Ct. 2052, 80 L. Ed. Washington cutor's jurisdiction, promptly disclose that evi- 2d 674 (1984). The decision by a prosecutor to disclose infor- dence to the defendant, and a court and an mation to a defendant or an appropriate authority shall not be appropriate authority. deemed a concession that, and shall not ethically foreclose the (P.B. 1978-1997, Rule 3.8.) (Amended June 13, 2014, to prosecutor from contesting before a factfinder or an appellate take effect Jan. 1, 2015.) tribunal that, the evidence is new or credible or that it creates COMMENTARY: A prosecutor has the responsibility of a a reasonable probability that the defendant did not commit the offense. minister of justice and not simply that of an advocate. This responsibility carries with it specific obligations to see that A prosecutor's independent judgment, made in good faith, the defendant is accorded procedural justice and that guilt is that the new evidence is not of such nature as to trigger the 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 Rule 3.9. Advocate in Nonadjudicative Pro- to the Prosecution Function, which in turn are the product of 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 cative proceeding shall disclose that the measures by the prosecutor and knowing disregard of those appearance is in a representative capacity and obligations or a systematic abuse of prosecutorial discretion 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 46  Copyrighted by the Secretary of the State of the State of Connecticut

54 RULES OF PROFESSIONAL CONDUCT Rule 4.2 or fraud takes the form of a lie or misrepresentation. Ordinarily, applicable rules of procedure. See Rules 3.3 (a) through (c), 3.4 (a) through (c) and 3.5. a lawyer can avoid assisting a client's crime or fraud by with- drawing from the representation. Sometimes it may be neces- Lawyers have no exclusive right to appear before nonadju- sary for the lawyer to give notice of the fact of withdrawal and dicative bodies, as they do before a court. The requirements to disaffirm an opinion, document, affirmation or the like. In of this Rule therefore may subject lawyers to regulations inap- extreme cases, substantive law may require a lawyer to dis- plicable to advocates who are not lawyers. However, legisla- close information relating to the representation to avoid being tures and administrative agencies have a right to expect deemed to have assisted the client's crime or fraud. If the lawyers to deal with them as they deal with courts. lawyer can avoid assisting a client's crime or fraud only by This Rule only applies when a lawyer represents a client disclosing this information, then under subdivision (2) the law- in connection with an official hearing or meeting of a govern- yer is required to do so, unless the disclosure is prohibited by mental agency or a legislative body to which the lawyer or the Rule 1.6. lawyer's client is presenting evidence or argument. It does not apply to representation of a client in a negotiation or other Rule 4.2. Communication with Person Rep- bilateral transaction with a governmental agency or in connec- tion with an application for a license or other privilege or the resented by Counsel client's compliance with generally applicable reporting require- In representing a client, a lawyer shall not com- ments, such as the filing of income tax returns. Nor does it municate about the subject of the representation apply to the representation of a client in connection with an with a party the lawyer knows to be represented investigation or examination of the client's affairs conducted by another lawyer in the matter, unless the lawyer by government investigators or examiners. Representation in such matters is governed by Rules 4.1 through 4.4. has the consent of the other lawyer or is author- ized by law to do so. An otherwise unrepresented TRANSACTIONS WITH PERSONS party for whom a limited appearance has been OTHER THAN CLIENTS filed pursuant to Practice Book Section 3-8 (b) is considered to be unrepresented for purposes of Rule 4.1. Truthfulness in Statements to this Rule as to anything other than the subject Others matter of the limited appearance. When a limited In the course of representing a client a lawyer appearance has been filed for the party, and shall not knowingly: served on the other lawyer, or the other lawyer is (1) Make a false statement of material fact or otherwise notified that a limited appearance has law to a third person; or been filed or will be filed, that lawyer may directly (2) Fail to disclose a material fact when disclo- communicate with the party only about matters sure is necessary to avoid assisting a criminal or outside the scope of the limited appearance with- fraudulent act by a client, unless disclosure is out consulting with the party's limited appear- prohibited by Rule 1.6. ance lawyer. (P.B. 1978-1997, Rule 4.1.) (Amended June 26, 2006, to (P.B. 1978-1997, Rule 4.2.) (Amended June 14, 2013, to take effect Jan. 1, 2007.) take effect Oct. 1, 2013.) A lawyer is required COMMENTARY: Misrepresentation. COMMENTARY: This Rule does not prohibit communica- to be truthful when dealing with others on a client's behalf, tion with a party, or an employee or agent of a party, concerning but generally has no affirmative duty to inform an opposing matters outside the representation. For example, the existence party of relevant facts. A misrepresentation can occur if the of a controversy between a government agency and a private lawyer incorporates or affirms a statement of another person party, or between two organizations, does not prohibit a lawyer that the lawyer knows is false. Misrepresentations can also for either from communicating with nonlawyer representatives occur by partially true but misleading statements or omissions of the other regarding a separate matter. Also, parties to a that are the equivalent of affirmative false statements. For matter may communicate directly with each other and a lawyer dishonest conduct that does not amount to a false statement having independent justification for communicating with the or for misrepresentations by a lawyer other than in the course other party is permitted to do so. Communications authorized of representing a client, see Rule 8.4. by law include, for example, the right of a party to a controversy Statements of Fact. This Rule refers to statements of fact. with a government agency to speak with government officials Whether a particular statement should be regarded as one about the matter. of fact can depend on the circumstances. Under generally In the case of an organization, this Rule prohibits communi- accepted conventions in negotiation, certain types of state- cations by a lawyer for one party concerning the matter in ments ordinarily are not taken as statements of material fact. representation with persons having a managerial responsibility Estimates of price or value placed on the subject of a transac- on behalf of the organization, and with any other person whose tion and a party's intentions as to an acceptable settlement act or omission in connection with that matter may be imputed of a claim are ordinarily in this category, and so is the existence to the organization for purposes of civil or criminal liability or of an undisclosed principal except where nondisclosure of the whose statement may constitute an admission on the part of principal would constitute fraud. Lawyers should be mindful the organization. If an agent or employee of the organization of their obligations under applicable law to avoid criminal and is represented in the matter by his or her own counsel, the tortious misrepresentation. consent by that counsel to a communication will be sufficient Under Rule 1.2 (d), a lawyer Crime or Fraud by Client. for purposes of this Rule. (Compare Rule 3.4). is prohibited from counseling or assisting a client in conduct This Rule also covers any person, whether or not a party that the lawyer knows is criminal or fraudulent. Subdivision to a formal proceeding, who is represented by counsel con- (2) states a specific application of the principle set forth in Rule 1.2 (d) and addresses the situation where a client's crime cerning the matter in question. 47 Copyrighted by the Secretary of the State of the State of Connecticut 

55 RULES OF PROFESSIONAL CONDUCT Rule 4.3 Rule 4.3. Dealing with electronically stored information was inadver- Unrepresented Person tently sent shall promptly notify the sender. (P.B. 1978-1997, Rule 4.4.) (Amended June 26, 2006, to In dealing on behalf of a client with a person take effect Jan. 1, 2007; amended June 14, 2013, to take who is not represented by counsel, in whole or in effect Jan. 1, 2014.) part, a lawyer shall not state or imply that the COMMENTARY: Responsibility to a client requires a lawyer lawyer is disinterested. When the lawyer knows to subordinate the interests of others to those of the client, but that responsibility does not imply that a lawyer may disre- or reasonably should know that the unrepresented gard the rights of third persons. It is impractical to catalogue person misunderstands the lawyer's role in the all such rights, but they include legal restrictions on methods matter, the lawyer shall make reasonable efforts of obtaining evidence from third persons and unwarranted to correct the misunderstanding. The lawyer shall intrusions into privileged relationships, such as the client-law- not give legal advice to an unrepresented person, yer relationship. other than the advice to secure counsel, if the Subsection (b) recognizes that lawyers sometimes receive a document or electronically stored information that was mis- lawyer knows or reasonably should know that the takenly sent or produced by opposing parties or their lawyers. interests of such a person are or have a reason- A document or electronically stored information is inadvertently able possibility of being in conflict with the inter- sent when it is accidentally transmitted, such as when an ests of the client. e-mail or letter is misaddressed or a document or electronically (P.B. 1978-1997, Rule 4.3.) (Amended June 26, 2006, to stored information is accidentally included with information that take effect Jan. 1, 2007; amended June 14, 2013, to take was intentionally transmitted. If a lawyer knows or reasonably effect Oct. 1, 2013.) should know that such a document or electronically stored COMMENTARY: An unrepresented person, particularly information was sent inadvertently, then this Rule requires the one not experienced in dealing with legal matters, might lawyer to promptly notify the sender in order to permit that assume that a lawyer is disinterested in loyalties or is a disinter- person to take protective measures. Whether the lawyer is ested authority on the law even when the lawyer represents required to take additional steps, such as returning the docu- a client. In order to avoid a misunderstanding, a lawyer will ment or electronically stored information, is a matter of law typically need to identify the lawyer's client and, where neces- beyond the scope of these Rules, as is the question of whether sary, explain that the client has interests opposed to those of the privilege status of a document or electronically stored the unrepresented person. For misunderstandings that some- information has been waived. Similarly, this Rule does not times arise when a lawyer for an organization deals with an address the legal duties of a lawyer who receives a document unrepresented constituent, see Rule 1.13 (d). or electronically stored information that the lawyer knows or The Rule distinguishes between situations involving unrep- reasonably should know may have been inappropriately resented persons whose interests may be adverse to those obtained by the sending person. For purposes of this Rule, of the lawyer's client and those in which the person's interests ``document or electronically stored information'' includes, in are not in conflict with the client's. In the former situation, the addition to paper documents, e-mail and other forms of elec- possibility that the lawyer will compromise the unrepresented tronically stored information, including embedded data (com- person's interests is so great that the Rule prohibits the giving monly referred to as ``metadata''), that is subject to being read of any advice, apart from the advice to obtain counsel. Whether or put into readable form. Metadata in electronic documents a lawyer is giving impermissible advice may depend on the creates an obligation under this Rule only if the receiving experience and sophistication of the unrepresented person, lawyer knows or reasonably should know that the metadata as well as the setting in which the behavior and comments was inadvertently sent to the receiving lawyer. occur. This Rule does not prohibit a lawyer from negotiating Some lawyers may choose to return a document or delete the terms of a transaction or settling a dispute with an unrepre- electronically stored information unread, for example, when sented person. So long as the lawyer has explained that the the lawyer learns before receiving it that it was inadvertently lawyer represents an adverse party and is not representing sent. Where a lawyer is not required by applicable law to do the person, the lawyer may inform the person of the terms on so, the decision to voluntarily return such a document or delete which the lawyer's client will enter into an agreement or settle a electronically stored information is a matter of professional matter, prepare documents that require the person's signature judgment ordinarily reserved to the lawyer. See Rules 1.2 and explain the lawyer's own view of the meaning of the docu- and 1.4. ment or the lawyer's view of the underlying legal obligations. See Rule 3.8 for particular duties of prosecutors in dealing LAW FIRMS AND ASSOCIATIONS with unrepresented persons. Rule 5.1. Responsibilities of Partners, Man- Rule 4.4. Respect for Rights Third of agers, and Supervisory Lawyers Persons (Amended June 26, 2006, to take effect Jan. 1, 2007.) (a) In representing a client, a lawyer shall not (a) A partner in a law firm, and a lawyer who use means that have no substantial purpose other individually or together with other lawyers pos- than to embarrass, delay, or burden a third per- sesses comparable managerial authority in a law son, or use methods of obtaining evidence that firm, shall make reasonable efforts to ensure that violate the legal rights of such a person. the firm has in effect measures giving reasonable (b) A lawyer who receives a document or elec- assurance that all lawyers in the firm conform to tronically stored information relating to the repre- the Rules of Professional Conduct. sentation of the lawyer's client and knows or (b) A lawyer having direct supervisory authority reasonably should know that the document or over another lawyer shall make reasonable efforts 48 Copyrighted by the Secretary of the State of the State of Connecticut 

56 RULES OF PROFESSIONAL CONDUCT Rule 5.3 Appropriate remedial action by a partner or managing lawyer to ensure that the other lawyer conforms to the would depend on the immediacy of that lawyer's involvement Rules of Professional Conduct. and the seriousness of the misconduct. A supervisor is (c) A lawyer shall be responsible for another required to intervene to prevent avoidable consequences of lawyer's violation of the Rules of Professional misconduct if the supervisor knows that the misconduct Conduct if: occurred. Thus, if a supervising lawyer knows that a subordi- nate misrepresented a matter to an opposing party in negotia- (1) The lawyer orders or, with knowledge of the tion, the supervisor as well as the subordinate has a duty to specific conduct, ratifies the conduct involved; or correct the resulting misapprehension. (2) The lawyer is a partner or has comparable Professional misconduct by a lawyer under supervision managerial authority in the law firm in which the could reveal a violation of subsection (b) on the part of the other lawyer practices, or has direct supervisory supervisory lawyer even though it does not entail a violation authority over the other lawyer, and knows of the of subsection (c) because there was no direction, ratification or knowledge of the violation. conduct at a time when its consequences can be Apart from this Rule and Rule 8.4 (1), a lawyer does not avoided or mitigated but fails to take reasonable have disciplinary liability for the conduct of a partner, associate remedial action. or subordinate. Whether a lawyer may be liable civilly or crimi- (P.B. 1978-1997, Rule 5.1.) (Amended June 26, 2006, to nally for another lawyer's conduct is a question of law beyond take effect Jan. 1, 2007.) the scope of these Rules. COMMENTARY: Subsection (a) applies to lawyers who The duties imposed by this Rule on managing and supervis- have managerial authority over the professional work of a firm. ing lawyers do not alter the personal duty of each lawyer in See Rule 1.0 (d). This includes members of a partnership, a firm to abide by the Rules of Professional Conduct. See the shareholders in a law firm organized as a professional Rule 5.2 (a). corporation, and members of other associations authorized to practice law; lawyers having comparable managerial authority Rule 5.2. Responsibilities of a Subordinate in a legal services organization or a law department of an Lawyer enterprise or government agency; and lawyers who have inter- mediate managerial responsibilities in a firm. Subsection (b) A lawyer is bound by the Rules of Professional applies to lawyers who have supervisory authority over the Conduct notwithstanding that that lawyer acted at work of other lawyers in a firm. the direction of another person. Subsection (a) requires lawyers with managerial authority (P.B. 1978-1997, Rule 5.2.) (Amended June 26, 2006, to within a firm to make reasonable efforts to establish internal take effect Jan. 1, 2007.) policies and procedures designed to provide reasonable COMMENTARY: Although a lawyer is not relieved of assurance that all lawyers in the firm will conform to the Rules responsibility for a violation by the fact that the lawyer acted of Professional Conduct. Such policies and procedures include at the direction of a supervisor, that fact may be relevant in those designed to detect and resolve conflicts of interest, iden- determining whether a lawyer had the knowledge required to tify dates by which actions must be taken in pending matters, render conduct a violation of the Rules. For example, if a account for client funds and property and ensure that inexperi- subordinate filed a frivolous pleading at the direction of a enced lawyers are properly supervised. supervisor, the subordinate would not be guilty of a profes- Other measures that may be required to fulfill the responsi- sional violation unless the subordinate knew of the document's bility prescribed in subsection (a) can depend on the firm's frivolous character. structure and the nature of its practice. In a small firm of When lawyers in a supervisor-subordinate relationship experienced lawyers, informal supervision and periodic review encounter a matter involving professional judgment as to ethi- of compliance with the required systems ordinarily will suffice. cal duty, the supervisor may assume responsibility for making In a large firm, or in practice situations in which difficult ethical the judgment. Otherwise a consistent course of action or posi- problems frequently arise, more elaborate measures may be tion could not be taken. If the question can reasonably be necessary. Some firms, for example, have a procedure answered only one way, the duty of both lawyers is clear and whereby junior lawyers can make confidential referral of ethical they are equally responsible for fulfilling it. However, if the problems directly to a designated senior partner or special question is reasonably arguable, someone has to decide upon committee. See Rule 5.2. Firms, whether large or small, may the course of action. That authority ordinarily reposes in the also rely on continuing legal education in professional ethics. supervisor, and a subordinate may be guided accordingly. For In any event, the ethical atmosphere of a firm can influence example, if a question arises whether the interests of two the conduct of all its members and the partners may not clients conflict under Rule 1.7, the supervisor's reasonable assume that all lawyers associated with the firm will inevitably resolution of the question should protect the subordinate pro- conform to the Rules. fessionally if the resolution is subsequently challenged. Subsection (c) expresses a general principle of personal responsibility for acts of another. See also Rule 8.4 (1). Rule 5.3. Responsibilities regarding Non- Subsection (c) (2) defines the duty of a partner or other lawyer Assistance lawyer having comparable managerial authority in a law firm, (Amended June 13, 2014, to take effect Jan. 1, 2015.) as well as a lawyer who has direct supervisory authority over performance of specific legal work by another lawyer. Whether With respect to a nonlawyer employed or a lawyer has supervisory authority in particular circumstances retained by or associated with a lawyer: is a question of fact. Partners and lawyers with comparable (1) A partner, and a lawyer who individually or authority have at least indirect responsibility for all work being together with other lawyers possesses compara- done by the firm, while a partner or manager in charge of a ble managerial authority in a law firm shall make particular matter ordinarily also has supervisory responsibility for the work of other firm lawyers engaged in the matter. reasonable efforts to ensure that the firm has in 49 Copyrighted by the Secretary of the State of the State of Connecticut 

57 RULES OF PROFESSIONAL CONDUCT Rule 5.3 of the services involved; the terms of any arrangements con- effect measures giving reasonable assurance that cerning the protection of client information; and the legal and the person's conduct is compatible with the pro- ethical environments of the jurisdictions in which the services fessional obligations of the lawyer; will be performed, particularly with regard to confidentiality. (2) A lawyer having direct supervisory authority See also Rules 1.1 (competence), 1.2 (allocation of authority), over the nonlawyer shall make reasonable efforts 1.4 (communication with client), 1.6 (confidentiality), 5.4 (a) (professional independence of the lawyer), and 5.5 (a) (unau- to ensure that the person's conduct is compatible thorized practice of law). When retaining or directing a nonlaw- with the professional obligations of the lawyer; and yer outside the firm, a lawyer should communicate directions (3) A lawyer shall be responsible for conduct appropriate under the circumstances to give reasonable assur- of such a person that would be a violation of the ance that the nonlawyer's conduct is compatible with the pro- Rules of Professional Conduct if engaged in by a fessional obligations of the lawyer. lawyer if: Where the client directs the selection of a particular nonlaw- yer service provider outside the firm, the lawyer may need (A) The lawyer orders or, with the knowledge to consult with the client to determine how the outsourcing of the specific conduct, ratifies the conduct arrangement should be structured and who will be responsible involved; or for monitoring the performance of the nonlawyer services. (B) The lawyer is a partner or has comparable Unless the client expressly agrees that the client will be respon- managerial authority in the law firm in which the sible for monitoring the nonlawyer's services, the lawyer will person is employed, or has direct supervisory be responsible for monitoring the nonlawyer's services. authority over the person, and knows of the con- Rule 5.4. Professional Independence of a duct at a time when its consequences can be Lawyer avoided or mitigated but fails to take reasonable remedial action. (a) A lawyer or law firm shall not share legal (P.B. 1978-1997, Rule 5.3.) (Amended June 26, 2006, to fees with a nonlawyer, except that: take effect Jan. 1, 2007.) (1) An agreement by a lawyer with the lawyer's COMMENTARY: Lawyers generally employ assistants in firm, partner, or associate may provide for the their practice, including secretaries, investigators, law student payment of money, over a reasonable period of interns, and paraprofessionals. Such assistants, whether time after the lawyer's death, to the lawyer's estate employees or independent contractors, act for the lawyer in rendition of the lawyer's professional services. A lawyer must or to one or more specified persons; give such assistants appropriate instruction and supervision (2) A lawyer who purchases the practice of a concerning the ethical aspects of their employment, particu- deceased, disabled or disappeared lawyer may, larly regarding the obligation not to disclose information relat- pursuant to the provisions of Rule 1.17, pay to ing to representation of the client, and should be responsible the estate or other representative of that lawyer for their work product. The measures employed in supervising the agreed upon purchase price; and nonlawyers should take account of the fact that they do not have legal training and are not subject to professional dis- (3) A lawyer or law firm may include nonlawyer cipline. employees in a compensation or retirement plan, Subdivision (1) requires lawyers with managerial authority even though the plan is based in whole or in part within a law firm to make reasonable efforts to ensure that on a profit-sharing arrangement. the firm has in effect measures giving reasonable assurance (b) A lawyer shall not form a partnership with a that nonlawyers in the firm and nonlawyers outside the firm nonlawyer if any of the activities of the partnership who work on firm matters act in a way compatible with the professional obligations of the lawyer. See Commentary to consist of the practice of law. Rule 1.1 and first paragraph of Commentary to Rule 5.1. Subdi- (c) A lawyer shall not permit a person who rec- vision (2) applies to lawyers who have supervisory authority ommends, employs, or pays the lawyer to render over such nonlawyers within or outside the firm. Subdivision legal services for another to direct or regulate the (3) specifies the circumstances in which a lawyer is responsible lawyer's professional judgment in rendering such for the conduct of such nonlawyers within or outside the firm legal services. that would be a violation of the Rules of Professional Conduct if engaged in by a lawyer. (d) A lawyer shall not practice with or in the Nonlawyers Outside the Firm. A lawyer may use nonlaw- form of a professional corporation or association yers outside the firm to assist the lawyer in rendering legal authorized to practice law for a profit, if: services to the client. Examples include the retention of an (1) A nonlawyer owns any interest therein, investigative or paraprofessional service, hiring a document except that a fiduciary representative of the estate management company to create and maintain a database for of a lawyer may hold the stock or interest of the complex litigation, sending client documents to a third party for printing or scanning, and using an Internet-based service lawyer for a reasonable time during adminis- to store client information. When using such services outside tration; the firm, a lawyer must make reasonable efforts to ensure that (2) A nonlawyer is a corporate director or officer the services are provided in a manner that is compatible with thereof or occupies the position of similar respon- the lawyer's professional obligations. The extent of this obliga- sibility in any form of association other than a tion will depend upon the circumstances, including the educa- tion, experience and reputation of the nonlawyer; the nature corporation; or 50 Copyrighted by the Secretary of the State of the State of Connecticut 

58 RULES OF PROFESSIONAL CONDUCT Rule 5.5 (3) A nonlawyer has the right to direct or control admis- pro hac vice for which the forum requires sion; or the professional judgment of a lawyer. (P.B. 1978-1997, Rule 5.4.) (Amended June 26, 2006, to (4) are not within subdivisions (c) (2) or (c) (3) take effect Jan. 1, 2007.) and arise out of or are substantially related to the COMMENTARY: The provisions of this Rule express tradi- legal services provided to an existing client of tional limitations on sharing fees. These limitations are to pro- the lawyer's practice in a jurisdiction in which the tect the lawyer's professional independence of judgment. lawyer is admitted to practice. Where someone other than the client pays the lawyer's fee (d) A lawyer admitted to practice in another or salary, or recommends employment of the lawyer, that jurisdiction, and not disbarred or suspended from arrangement does not modify the lawyer's obligation to the client. As stated in subsection (c), such arrangements should practice in any jurisdiction, may provide legal ser- not interfere with the lawyer's professional judgment. vices in this jurisdiction that: This Rule also expresses traditional limitations on permit- (1) the lawyer is authorized to provide pursuant ting a third party to direct or regulate the lawyer's professional to Practice Book Section 2-15A and the lawyer is judgment in rendering legal services to another. See also Rule an authorized house counsel as provided in that 1.8 (f) (lawyer may accept compensation from a third party as section; or long as there is no interference with the lawyer's independent (2) the lawyer is authorized by federal or other professional judgment and the client gives informed consent). law or rule to provide in this jurisdiction. Rule 5.5. Unauthorized Practice of Law (e) A lawyer not admitted to practice in this jurisdiction and authorized by the provisions of (a) A lawyer shall not practice law in a jurisdic- this Rule to engage in providing legal services on tion in violation of the regulation of the legal pro- a temporary basis in this jurisdiction is thereby fession in that jurisdiction, or assist another in subject to the disciplinary rules of this jurisdiction doing so. The practice of law in this jurisdiction is with respect to the activities in this jurisdiction. defined in Practice Book Section 2-44A. Conduct (f) A lawyer desirous of obtaining the privileges described in subsections (c) and (d) in another set forth in subsections (c) (3) or (4): (1) shall jurisdiction shall not be deemed the unauthorized notify the statewide bar counsel as to each sepa- practice of law for purposes of this subsection (a). rate matter prior to any such representation in (b) A lawyer who is not admitted to practice in Connecticut, (2) shall notify the statewide bar this jurisdiction, shall not: counsel upon termination of each such represen- (1) except as authorized by law, establish an tation in Connecticut, and (3) shall pay such fees office or other systematic and continuous pres- as may be prescribed by the Judicial Branch. ence in this jurisdiction for the practice of law; or (P.B. 1978-1997, Rule 5.5.) (Amended June 28, 1999, to (2) hold out to the public or otherwise represent take effect Jan. 1, 2000; amended June 24, 2002, to take 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, 2009; amended June 15, 2012, to take effect Jan. 1, 2013; (c) A lawyer admitted in another United States amended June 13, 2014, to take effect Jan. 1, 2015.) jurisdiction which accords similar privileges to COMMENTARY: A lawyer may practice law only in a juris- Connecticut lawyers in its jurisdiction, and pro- diction in which the lawyer is authorized to practice. A lawyer vided that the lawyer is not disbarred or sus- 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- section (a) applies to unauthorized practice of law by a lawyer, jurisdiction, that: whether through the lawyer's direct action or by the lawyer's (1) are undertaken in association with a lawyer assisting another person. For example, a lawyer may not assist who is admitted to practice in this jurisdiction and a person in practicing law in violation of the rules governing who actively participates in the matter; 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 to nonlawyers whose employment requires knowledge of the potential proceeding before a tribunal in this or law; for example, claims adjusters, employees of financial another jurisdiction, if the lawyer, or a person the or commercial institutions, social workers, accountants and lawyer is assisting, is authorized by law or order persons employed in government agencies. Lawyers also may to appear in such proceeding or reasonably assist independent nonlawyers, such as paraprofessionals, expects to be so authorized; who are authorized by the law of a jurisdiction to provide particular law-related services. In addition, a lawyer may coun- (3) are in or reasonably related to a pending or sel nonlawyers who wish to proceed as self-represented potential mediation or other alternative dispute parties. resolution proceeding in this or another jurisdic- Other than as authorized by law or this Rule, a lawyer who tion, with respect to a matter that is substantially is not admitted to practice generally in this jurisdiction violates related to, or arises in, a jurisdiction in which the subsection (b) (1) if the lawyer establishes an office or other lawyer is admitted to practice and are not services systematic and continuous presence in this jurisdiction for the 51 Copyrighted by the Secretary of the State of the State of Connecticut 

59 RULES OF PROFESSIONAL CONDUCT Rule 5.5 practice of law. Presence may be systematic and continuous potential witnesses, and the review of documents. Similarly, even if the lawyer is not physically present here. Such a lawyer a lawyer admitted only in another jurisdiction may engage must not hold out to the public or otherwise represent that the in conduct temporarily in this jurisdiction in connection with lawyer is admitted to practice law in this jurisdiction. See also pending litigation in another jurisdiction in which the lawyer is or reasonably expects to be authorized to appear, including Rules 7.1 (a) and 7.5 (b). A lawyer not admitted to practice in this jurisdiction who engages in repeated and frequent activi- taking depositions in this jurisdiction. ties of a similar nature in this jurisdiction such as the prepara- When a lawyer has been or reasonably expects to be admit- tion and/or recording of legal documents (loans and ted to appear before a court or administrative agency, subdivi- mortgages) involving residents or property in this state may sion (c) (2) also permits conduct by lawyers who are associated with that lawyer in the matter, but who do not expect to appear be considered to have a systematic and continuous presence in this jurisdiction that would not be authorized by this Rule before the court or administrative agency. For example, subor- and could, thereby, be considered to constitute unauthorized dinate lawyers may conduct research, review documents, and practice of law. attend meetings with witnesses in support of the lawyer There are occasions in which a lawyer admitted to practice responsible for the litigation. in another United States jurisdiction, and not disbarred or Subdivision (c) (3) permits a lawyer admitted to practice law in another jurisdiction to perform services on a temporary suspended from practice in any jurisdiction, may provide legal services on a temporary basis in this jurisdiction under circum- basis in this jurisdiction if those services are in or reasonably stances that do not create an unreasonable risk to the interests related to a pending or potential mediation or other alternative of their clients, the public or the courts. Subsection (c) identifies dispute resolution proceeding in this or another jurisdiction, if the services are with respect to a matter that is substantially four such circumstances. The fact that conduct is not so identi- related to, or arises out of, a jurisdiction in which the lawyer fied does not imply that the conduct is or is not authorized. is admitted to practice. The lawyer, however, must obtain With the exception of subdivisions (d) (1) and (d) (2), this Rule in the case of a court-annexed arbitra- admission pro hac vice does not authorize a lawyer to establish an office or other tion or mediation or otherwise if court rules or law so require. systematic and continuous presence in this jurisdiction without 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 basis in this jurisdiction if they arise out of or are substantially a ``temporary basis'' in this jurisdiction and may, therefore, be 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 that nonlawyers may perform but that are considered the prac- representing a client in a single lengthy negotiation or litigation. tice of law when performed by lawyers. Subsection (c) applies to lawyers who are admitted to prac- Subdivision (c) (3) requires that the services be with respect tice law in any United States jurisdiction, which includes the to a matter that is substantially related to, or arises out of, a District of Columbia and any state, territory or commonwealth jurisdiction in which the lawyer is admitted. A variety of factors of the United States. The word ``admitted'' in subsection (c) 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 resulting legal issues involve multiple jurisdictions. Subdivision jurisdiction associates with a lawyer licensed to practice in this jurisdiction. For this subdivision to apply, however, the (c) (4) requires that the services provided in this jurisdiction in which the lawyer is not admitted to practice be for (1) an lawyer admitted to practice in this jurisdiction must actively existing client, i.e., one with whom the lawyer has a previous participate in and share responsibility for the representation 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 the lawyer is admitted to practice. Without both, the lawyer is trative agency to appear before the tribunal or agency. This prohibited from practicing law in the jurisdiction in which the authority may be granted pursuant to formal rules governing admission lawyer is not admitted to practice. pro hac vice or pursuant to informal practice of the Subdivision (d) (2) recognizes that a lawyer may provide tribunal or agency. Under subdivision (c) (2), a lawyer does 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, which includes statute, court rule, executive regulation or judi- court rule or other law of this jurisdiction requires a lawyer cial precedent. who is not admitted to practice in this jurisdiction to obtain admission pro hac vice A lawyer who practices law in this jurisdiction pursuant to before appearing before a tribunal or subsections (c) or (d) or otherwise is subject to the disciplinary administrative agency, this Rule requires the lawyer to obtain 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 inform the client that the lawyer is not licensed to practice law violate this Rule when the lawyer engages in conduct in antici- in this jurisdiction. pation of a proceeding or hearing in a jurisdiction in which the Subsections (c) and (d) do not authorize communications lawyer is authorized to practice law or in which the lawyer advertising legal services in this jurisdiction by lawyers who reasonably expects to be admitted pro hac vice . Examples of such conduct include meetings with the client, interviews of are admitted to practice in other jurisdictions. Whether and 52 Copyrighted by the Secretary of the State of the State of Connecticut 

60 RULES OF PROFESSIONAL CONDUCT Rule 6.3 or otherwise support the provision of legal services to the how lawyers may communicate the availability of their services disadvantaged. The provision of free legal services to those in this jurisdiction is governed by Rules 7.1 to 7.5. unable to pay reasonable fees continues to be an obligation Rule 5.6. Restrictions on Right To Practice of each lawyer as well as the profession generally, but the efforts of individual lawyers are often not enough to meet the A lawyer shall not participate in offering or need. Thus, it has been necessary for the profession and making: government to institute additional programs to provide legal (1) A partnership, shareholders, operating, services. Accordingly, legal aid offices, lawyer referral services employment, or other similar type of agreement and other related programs have been developed, and others will be developed by the profession and government. Every that restricts the right of a lawyer to practice after lawyer should support all proper efforts to meet this need for termination of the relationship, except an legal services. Law firms should act reasonably to enable and agreement concerning benefits upon retirement; encourage all lawyers in the firm to provide the pro bono legal or services recommended by this Rule. (2) An agreement in which a restriction on the Rule 6.2. Accepting Appointments lawyer's right to practice is part of the settlement of a client controversy. A lawyer shall not seek to avoid appointment (P.B. 1978-1997, Rule 5.6.) (Amended June 26, 2006, to by a tribunal to represent a person except for good take effect Jan. 1, 2007.) cause, such as: 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. relationship or the lawyer's ability to represent This Rule does not apply to prohibit restrictions that may 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 bono publico service. See Rule 6.1. An individual lawyer fulfills A lawyer should render public interest legal ser- this responsibility by accepting a fair share of unpopular mat- vice. A lawyer may discharge this responsibility 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 cause exists if the lawyer could not handle the matter compe- financial support for organizations that provide tently, see Rule 1.1, or if undertaking the representation would legal services to persons of limited means. result in an improper conflict of interest, for example, when (P.B. 1978-1997, Rule 6.1.) the client or the cause is so repugnant to the lawyer as to be COMMENTARY: The ABA House of Delegates has formally likely to impair the client-lawyer relationship or the lawyer's acknowledged ``the basic responsibility of each lawyer ability to represent the client. A lawyer may also seek to decline engaged in the practice of law to provide public interest legal an appointment if acceptance would be unreasonably burden- services'' without fee, or at a substantially reduced fee in one some, for example, when it would impose a financial sacrifice or more of the following areas: poverty law, civil rights law, so great as to be unjust. public rights law, charitable organization representation and An appointed lawyer has the same obligations to the client the administration of justice. This Rule expresses that policy as retained counsel, including the obligations of loyalty and but is not intended to be enforced through disciplinary process. confidentiality, and is subject to the same limitations on the The rights and responsibilities of individuals and organiza- client-lawyer relationship, such as the obligation to refrain from tions in the United States are increasingly defined in legal assisting the client in violation of the Rules. terms. As a consequence, legal assistance in coping with the web of statutes, rules and regulations is imperative for persons Rule 6.3. Membership in Legal Services of modest and limited means, as well as for the relatively well- Organization to-do. The basic responsibility for providing legal services for those A lawyer may serve as a director, officer or unable to pay ultimately rests upon the individual lawyer, and member of a legal services organization, apart personal involvement in the problems of the disadvantaged from the law firm in which the lawyer practices, can be one of the most rewarding experiences in the life of a notwithstanding that the organization serves per- lawyer. Every lawyer, regardless of professional prominence or professional workload, should find time to participate in sons having interests adverse to a client of the 53 Copyrighted by the Secretary of the State of the State of Connecticut 

61 RULES OF PROFESSIONAL CONDUCT Rule 6.3 lawyer. The lawyer shall not knowingly participate (1) is subject to Rules 1.7 and 1.9 (a) only if the lawyer knows that the representation of the in a decision or action of the organization: client involves a conflict of interest; and (1) If participating in the decision or action would (2) is subject to Rule 1.10 only if the lawyer be incompatible with the lawyer's obligations to a knows that another lawyer associated with the client under Rule 1.7; or lawyer in a law firm is disqualified by Rule 1.7 or (2) Where the decision or action could have a 1.9 (a) with respect to the matter. material adverse effect on the representation of (b) A lawyer who provides short-term limited a client of the organization whose interests are legal services pursuant to this Rule must secure adverse to a client of the lawyer. the client's informed consent to the limited scope (P.B. 1978-1997, Rule 6.3.) COMMENTARY: Lawyers should be encouraged to support of the representation. See Rule 1.2 (c). If a short- and participate in legal services organizations. A lawyer who term limited representation would not be reason- is an officer or a member of such an organization does not able under the circumstances, the lawyer may thereby have a client-lawyer relationship with persons served offer advice to the client but must also advise the by the organization. However, there is potential conflict client of the need for further assistance of counsel. between the interests of such persons and the interests of the Except as provided in this Rule, the Rules of Pro- lawyer's clients. If the possibility of such conflict disqualified fessional Conduct, including Rules 1.6 and 1.9 a lawyer from serving on the board of a legal services organiza- tion, the profession's involvement in such organizations would (c), are applicable to the limited representation. be severely curtailed. (c) Except as provided in subsection (a) (2), It may be necessary in appropriate cases to reassure a Rule 1.10 is inapplicable to a representation gov- client of the organization that the representation will not be erned by this Rule. affected by conflicting loyalties of a member of the board. (Adopted June 26, 2006, to take effect Jan. 1, 2007.) Established, written policies in this respect can enhance the COMMENTARY: Legal services organizations, courts and credibility of such assurances. various nonprofit organizations have established programs through which lawyers provide short-term limited legal ser- Rule 6.4. Law Reform Activities Affecting vices–such as advice or the completion of legal forms–that Client Interests will assist persons to address their legal problems without further representation by a lawyer. In these programs, such A lawyer may serve as a director, officer or as legal advice hotlines, advice only clinics or self-represented member of an organization involved in reform of party counseling programs, a client-lawyer relationship is the law or its administration notwithstanding that established, but there is no expectation that the lawyer's the reform may affect the interests of a client of representation of the client will continue beyond the limited the lawyer. When the lawyer knows that the inter- consultation. Such programs are normally operated under cir- ests of a client may be materially benefitted by a cumstances in which it is not feasible for a lawyer to systemati- cally screen for conflicts of interest as is generally required decision in which the lawyer participates, the law- before undertaking a representation. See, e.g., Rules 1.7, yer shall disclose that fact but need not identify 1.9 and 1.10. the client. Because a lawyer who is representing a client in the cir- (P.B. 1978-1997, Rule 6.4.) cumstances addressed by this Rule ordinarily is not able to COMMENTARY: Lawyers involved in organizations seek- check systematically for conflicts of interest, subsection (a) ing law reform generally do not have a client-lawyer relation- requires compliance with Rules 1.7 or 1.9 (a) only if the lawyer ship with the organization. Otherwise, it might follow that a knows that the representation presents a conflict of interest lawyer could not be involved in a bar association law reform for the lawyer, and with Rule 1.10 only if the lawyer knows that program that might indirectly affect a client. See also Rule 1.2 another lawyer in the lawyer's firm is disqualified by Rules 1.7 (b). For example, a lawyer specializing in antitrust litigation or 1.9 (a) in the matter. might be regarded as disqualified from participating in drafting Because the limited nature of the services significantly revisions of rules governing that subject. In determining the reduces the risk of conflicts of interest with other matters being nature and scope of participation in such activities, a lawyer handled by the lawyer's firm, subsection (b) provides that Rule should be mindful of obligations to clients under other Rules, 1.10 is inapplicable to a representation governed by this Rule particularly Rule 1.7. A lawyer is professionally obligated to except as provided by subsection (a) (2). Subsection (a) (2) protect the integrity of the program by making an appropriate requires the participating lawyer to comply with Rule 1.10 when disclosure within the organization when the lawyer knows a the lawyer knows that the lawyer's firm is disqualified by Rules private client might be materially benefitted. 1.7 or 1.9 (a). By virtue of subsection (b), however, a lawyer's participation in a short-term limited legal services program will Rule 6.5. Nonprofit and Court-Annexed Lim- not preclude the lawyer's firm from undertaking or continuing ited Legal Services Programs the representation of a client with interests adverse to a client being represented under the program's auspices. Nor will the (a) A lawyer who, under the auspices of a pro- personal disqualification of a lawyer participating in the pro- gram sponsored by a nonprofit organization or gram be imputed to other lawyers participating in the program. court, provides short-term limited legal services If, after commencing a short-term limited representation in to a client without expectation by either the lawyer accordance with this Rule, a lawyer undertakes to represent or the client that the lawyer will provide continuing the client in the matter on an ongoing basis, Rules 1.7, 1.9 (a) and 1.10 become applicable. representation in the matter: 54  Copyrighted by the Secretary of the State of the State of Connecticut

62 RULES OF PROFESSIONAL CONDUCT Rule 7.2 (1) pay the reasonable cost of advertisements INFORMATION ABOUT LEGAL SERVICES or communications permitted by this Rule; Rule 7.1. Communications concerning a (2) pay the usual charges of a not-for-profit or Lawyer's Services qualified lawyer referral service. A qualified lawyer A lawyer shall not make a false or misleading referral service is a lawyer referral service that communication about the lawyer or the lawyer's has been approved by an appropriate regula- services. A communication is false or misleading tory authority; if it contains a material misrepresentation of fact (3) pay for a law practice in accordance with or law, or omits a fact necessary to make the Rule 1.17. statement considered as a whole not materially (d) Any advertisement or communication made misleading. pursuant to this Rule shall include the name of at (P.B. 1978-1997, Rule 7.1.) (Amended June 26, 2006, to least one lawyer admitted in Connecticut respon- take effect Jan. 1, 2007.) sible for its content. In the case of television adver- COMMENTARY: This Rule governs all communications tisements, the name, address and telephone about a lawyer's services, including advertising permitted by number of the lawyer admitted in Connecticut Rule 7.2. Whatever means are used to make known a lawyer's shall be displayed in bold print for fifteen seconds services, statements about them must be truthful. Statements, even if literally true, that are misleading are also prohibited or the duration of the commercial, whichever is by this Rule. A truthful statement is misleading if it omits a fact less, and shall be prominent enough to be necessary to make the lawyer's communication considered readable. as a whole not materially misleading. A truthful statement is (e) Advertisements on the electronic media also misleading if there is a substantial likelihood that it will such as television and radio may contain the same lead a reasonable person to formulate a specific conclusion about the lawyer or the lawyer's services for which there is factual information and illustrations as permitted no reasonable factual foundation. in advertisements in the print media. An advertisement that truthfully reports a lawyer's achieve- (f) Every advertisement and written communi- ments on behalf of clients or former clients may be misleading cation that contains information about the lawyer's if presented so as to lead a reasonable person to form an fee, including those indicating that the charging unjustified expectation that the same results could be obtained of a fee is contingent on outcome, or that no fee for other clients in similar matters without reference to the 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- that the fee will be a percentage of the recovery, vices or fees with the services or fees of other lawyers may shall disclose whether and to what extent the cli- be misleading if presented with such specificity as would lead ent will be responsible for any court costs and a reasonable person to conclude that the comparison can be expenses of litigation. The disclosure concerning substantiated. The inclusion of an appropriate disclaimer or court costs and expenses of litigation shall be in qualifying language may preclude a finding that a statement is likely to create unjustified expectations or otherwise mislead the same print size and type as the information the public. regarding the lawyer's fee and, if broadcast, shall See also Rule 8.4 (5) for the prohibition against stating or appear for the same duration as the information implying an ability to influence improperly a government regarding the lawyer's fee. If the information agency or official or to achieve results by means that violate regarding the fee is spoken, the disclosure con- the Rules of Professional Conduct or other law. cerning court costs and expenses of litigation shall Rule 7.2. Advertising also be spoken. (g) A lawyer who advertises a specific fee or (a) Subject to the requirements set forth in range of fees for a particular service shall honor Rules 7.1 and 7.3, a lawyer may advertise ser- the advertised fee or range of fees for at least vices through written, recorded or electronic com- ninety days unless the advertisement specifies a munication, including public media. shorter period; provided that, for advertisements (b) (1) A copy or recording of an advertisement in the yellow pages of telephone directories or or communication shall be kept for three years other media not published more frequently than after its last dissemination along with a record annually, the advertised fee or range of fees shall of when and where it was used. An electronic be honored for no less than one year following advertisement or communication shall be copied publication. once every three months on a compact disc or 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- tising lawyer, and whether the advertising lawyer (c) A lawyer shall not give anything of value to may refer any case received through the adver- a person for recommending the lawyer's services, tisement to the nonadvertising lawyer. except that a lawyer may: 55 Copyrighted by the Secretary of the State of the State of Connecticut 

63 RULES OF PROFESSIONAL CONDUCT Rule 7.2 prevail over considerations of tradition. Nevertheless, advertis- (i) The following information in advertisements ing by lawyers entails the risk of practices that are misleading and written communications shall be presumed or overreaching. not to violate the provisions of Rule 7.1: This Rule permits public dissemination of information con- (1) Subject to the requirements of Rule 7.3, the cerning a lawyer's name or firm name, address, e-mail address, website, and telephone number; the kinds of services name of the lawyer or law firm, a listing of lawyers the lawyer will undertake; the basis on which the lawyer's associated with the firm, office addresses and fees are determined, including prices for specific services and telephone numbers, office and telephone service payment and credit arrangements; whether and to what extent hours, fax numbers, website and e-mail the client will be responsible for any court costs and expenses addresses and domain names, and a designation of litigation; lawyer's foreign language ability; names of refer- such as ``attorney'' or ``law firm.'' ences and, with their consent, names of clients regularly repre- sented; and other information that might invite the attention (2) Date of admission to the Connecticut bar of those seeking legal assistance. and any other bars and a listing of federal courts Questions of effectiveness and taste in advertising are mat- and jurisdictions where the lawyer is licensed to ters of speculation and subjective judgment. Some jurisdic- practice. tions have had extensive prohibitions against television advertising and other forms of advertising, against advertising (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 authorities. of electronic communication are now among the most powerful (4) Foreign language ability. media for getting information to the public, particularly persons 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 (6) Prepaid or group legal service plans in which advertised has a similar effect and assumes that the bar can the lawyer participates. accurately forecast the kind of information that the public would 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. of a lawyer or law firm as a sponsor of a public Subsection (b) requires that a Record of Advertising. 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. Except as per- Paying Others To Recommend a Lawyer. directories intended primarily for the use of the 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- ties, competence, character, or other professional qualities. internet based client to lawyer matching service, 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, Internet-based advertisements, and group advertising. A law- graphical region, then the service must comply yer may compensate employees, agents and vendors who are with subsection (d). engaged to provide marketing or client development services, (P.B. 1978-1997, Rule 7.2.) (Amended June 26, 2006, to such as publicists, public relations personnel, business devel- take effect Jan. 1, 2007; amended June 15, 2012, to take opment staff and website designers. See also Rule 5.3 (duties effect Jan. 1, 2013.) 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- ased referrals to lawyers with appropriate experience in the expanding public information about legal services ought to 56 Copyrighted by the Secretary of the State of the State of Connecticut 

64 RULES OF PROFESSIONAL CONDUCT Rule 7.3 subject matter of the representation and afford other client would exercise reasonable judgment in employing protections, such as complaint procedures or malpractice a lawyer; insurance requirements. Consequently, this Rule only permits (2) It has been made known to the lawyer that a lawyer to pay the usual charges of a not-for-profit or qualified the person does not want to receive such commu- lawyer referral service. A qualified lawyer referral service is nications from the lawyer; one that is approved by an appropriate regulatory authority as affording adequate protections for the public. See, e.g., (3) The communication involves coercion, the American Bar Association's Model Supreme Court Rules duress, fraud, overreaching, harassment, intimi- Governing Lawyer Referral Services and Model Lawyer Refer- dation or undue influence; ral and Information Service Quality Assurance Act (requiring (4) The written communication concerns a spe- that organizations that are identified as lawyer referral ser- cific matter and the lawyer knows or reasonably vices: [i] permit the participation of all lawyers who are licensed should know that the person to whom the commu- and eligible to practice in the jurisdiction and who meet reason- able objective eligibility requirements as may be established nication is directed is represented by a lawyer in by the referral service for the protection of the public; [ii] require the matter; or each participating lawyer to carry reasonably adequate mal- (5) The written or electronic communication practice insurance; [iii] act reasonably to assess client satisfac- concerns an action for personal injury or wrongful tion and address client complaints; and [iv] do not make death or otherwise relates to an accident or disas- referrals to lawyers who own, operate or are employed by the ter involving the person to whom the communica- referral service). A lawyer who accepts assignments or referrals from a legal tion is addressed or a relative of that person, service plan or referrals from a lawyer referral service must unless the accident or disaster occurred more act reasonably to assure that the activities of the plan or service than forty days prior to the mailing of the communi- are compatible with the lawyer's professional obligations. See cation. Rule 5.3. Legal service plans and lawyer referral services may (c) Every written communication, as well as any communicate with the public, but such communication must communication by audio or video recording, or be in conformity with these Rules. Thus, advertising must not be false or misleading, as would be the case if the communica- other electronic means, used by a lawyer for the tions of a group advertising program or a group legal services purpose of obtaining professional employment plan would mislead the public to think that it was a lawyer from anyone known to be in need of legal services referral service sponsored by a state agency or bar associa- in a particular matter, must be clearly and promi- tion. Nor could the lawyer allow in person, telephonic, or real- nently labeled ``Advertising Material'' in red ink on time contacts that would violate Rule 7.3. the first page of any written communication and Rule 7.3. Solicitation of Clients the lower left corner of the outside envelope or (Amended June 13, 2014, to take effect Jan. 1, 2015.) container, if any, and at the beginning and ending (a) A lawyer shall not initiate personal, live tele- of any communication by audio or video recording phone, or real-time electronic contact, including or other electronic means. If the written communi- telemarketing contact, for the purpose of obtaining cation is in the form of a self-mailing brochure or professional employment, except in the follow- pamphlet, the label ``Advertising Material'' in red ing circumstances: ink shall appear on the address panel of the bro- (1) If the target of the solicitation is a close chure or pamphlet. Brochures solicited by clients friend, relative, former client or one whom the or any other person need not contain such mark. lawyer reasonably believes to be a client; No reference shall be made in the communication (2) Under the auspices of a public or charitable to the communication having any kind of approval legal services organization; from the Connecticut bar. Such written communi- (3) Under the auspices of a bona fide political, cations shall be sent only by regular United States mail, not by registered mail or other forms of social, civic, fraternal, employee or trade organi- restricted delivery. zation whose purposes include but are not limited to providing or recommending legal services, if (d) The first sentence of any written communi- the legal services are related to the principal pur- cation concerning a specific matter shall be: ``If poses of the organization; you have already retained a lawyer for this matter, please disregard this letter.'' (4) If the target of the solicitation is a business organization, a not-for-profit organization or gov- (e) A written communication seeking employ- ernmental body and the lawyer seeks to provide ment in a specific matter shall not reveal on the services related to the organization. envelope, or on the outside of a self-mailing bro- chure or pamphlet, the nature of the legal matter. (b) A lawyer shall not contact or send a written or electronic communication to any person for the (f) If a contract for representation is mailed with purpose of obtaining professional employment if: the communication, the top of each page of the contract shall be marked in bold letters ``Sample'' (1) The lawyer knows or reasonably should in red ink in a type size one size larger than the know that the physical, emotional or mental state largest type used in the contract and the words of the person makes it unlikely that the person 57 Copyrighted by the Secretary of the State of the State of Connecticut 

65 RULES OF PROFESSIONAL CONDUCT Rule 7.3 may be shared with others who know the lawyer. This potential ``Do Not Sign'' in bold letters shall appear on the for informal review is itself likely to help guard against state- client signature line. ments and claims that might constitute false and misleading (g) Written communications shall be on letter- communications, in violation of Rule 7.1. The contents of direct sized paper rather than legal-sized paper and in-person, live telephone, or real-time electronic contact can shall not be made to resemble legal pleadings or be disputed and are not subject to a third-party scrutiny. Con- sequently, they are much more likely to approach (and occa- other legal documents. This provision does not line dividing sionally cross) the between accurate preclude the mailing of brochures and pamphlets. representations and those that are false and misleading. (h) If a lawyer other than the lawyer whose There is far less likelihood that a lawyer would engage in name or signature appears on the communication abusive practices against a former client, or a person with will actually handle the case or matter, or if the whom the lawyer has a close personal or family relationship, or case or matter will be referred to another lawyer in situations in which the lawyer is motivated by considerations other than the lawyer's pecuniary gain. Nor is there a serious or law firm, any written communication concerning potential for abuse when the person contacted is a lawyer. a specific matter shall include a statement so Consequently, the general prohibition in Rule 7.3 (a) and the advising the target of the solicitation. requirements of Rule 7.3 (c) are not applicable in those situa- (i) Notwithstanding the prohibitions in subsec- tions. Also, nothing in this Commentary is intended to prohibit tion (a), a lawyer may participate with a prepaid 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 fide political, social, civic, fraternal, employee or trade organi- zation not owned or directed by the lawyer which zations whose purposes include providing or recommending uses in-person or telephone contact to solicit legal services to their members or beneficiaries. memberships or subscriptions for the plan from In determining whether a contact is permissible under Rule persons who are not known to need legal services 7.3 (b), it is relevant to consider the time and circumstances in a particular matter covered by the plan. under which the contact is initiated. For example, a person (P.B. 1978-1997, Rule 7.3.) (Amended June 26, 2006, to undergoing active medical treatment for traumatic injury is take effect Jan. 1, 2007; amended June 13, 2014, to take unlikely to be in an emotional state in which reasonable judg- effect Jan. 1, 2015.) ment about employing a lawyer can be exercised. Moreover, COMMENTARY: A solicitation is a targeted communication if after sending a letter or other communication to a member initiated by the lawyer that is directed to a specific person and of the public as permitted by Rule 7.2 the lawyer receives no that offers to provide, or can reasonably be understood as response, any further effort to communicate with the person offering to provide, legal services. In contrast, a lawyer's com- may violate the provisions of Rule 7.3 (b). munication typically does not constitute a solicitation if it is The requirement in Rule 7.3 (c) that certain communications directed to the general public, such as through a billboard, be marked ``Advertising Material'' does not apply to communi- an Internet banner advertisement, a website or a television cations sent in response to requests of potential clients or commercial, or if it is in response to a request for information their spokespersons or sponsors. General announcements by or is automatically generated in response to Internet searches. lawyers, including changes in personnel or office location, do Unrestricted solicitation involves definite social harms. not constitute communications soliciting professional employ- Among these are harassment, overreaching, provocation of ment from any person known to be in need of legal services nuisance litigation and schemes for systematic fabrication of within the meaning of this Rule. claims, all of which were experienced prior to adoption of This Rule is not intended to prohibit a lawyer from contacting restrictions on solicitation. Measures reasonably designed to representatives of organizations or groups that may be inter- suppress these harms are constitutionally legitimate. At the ested in establishing a group or prepaid legal plan for their same time, measures going beyond realization of such objec- members, insureds, beneficiaries or other third parties for the tives would appear to be invalid under relevant decisions of purpose of informing such entities of the availability of and the United States Supreme Court. details concerning the plan or arrangement which the lawyer The potential for abuse inherent in direct in-person, live or lawyer's firm is willing to offer. This form of communication telephone or real-time electronic solicitation justifies their pro- is not directed to people who are seeking legal services for hibition, particularly since lawyers have alternative means of themselves. Rather, it is usually addressed to an individual conveying necessary information to those who may be in need acting in a fiduciary capacity seeking a supplier of legal ser- of legal services. In particular, communications can be mailed vices for others who may, if they choose, become prospective or transmitted by e-mail or other electronic means that do clients of the lawyer. Under these circumstances, the activity not involve real-time contact and do not violate other laws which the lawyer undertakes in communicating with such rep- governing solicitations. These forms of communications and resentatives and the type of information transmitted to the solicitations make it possible for the public to be informed individual are functionally similar to and serve the same pur- about the need for legal services, and about the qualifications pose as advertising permitted under Rule 7.2. of available lawyers and law firms, without subjecting the public Subsection (i) of this Rule permits a lawyer to participate to direct in-person, telephone or real-time electronic persua- with an organization that uses personal contact to solicit mem- sion that may overwhelm a person's judgment. bers for its group or prepaid legal service plan, provided that The use of general advertising and written, recorded and the personal contact is not undertaken by any lawyer who electronic communications to transmit information from lawyer would be a provider of legal services through the plan. The to the public, rather than direct in-person, live telephone, or organization must not be owned by or directed (whether as real-time electronic contact, will help to ensure that the infor- manager or otherwise) by any lawyer or law firm that partici- mation flows cleanly as well as freely. The contents of adver- pates in the plan. For example, subsection (i) would not permit tisements and communications permitted under Rule 7.2 can a lawyer to create an organization controlled directly or indi- be permanently recorded so that they cannot be disputed and rectly by the lawyer and use the organization for the in-person 58  Copyrighted by the Secretary of the State of the State of Connecticut

66 RULES OF PROFESSIONAL CONDUCT Rule 7.4A or telephone solicitation of legal employment of the lawyer require redetermination of the special qualifica- through memberships in the plan or otherwise. The communi- tions of certified specialists after a period of not cation permitted by these organizations also must not be more than five years. directed to a person known to need legal services in a particular (b) Upon certifying a lawyer practicing in this matter, but is to be designed to inform potential plan members state as being a specialist, the board or entity generally of another means of affordable legal services. Law- yers who participate in a legal service plan must reasonably that certified the lawyer shall notify the Statewide ensure that the plan sponsors are in compliance with Rules Grievance Committee of the name and juris num- 7.1, 7.2 and 7.3 (b). See Rule 8.4 (a). ber of the lawyer, the specialty field in which the lawyer was certified, the date of such certification of Fields Rule 7.4. Communication of and the date such certification expires. Practice (c) A lawyer shall not state that he or she is a (a) A lawyer may communicate the fact that the certified specialist if the lawyer's certification has lawyer does or does not practice in particular fields terminated, or if the statement is otherwise con- of law. trary to the terms of such certification. (b) A lawyer admitted to engage in patent prac- (d) Certification as a specialist may not be attrib- tice before the United States Patent and Trade- uted to a law firm. mark Office may use the designation ``Patent (e) Lawyers may be certified as specialists in Attorney'' or a substantially similar designation. the following fields of law: (c) A lawyer engaged in admiralty practice may (1) Administrative law: The practice of law deal- use the designation ``Admiralty,'' ``Proctor in Admi- ing with states, their political subdivisions, ralty'' or a substantially similar designation. regional and metropolitan authorities and other (d) A lawyer shall not state or imply that the public entities including, but not limited to, their lawyer is a specialist in a particular field of law rights and duties, financing, public housing and except as provided herein and in Rule 7.4A. urban development, the rights of public employ- (P.B. 1978-1997, Rule 7.4.) (Amended June 30, 2008, to ees, election law, school law, sovereign immunity, take effect Jan. 1, 2009.) and constitutional law; practice before federal and COMMENTARY: This Rule permits a lawyer to indicate state courts and governmental agencies. fields of practice in communications about the lawyer's ser- 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 all matters arising under the Carriage of Goods so to indicate. A lawyer may indicate that the lawyer ``concen- by Sea Act (COGSA), Harter Act, Jones Act, and trates in,'' ``focuses on,'' or that the practice is ``limited to'' federal and state maritime law including, but not particular fields of practice as long as the statements are not limited to, the carriage of goods, collision and false or misleading in violation of Rule 7.1. However, the lawyer other maritime torts, general average, salvage, may not use the terms ``specialist,'' ``certified,'' ``board-certi- 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 practice before federal and state courts and gov- of long-established policy of the Patent and Trademark Office. ernmental agencies (including the Federal Mari- Designation of admiralty practice has a long historical tradition time Commission). associated with maritime commerce and the federal courts. (3) Antitrust: The practice of law dealing with Rule 7.4A. Certification as Specialist all matters arising under the Sherman Act, Clayton Act, Federal Trade Commission Act, Hart-Scott- (a) Except as provided in Rule 7.4, a lawyer Rodino Antitrust Improvements Act and state anti- shall not state or imply that he or she is a specialist trust statutes including, but not limited to, in a field of law unless the lawyer is currently restraints of trade, unfair competition, monopoli- certified as a specialist in that field of law by a zation, price discrimination, restrictive practices; board or other entity which is approved by the practice before federal and state courts and gov- Rules Committee of the Superior Court of this ernmental agencies. state. Among the criteria to be considered by the (4) Appellate practice: The practice of law deal- Rules Committee in determining upon application ing with all procedural and substantive aspects of whether to approve a board or entity as an agency civil and criminal matters before federal and state which may certify lawyers practicing in this state appeals courts including, but not limited to, argu- as being specialists, shall be the requirement that ments and the submission of briefs. the board or entity certify specialists on the basis (5) Business bankruptcy: The practice of law of published standards and procedures which (1) dealing with all aspects of the United States Bank- do not discriminate against any lawyer properly ruptcy Code when the debtor was engaged in qualified for such certification, (2) provide a rea- business before the institution of a Chapter 7, 9, sonable basis for the representation that lawyers or 11 proceeding. This includes, but is not limited so certified possess special competence, and (3) 59 Copyrighted by the Secretary of the State of the State of Connecticut 

67 RULES OF PROFESSIONAL CONDUCT Rule 7.4A to, business liquidations, business reorganiza- practice before the Securities and Exchange tions, and related adversary and contested pro- Commission and state securities commissions. ceedings. (14) Criminal: The practice of law dealing with (6) Child welfare law: The practice of law repre- the prosecution or representation of persons senting children, parents or the government in all accused of crimes at all stages of criminal pro- child protection proceedings including emergency, ceedings in federal or state courts including, but temporary custody, adjudication, disposition, fos- not limited to, the protection of the accused's con- ter care, permanency planning, termination, stitutional rights. guardianship, and adoption. Child welfare law (15) Elder law: The practice of law involving the does not include representation in private child counseling and representation of older persons custody and adoption disputes where the state is and their representatives relative to the legal 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 relative to the foregoing with due consideration (8) Civil rights and discrimination: The practice to the applicable tax consequences of an action, of law dealing with all matters arising under federal involving, when appropriate, consultation and col- and state law relating to proper treatment in the laboration with professionals in related disci- areas of, among others, public accommodations, plines. Lawyers certified in elder law must be voting, employment, housing, administration of capable of recognizing issues that arise during welfare and social security benefits; practice counseling and representation of older persons or before federal and state courts and governmen- their representatives with respect to the following: tal agencies. Abuse, neglect or exploitation of older persons; (9) Civil trial practice: The practice of law deal- estate, trust, and tax planning; other probate mat- ing with representation of parties before federal ters. Elder law specialists must be capable of rec- or state courts in all noncriminal matters. ognizing the professional conduct and ethical (10) Commercial transactions: The practice of issues that arise during representation. law dealing with all aspects of commercial paper, 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 and governmental agencies. (12) Corporate and business organizations: 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 tax consequences, both federal and state; the (13) Corporate finance and securities: The preparation of legal instruments in order to effec- practice of law dealing with all matters arising tuate estate plans; administering estates, includ- under the Securities Act of 1933, Securities ing tax related matters, both federal and state. Exchange Act of 1934, Investment Advisors Act (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, 60 Copyrighted by the Secretary of the State of the State of Connecticut 

68 RULES OF PROFESSIONAL CONDUCT Rule 7.4B alimony and child support, distribution of assets, other actions; the prosecution of applications child custody matters and adoption, giving due before the United States Patent and Trademark consideration to the tax consequences, and court Office; counseling with regard to the law of unfair competition as it relates to patents, trademarks proceedings relating thereto. and copyrights. (19) Government contracts and claims: The (26) (A) Residential real estate: The practice practice of law dealing with all aspects of the of law dealing with all aspects of real property negotiation and administration of contracts with transactions involving single one-to-four family federal and state governmental agencies. residential dwellings when the client uses such (20) Immigration and naturalization: The prac- dwelling or expresses in writing the intent to use tice of law dealing with obtaining and retaining such dwelling as the client's primary or other resi- permission to enter and remain in the United dence including, but not limited to, real estate States including, but not limited to, such matters conveyances, title searches and property trans- as visas, change of status, deportation and natu- fers, leases, condominiums, cooperatives, and ralization; representation of aliens before courts other common interest communities, planned unit and governmental agencies; protection of aliens' developments, mortgages, condemnation and constitutional rights. eminent domain, zoning and land use planning, (21) International: The practice of law dealing property taxes, and determination of property with all aspects of the relations among states, rights. international business transactions, international (B) Commercial real estate: The practice of law taxation, customs and trade law and foreign and dealing with all aspects of real property transac- comparative law. tions except for residential real estate as defined (22) Labor: The practice of law dealing with in subparagraph (A) of this subdivision, including, all aspects of employment relations (public and but not limited to, real estate conveyances, title private) including, but not limited to, unfair labor searches and property transfers, leases, condo- practices, collective bargaining, contract adminis- miniums, cooperatives and other common interest tration, the rights of individual employees and communities, planned unit developments, mort- union members, employment discrimination; all gages, condemnation and eminent domain, zon- matters arising under the National Labor Rela- ing and land use planning, property taxes, real tions Act (Wagner Act), Labor Management Rela- estate development and financing (with due con- tions Act (Taft-Hartley Act), Labor Management sideration to tax and securities consequences) Reporting and Disclosure Act (Landrum-Griffin and determination of property rights. Act), Fair Labor Standards Act, Title VII of The (27) Taxation: The practice of law dealing with Civil Rights Act of 1964, Occupational Safety and all matters arising under the Internal Revenue Health Act (OSHA), Employee Retirement Income Code, Employee Retirement Income Security Act Security Act (ERISA), other federal statutes and (ERISA), state and local tax laws and foreign tax analogous state statutes; practice before the laws, including counseling with respect thereto; National Labor Relations Board, analogous state practice before federal and state courts and gov- boards, federal and state courts, and arbitrators. ernmental agencies. (23) Military: The practice of law dealing with (28) Workers' compensation: The practice of the presentation of parties before courts-martial law dealing with the representation of parties and other military tribunals in disputes arising before federal and state agencies, boards and under the Uniform Code of Military Justice; the courts in actions to determine eligibility for work- representation of veterans and their dependents ers' compensation, and disability. in seeking government benefits due to them on (P.B. 1978-1997, Rule 7.4A.) (Amended June 20, 2005, to account of military service; handling civil law prob- take effect Jan. 1, 2006; amended June 29, 2007, to take lems of the military. effect Jan. 1, 2008; amended June 30, 2008, to take effect, (24) Natural resources: The practice of law Jan. 1, 2009; amended June 13, 2014, to take effect Jan. dealing with all aspects of the regulation of natural 1, 2015.) resources such as coal, oil, gas, minerals, water Rule 7.4B. Legal Specialization Screening and public lands; the rights and responsibilities Committee relating to the ownership and exploitation of such natural resources. (a) The chief justice, upon recommendation of the Rules Committee of the Superior Court, shall (25) Patent, trademark and copyright: The prac- appoint a committee of five members of the bar tice of law dealing with all aspects of the registra- of this state which shall be known as the ``Legal tion, protection and licensing of patents, Specialization Screening Committee.'' The Rules trademarks or copyrights; practice before federal Committee of the Superior Court shall designate and state courts in actions for infringement and 61 Copyrighted by the Secretary of the State of the State of Connecticut 

69 Rule 7.4B RULES OF PROFESSIONAL CONDUCT one appointee as chair of the Legal Specialization Rule 7.5. Firm Names and Letterheads Screening Committee and another as vice chair (a) A lawyer shall not use a firm name, letter- to act in the absence or disability of the chair. head or other professional designation that vio- (b) When the committee is first selected, two lates Rule 7.1. A trade name may be used by a of its members shall be appointed for a term of lawyer in private practice if it does not imply a one year, two members for a term of two years, connection with a government agency or with a and one member for a term of three years, and public or charitable legal services organization thereafter all regular terms shall be three years. and is not otherwise in violation of Rule 7.1. Terms shall commence on July 1. In the event (b) A law firm with offices in more than one that a vacancy arises in this position before the jurisdiction may use the same name in each juris- end of a term, the chief justice, upon recommen- diction, but identification of the lawyers in an office dation of the Rules Committee of the Superior of the firm shall indicate the jurisdictional limita- Court, shall appoint a member of the bar of this tions on those not licensed to practice in the juris- state to fill the vacancy for the balance of the term. diction where the office is located. The Legal Specialization Screening Committee (c) The name of a lawyer holding a public office shall act only with a concurrence of a majority of its shall not be used in the name of a law firm, or in members, provided, however, that three members communications on its behalf, during any substan- shall constitute a quorum. tial period in which the lawyer is not actively and (c) The Legal Specialization Screening Com- regularly practicing with the firm. mittee shall have the power and duty to: (d) Lawyers may state or imply that they prac- (1) Receive applications from boards or other tice in a partnership or other organization only entities for authority to certify lawyers practicing when that is the fact. in this state as being specialists in a certain area (P.B. 1978-1997, Rule 7.5.) COMMENTARY: A firm may be designated by the names or areas of law. of all or some of its members, by the names of deceased (2) Investigate each applicant to determine members where there has been a continuing succession in whether it meets the criteria set forth in Rule the firm's identity or by a trade name such as the ``ABC Legal 7.4A (a). Clinic.'' Although the United States Supreme Court has held (3) Submit to the Rules Committee of the Supe- that legislation may prohibit the use of trade names in profes- rior Court a written recommendation, with reasons sional practice, use of such names in law practice is acceptable so long as it is not misleading. If a private firm uses a trade therefor, for approval or disapproval of each appli- name that includes a geographical name such as ``Springfield cation, or for the termination of any prior approval Legal Clinic,'' an express disclaimer that it is a public legal granted by the Rules Committee. aid agency may be required to avoid a misleading implication. (4) Adopt regulations and develop forms neces- It may be observed that any firm name including the name of sary to carry out its duties under this section. The a deceased partner is, strictly speaking, a trade name. The use of such names to designate law firms has proven a useful regulations and forms shall not become effective means of identification. However, it is misleading to use the until first approved by the Rules Committee of the name of a lawyer not associated with the firm or a predecessor Superior Court. of the firm. (5) Consult with such persons deemed by the With regard to subsection (d), lawyers sharing office facili- committee to be knowledgeable in the fields of ties, but who are not in fact partners, may not denominate law to assist it in carrying out its duties. themselves as, for example, ``Smith and Jones,'' for that title (P.B. 1978-1997, Rule 7.4B.) suggests partnership in the practice of law. Rule 7.4C. Application by Board or Entity To MAINTAINING THE INTEGRITY OF Certify Lawyers as Specialists THE PROFESSION Any board or entity seeking the approval of the Rule 8.1. Bar Admission and Disciplinary Rules Committee of the Superior Court for author- Matters ity to certify lawyers practicing in this state as An applicant for admission to the bar, or a law- being specialists in a certain field or fields of law yer in connection with a bar admission application as set forth in Rule 7.4A (e), shall file an original or in connection with a disciplinary matter, shall and six copies of its application with the Legal not: Specialization Screening Committee pursuant to (1) Knowingly make a false statement of mate- Rule 7.4B on form JD-ES-63. The application rial fact; or materials shall be filed in a format prescribed by (2) Fail to disclose a fact necessary to correct the Legal Specialization Screening Committee, a misapprehension known by the person to have which may require them to be filed electronically. arisen in the matter, or knowingly fail to respond (P.B. 1978-1997, Rule 7.4.) (Amended June 30, 2008, to to a lawful demand for information from an admis- take effect Jan. 1, 2009; amended June 12, 2015, to take effect Jan. 1, 2016.) sions or disciplinary authority, except that this rule 62 Copyrighted by the Secretary of the State of the State of Connecticut 

70 RULES OF PROFESSIONAL CONDUCT Rule 8.3 does not require disclosure of information other- appropriate professional authority. A lawyer may wise protected by Rule 1.6. not condition settlement of a civil dispute involving (P.B. 1978-1997, Rule 8.1.) allegations of improprieties on the part of a lawyer COMMENTARY: The duty imposed by this Rule extends on an agreement that the subject misconduct not to persons seeking admission to the bar as well as to lawyers. be reported to the appropriate disciplinary Hence, if a person makes a material false statement in connec- authority. tion with an application for admission, it may be the basis for subsequent disciplinary action if the person is admitted, and (b) A lawyer who knows that a judge has com- in any event may be relevant in a subsequent admission appli- mitted a violation of applicable rules of judicial cation. The duty imposed by this Rule applies to a lawyer's conduct that raises a substantial question as to own admission or discipline as well as that of others. Thus, it the judge's fitness for office shall inform the appro- is a separate professional offense for a lawyer to knowingly priate authority. make a misrepresentation or omission in connection with a disciplinary investigation of the lawyer's own conduct. Subdivi- (c) This Rule does not require disclosure of sion (2) of this Rule also requires correction of any prior mis- information otherwise protected by Rule 1.6 or statement in the matter that the applicant or lawyer may have General Statutes ß 51-81d (f) or obtained while made and affirmative clarification of any misunderstanding on serving as a member of a bar association ethics the part of the admissions or disciplinary authority of which the person involved becomes aware. committee or the Judicial Branch Committee on This Rule is subject to the provisions of the fifth amendment Judicial Ethics. to the United States Constitution and corresponding provisions (P.B. 1978-1997, Rule 8.3.) (Amended June 26, 2006, to of state constitutions. A person relying on such a provision in take effect Jan. 1, 2007; amended June 30, 2008, to take response to a question, however, should do so openly and effect Aug. 1, 2008.) not use the right of nondisclosure as a justification for failure COMMENTARY: Self-regulation of the legal profession to comply with this Rule. requires that members of the profession initiate a disciplinary A lawyer representing an applicant for admission to the investigation when they know of a violation of the Rules of bar, or representing a lawyer who is the subject of a disciplinary Professional Conduct. Lawyers have a similar obligation with inquiry or proceeding, is governed by the rules applicable to respect to judicial misconduct. An apparently isolated violation the client-lawyer relationship, including Rule 1.6 and, in some may indicate a pattern of misconduct that only a disciplinary cases, Rule 3.3. investigation can uncover. Reporting a violation is especially important where the victim is unlikely to discover the offense. Rule 8.2. Judicial and Legal Officials 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 or appointment to judicial or legal office. professional offense. Such a requirement existed in many (b) A lawyer who is a candidate for judicial office jurisdictions but proved to be unenforceable. This Rule limits shall comply with the applicable provisions of the the reporting obligation to those offenses that a self-regulating 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- COMMENTARY: Assessments by lawyers are relied on in evaluating the professional or personal fitness of persons ousness of the possible offense and not the quantum of being considered for election or appointment to judicial office evidence of which the lawyer is aware. A report should be and to public legal offices, such as attorney general, prosecut- made to the bar disciplinary agency unless some other agency, ing attorney and public defender. Expressing honest and can- such as a peer review agency, is more appropriate in the did opinions on such matters contributes to improving the circumstances. Similar considerations apply to the reporting administration of justice. Conversely, false statements by a of judicial misconduct. lawyer can unfairly undermine public confidence in the admin- The duty to report professional misconduct does not apply istration of justice. to a lawyer retained to represent a lawyer whose professional When a lawyer seeks judicial office, the lawyer should be conduct is in question. Such a situation is governed by the bound by applicable limitations on political activity. Rules applicable to the client-lawyer relationship. To maintain the fair and independent administration of jus- Information about a lawyer's or judge's misconduct or fit- tice, lawyers are encouraged to continue traditional efforts to ness may be received by a lawyer in the course of that lawyer's defend judges and courts unjustly criticized. participation in an approved lawyers or judges assistance pro- gram. In that circumstance, providing for an exception to the Rule 8.3. Reporting Mis- Professional reporting requirements of subsections (a) and (b) of this Rule conduct encourages lawyers and judges to seek treatment through (a) A lawyer who knows that another lawyer has such a program. Conversely, without such an exception, law- committed a violation of the Rules of Professional yers and judges may hesitate to seek assistance from these Conduct that raises a substantial question as to programs, which may then result in additional harm to their that lawyer's honesty, trustworthiness or fitness professional careers and additional injury to the welfare of clients and the public. as a lawyer in other respects, shall inform the 63 Copyrighted by the Secretary of the State of the State of Connecticut 

71 RULES OF PROFESSIONAL CONDUCT Rule 8.4 Lawyers holding public office assume legal responsibilities Rule 8.4. Misconduct going beyond those of other citizens. A lawyer's abuse of It is professional misconduct for a lawyer to: public office can suggest an inability to fulfill the professional (1) Violate or attempt to violate the Rules of role of a lawyer. The same is true of abuse of positions of Professional Conduct, knowingly assist or induce private trust, such as trustee, executor, administrator, guard- ian, agent and officer, director or manager of a corporation or another to do so, or do so through the acts of other organization. another; (2) Commit a criminal act that reflects adversely Rule 8.5. Disciplinary Authority; Choice of on the lawyer's honesty, trustworthiness or fitness Law as a lawyer in other respects; (Amended June 26, 2006, to take effect Jan. 1, 2007.) (3) Engage in conduct involving dishonesty, (a) Disciplinary Authority. A lawyer admitted to fraud, deceit or misrepresentation; practice in this jurisdiction is subject to the disci- (4) Engage in conduct that is prejudicial to the plinary authority of this jurisdiction, regardless of administration of justice; where the lawyer's conduct occurs. A lawyer not (5) State or imply an ability to influence improp- admitted in this jurisdiction is also subject to the erly a government agency or official or to achieve disciplinary authority of this jurisdiction if the law- results by means that violate the Rules of Profes- yer provides or offers to provide any legal services sional Conduct or other law; or in this jurisdiction. A lawyer may be subject to the (6) Knowingly assist a judge or judicial officer disciplinary authority of both this jurisdiction and in conduct that is a violation of applicable rules another jurisdiction for the same conduct. of judicial conduct or other law. (b) Choice of Law. In any exercise of the disci- (P.B. 1978-1997, Rule 8.4.) (Amended June 26, 2006, to plinary authority of this jurisdiction, the Rules of take effect Jan. 1, 2007.) Professional Conduct to be applied shall be as COMMENTARY: Lawyers are subject to discipline when follows: they violate or attempt to violate the Rules of Professional Conduct, knowingly assist or induce another to do so or do (1) For conduct in connection with a matter so through the acts of another, as when they request or instruct pending before a tribunal, the rules of the jurisdic- an agent to do so on the lawyer's behalf. Subdivision (1), tion in which the tribunal sits, unless the rules of however, does not prohibit a lawyer from advising a client the tribunal provide otherwise; and concerning action the client is legally entitled to take. (2) For any other conduct, the rules of the juris- Many kinds of illegal conduct reflect adversely on fitness diction in which the lawyer's conduct occurred, or, to practice law, such as offenses involving fraud and the offense of wilful failure to file an income tax return. However, if the predominant effect of the conduct is in a some kinds of offenses carry no such implication. Traditionally, different jurisdiction, the rules of that jurisdiction the distinction was drawn in terms of offenses involving ``moral shall be applied to the conduct. A lawyer shall not turpitude.'' That concept can be construed to include offenses be subject to discipline if the lawyer's conduct concerning some matters of personal morality, such as adul- conforms to the rules of a jurisdiction in which tery and comparable offenses, which have no specific connec- the lawyer reasonably believes the predominant tion to fitness for the practice of law. Although a lawyer is 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: It is longstanding Disciplinary Authority. 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 Model Rules for Lawyer of this Rule. See Rules 6 and 22, ABA 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 when such actions are prejudicial to the administration of jus- is subject to the disciplinary authority of this jurisdiction may tice. Legitimate advocacy respecting the foregoing factors be a factor in determining whether personal jurisdiction may does not violate subdivision (4). be asserted over the lawyer for civil matters. A lawyer may refuse to comply with an obligation imposed Choice of Law. A lawyer may be potentially subject to by law upon a good faith belief that no valid obligation exists. more than one set of Rules of Professional Conduct which The provisions of Rule 1.2 (d) concerning a good faith chal- impose different obligations. The lawyer may be licensed to lenge to the validity, scope, meaning or application of the law practice in more than one jurisdiction with differing rules, or may be admitted to practice before a particular court with rules apply to challenges of legal regulation of the practice of law. 64  Copyrighted by the Secretary of the State of the State of Connecticut

72 RULES OF PROFESSIONAL CONDUCT that differ from those of the jurisdiction or jurisdictions in which conforms to the rules of a jurisdiction in which the lawyer reasonably believes the predominant effect will occur, the law- the lawyer is licensed to practice. Additionally, the lawyer's yer shall not be subject to discipline under this Rule. conduct may involve significant contacts with more than When a lawyer's conduct involves significant contacts with one jurisdiction. more than one jurisdiction, it may not be clear whether the Subsection (b) seeks to resolve such potential conflicts. Its predominant effect of the lawyer's conduct will occur in a premise is that minimizing conflicts between rules, as well as jurisdiction other than the one in which the conduct occurred. uncertainty about which rules are applicable, is in the best So long as the lawyer's conduct conforms to the rules of a interest of both clients and the profession (as well as the bodies jurisdiction in which the lawyer reasonably believes the pre- having authority to regulate the profession). Accordingly, it dominant effect will occur, the lawyer shall not be subject to takes the approach of (i) providing that any particular conduct discipline under this Rule. With respect to conflicts of interest, of a lawyer shall be subject to only one set of Rules of Profes- in determining a lawyer's reasonable belief under subsection sional Conduct, and (ii) making the determination of which set (b) (2), a written agreement between the lawyer and client of rules applies to particular conduct as straightforward as that reasonably specifies a particular jurisdiction as within the possible, consistent with recognition of appropriate regulatory scope of that paragraph may be considered if the agreement interests of relevant jurisdictions. was obtained with the client's informed consent confirmed in Subsection (b) (1) provides that, as to a lawyer's conduct the agreement. relating to a proceeding pending before a tribunal, the lawyer If two admitting jurisdictions were to proceed against a shall be subject only to the rules of the jurisdiction in which lawyer for the same conduct, they should, applying this Rule, the tribunal sits unless the rules of the tribunal, including its identify the same governing ethics rules. They should take all choice of law rule, provide otherwise. As to all other conduct, appropriate steps to see that they do apply the same rule to including conduct in anticipation of a proceeding not yet pend- the same conduct, and in all events should avoid proceeding ing before a tribunal, subsection (b) (2) provides that a lawyer against a lawyer on the basis of two inconsistent rules. shall be subject to the rules of the jurisdiction in which the The choice of law provision applies to lawyers engaged in lawyer's conduct occurred, or, if the predominant effect of the transnational practice, unless international law, treaties or conduct is in another jurisdiction, the rules of that jurisdiction other agreements between competent regulatory authorities in the affected jurisdictions provide otherwise. shall be applied to the conduct. So long as the lawyer's conduct 65 Copyrighted by the Secretary of the State of the State of Connecticut 

73 CODE OF JUDICIAL CONDUCT CODE OF JUDICIAL CONDUCT Preamble Scope Terminology Application Canons Rules Comments their professional and personal lives by general For the Code of Judicial Conduct as it read prior 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 in maintaining the highest standards of profes- This is a major rewrite of the Code AMENDMENT NOTE: sional and personal conduct, as it affects their of Judicial Conduct, adopted by the judges of the Superior judicial work. Court on June 21, 2010, the judges of the Appellate Court on July 15, 2010, and the justices of the Supreme Court on July SCOPE 1, 2010, to take effect January 1, 2011. It is based on the Model Code adopted by the ABA in 2007. Our prior Code, (1) The Code of Judicial Conduct consists of which was adopted with an effective date of October 1, 1974, 1 four Canons, numbered Rules under each was based on the Model Code adopted by the ABA in 1972. 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 and applying the Code. An Application section PREAMBLE 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. cretion. (2) Judges should maintain the dignity of judicial (3) The Comments that accompany the Rules office at all times and avoid both impropriety and serve two functions. First, they provide guidance the appearance of impropriety in their professional regarding the purpose, meaning, and proper and personal lives. They should aspire at all times application of the Rules. They contain explanatory to conduct that ensures the greatest possible pub- material and, in some instances, provide exam- lic confidence in their independence, impartiality, ples of permitted or prohibited conduct. Com- integrity, and competence. ments neither add to nor subtract from the binding (3) The Code of Judicial Conduct establishes obligations set forth in the Rules. Therefore, when standards for the ethical conduct of judges in mat- a Comment contains the term ``must,'' it does not ters affecting the performance of their judicial mean that the Comment itself is binding or duties and the fair and efficient operation of the enforceable; it signifies that the Rule in question, courts or other tribunals on which they serve. 1 Although it is not intended as an exhaustive guide 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 Copyrighted by the Secretary of the State of the State of Connecticut 

74 CODE OF JUDICIAL CONDUCT 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 insignificant interest that could not raise a reason- (4) Second, the Comments identify aspirational able question regarding the judge's impartiality. goals for judges. To implement fully the principles See Rule 2.11. of this Code as articulated in the Canons, judges 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 well as maintenance of an open mind in consider- TERMINOLOGY ing issues that may come before a judge. See Canons 1, 2, and 4, and Rules 1.2, 2.2, 2.10, As used in this Code, the following definitions 2.11, 2.13, 3.1, 3.12, 3.13, 4.1, and 4.2. shall apply: ``Impending matter'' is any matter a judge knows ``Appropriate authority'' means the authority is imminent or reasonably expects to be com- having responsibility for taking corrective action menced in the near future. See Rules 2.9, 2.10, in connection with the conduct or violation to be 3.13, and 4.1. reported under Rules 2.14 and 2.15. ``Impropriety'' includes conduct that violates the ``Confidential'' means information that is not law or provisions of this Code and conduct that available to the public. Confidential information undermines a judge's independence, integrity, or may include, but is not limited to, information that impartiality. See Canon 1 and Rule 1.2. is sealed by statute, rule or court order or lodged 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 by law. See Canons 1 and 4, and Rules 1.2, 3.1, ``Contribution'' means both financial and in-kind 3.12, 3.13, and 4.2. contributions, such as goods, professional or vol- 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 Copyrighted by the Secretary of the State of the State of Connecticut 

75 CODE OF JUDICIAL CONDUCT Canon 1 ``Spouse'' means a person to whom one is ``Knowingly,'' ``knowledge,'' ``known,'' and ``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- lowing persons: great-grandparent, grandparent, 3.2, 3.6, and 4.1. parent, uncle, aunt, brother, sister, child, grand- ``Law'' encompasses court rules as well as stat- child, great-grandchild, nephew, and niece. See utes, constitutional provisions, decisional law, and Rule 2.11. this Code. See Rules 1.1, 2.1, 2.2, 2.6, 2.7, 2.9, 3.1, 3.2, 3.4, 3.7, 3.9, 3.12, 3.13, 3.14, 3.15, 4.1, 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 ß 46b- 3.11. 231 (f), and family support magistrate referees. (b) State referees and family support magistrate ``Member of a judge's family residing in the referees are not required to comply with Rules judge's household'' means any member of the 3.4 and 3.8. judge's family or other person treated by a judge 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 time necessary to avoid serious adverse consequences to of which is to further the election or appointment the beneficiaries of the fiduciary relationship and in no event of candidates for political office. See Rules 4.1 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 one year. elections. See Rule 4.3. 68 Copyrighted by the Secretary of the State of the State of Connecticut 

76 CODE OF JUDICIAL CONDUCT Rule 1.2 CODE OF JUDICIAL CONDUCT Canon Canon 3. A Judge Shall Conduct the Judge's Personal and Extraju- A Judge Shall Uphold and Promote the Independence, 1. dicial Activities To Minimize the Risk of Conflict with Integrity, and Impartiality of the Judiciary, and Shall the Obligations of Judicial Office. Avoid Impropriety and the Appearance of Impropriety. Rule Rule 3.1. Extrajudicial Activities in General Compliance with the Law 1.1. Appearances before Governmental Bodies and Consul- 3.2. 1.2. Promoting Confidence in the Judiciary tation with Government Officials Testifying as a Character Witness 3.3. 1.3. Avoiding Abuse of the Prestige of Judicial Office 3.4. Appointments to Governmental Positions Use of Confidential Information 3.5. Canon Affiliation with Discriminatory Organizations 3.6. A Judge Shall Perform the Duties of Judicial Office Impar- 2. Participation in Educational, Religious, Charitable, Fra- 3.7. 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 Impartiality and Fairness 2.2. 3.11. Financial, Business, or Remunerative Activities Bias, Prejudice, and Harassment 2.3. Compensation for Extrajudicial Activities 3.12. 3.13. Acceptance and Reporting of Gifts, Loans, Bequests, 2.4. External Influences on Judicial Conduct or Judgment Benefits, or Other Things of Value 2.5. Competence, Diligence, and Cooperation 3.14. Reimbursement of Expenses and Waivers of Fees or Ensuring the Right To Be Heard 2.6. Charges Responsibility To Decide 2.7. Reporting Requirements 3.15. Decorum, Demeanor, and Communication with Jurors 2.8. Canon 2.9. Ex Parte Communications 4. A Judge Shall Not Engage in Political or Campaign Activ- Judicial Statements on Pending and Impending Cases 2.10. ity that Is Inconsistent with the Independence, Integrity, Disqualification 2.11. or Impartiality of the Judiciary. Supervisory Duties 2.12. 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 Responding to Judicial and Lawyer Misconduct 2.15. Elevation to Higher Judicial Office 4.3. Activities of Judges Who Become Candidates for Pub- 2.16. Cooperation with Disciplinary Authorities lic Office Canon 1. A Judge Shall Uphold and Pro- avoid impropriety and the appearance of impropri- ety. The test for appearance of impropriety is mote the Independence, Integrity, and whether the conduct would create in reasonable Impartiality of the Judiciary, and Shall Avoid minds a perception that the judge violated this Impropriety and the Appearance of Impro- Code or engaged in other conduct that reflects priety. adversely on the judge's honesty, impartiality, temperament, or fitness to serve as a judge. Rule 1.1. Compliance with the Law (Effective Jan. 1, 2011.) A judge shall comply with the law. COMMENT: (1) Public confidence in the judiciary is eroded by improper conduct and conduct that creates the appearance (Effective Jan. 1, 2011.) of impropriety as defined in this Rule. This principle applies COMMENT: This rule deals with the judge's personal con- to both the professional and personal conduct of a judge. duct. A judge's professional conduct in enforcing the law is (2) A judge should expect to be the subject of public scrutiny covered by Rule 2.2. When applying and interpreting the law, that might be viewed as burdensome if applied to other citizens a judge sometimes may make good faith errors of fact or law. 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 the in Confidence Rule 1.2. Promoting 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  Copyrighted by the Secretary of the State of the State of Connecticut

77 CODE OF JUDICIAL CONDUCT Rule 1.2 COMMENT: (1) To ensure impartiality and fairness to all (5) A judge may initiate or participate in community activities 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- times may make good faith errors of fact or law. Errors of this A judge shall not use or attempt to use the kind do not violate this Rule. prestige of judicial office to advance the personal (4) It is not a violation of this Rule for a judge to make or economic interests of the judge or others or reasonable accommodations to ensure self-represented liti- allow others to do so. gants the opportunity to have their matters fairly heard. (Effective Jan. 1, 2011.) COMMENT: (1) It is improper for a judge to use or attempt Rule 2.3. Bias, Prejudice, and Harassment to use his or her position to gain personal advantage or defer- (a) A judge shall perform the duties of judicial ential treatment of any kind. For example, it would be improper for a judge to allude to his or her judicial status to gain favorable 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- (b) A judge shall not, in the performance of ducting his or her personal business. judicial duties, by words or conduct, manifest bias (2) A judge may provide a reference or recommendation or prejudice or engage in harassment including, for an individual based on the judge's personal knowledge. 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 gin, ethnicity, disability, age, sexual orientation, pressure by reason of the judicial office. marital status, socioeconomic status, or political (3) Judges may participate in the process of judicial selec- affiliation and shall not condone such conduct by tion by cooperating with appointing authorities and screening court staff, court officials, or others subject to the committees and by responding to inquiries from such entities 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- before the court to refrain from manifesting bias tribute to publications of for-profit entities, whether related or prejudice or engaging in harassment, based or unrelated to the law. A judge should not permit anyone on attributes including, but not limited to, race, associated with the publication of such materials to exploit the 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 socioeconomic status, or political affiliation to avoid such exploitation. 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 in a proceeding impairs the fairness of the proceeding and law, shall take precedence over all of a judge's brings the judiciary into disrepute. personal and extrajudicial activities. (2) Examples of manifestations of bias or prejudice include, (Effective Jan. 1, 2011.) but are not limited to, epithets; slurs; demeaning nicknames; COMMENT: (1) To ensure that judges are available to fulfill negative stereotyping; attempted humor based on stereo- their judicial duties, judges must conduct their personal and types; threatening, intimidating, or hostile acts; suggestions extrajudicial activities in such a way as to minimize the risk of 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- ual orientation, marital status, socioeconomic status, or politi- tially. (Effective Jan. 1, 2011.) cal affiliation. 70 Copyrighted by the Secretary of the State of the State of Connecticut 

78 CODE OF JUDICIAL CONDUCT Rule 2.8 (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 further settlements do not undermine any party's right to be (a) A judge shall not be swayed in the perfor- heard according to law. The judge should keep in mind the mance of the judge's judicial duties by public 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- cessful. Among the factors that a judge should consider when influence the judge's judicial conduct or judgment. deciding on appropriate settlement practices for a case are: (a) (c) A judge shall not convey or permit others to whether the parties have requested or voluntarily consented convey the impression that any person or organi- to a certain level of participation by the judge in settlement zation is in a position to influence the judge's judi- discussions, (b) whether the parties and their counsel are cial conduct or judgment. relatively sophisticated in legal matters, (c) whether the case (Effective Jan. 1, 2011.) will be tried by the judge or a jury, (d) whether the parties COMMENT: An independent judiciary requires that judges participate with their counsel in settlement discussions, (e) decide cases according to the law and facts, without regard whether any parties are unrepresented by counsel, and (f) to whether particular laws or litigants are popular or unpopular whether the matter is civil or criminal. with the public, the media, government officials, or the judge's (3) Judges must be mindful of the effect settlement discus- friends or family. The integrity of judicial decision making is sions can have, not only on their objectivity and impartiality, undermined if it is based in whole or in part on inappropriate but also on the appearance of their objectivity and impartiality. outside influences. Despite a judge's best efforts, there may be instances when information obtained during settlement discussions could influ- Rule 2.5. Competence, Diligence, and Coop- ence a judge's decision making during trial, and, in such eration instances, the judge should consider whether disqualification (a) A judge shall perform judicial and adminis- may be appropriate. See Rule 2.11 (a) (1). trative duties competently and diligently. Rule 2.7. Responsibility To Decide (b) A judge shall cooperate with other judges 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 Rule 2.8. Decorum, Demeanor, and Commu- heard and to have issues resolved without unnecessary cost nication with Jurors or delay. A judge should monitor and supervise cases in ways that reduce or eliminate dilatory practices, avoidable delays, (a) A judge shall require order and decorum in and unnecessary costs. proceedings before the court. (b) A judge shall be patient, dignified, and cour- Rule 2.6. Ensuring the Right To Be Heard teous to litigants, jurors, witnesses, lawyers, court (a) A judge shall accord to every person who staff, court officials, and others with whom the has a legal interest in a proceeding, or that per- judge deals in an official capacity and shall require son's lawyer, the right to be heard according to similar conduct of lawyers, court staff, court offi- law. cials, and others subject to the judge's direction (b) A judge may encourage parties to a pro- and control. ceeding and their lawyers to settle matters in dis- (c) Although a judge may thank jurors for their pute but shall not act in a manner that coerces willingness to serve, a judge shall not commend any party into settlement. (Effective Jan. 1, 2011.) or criticize jurors with respect to their verdict in a 71 Copyrighted by the Secretary of the State of the State of Connecticut 

79 CODE OF JUDICIAL CONDUCT Rule 2.8 case other than in an instruction, order or opinion (5) A judge may initiate, permit, or consider any ex parte communication when expressly author- in a proceeding, if appropriate. (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. stance of a matter, the judge shall make provision Judges can be efficient and businesslike while being patient promptly to notify the parties of the substance of and deliberate. the communication and provide the parties with (2) Commending or criticizing jurors for their verdict may an opportunity to respond. imply a judicial expectation in future cases and may impair a 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. (d) A judge shall make reasonable efforts, (4) This rule does not purport to prevent a judge from including providing appropriate supervision, to returning a jury for further deliberations if its verdict is insuffi- ensure that this Rule is not violated by court staff, cient in amount, inaccurate, inconsistent with the court's court officials, and others subject to the judge's instructions or otherwise improper in form or substance. direction and control. Rule 2.9. Ex Parte Communications (Effective Jan. 1, 2011.) COMMENT: (1) To the extent reasonably possible, all par- (a) A judge shall not initiate, permit, or consider 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 is unrepresented, the party, who is to be present or to whom pending or impending matter, except as follows: notice is to be given. (1) When circumstances require it, ex parte (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. (4) A judge may initiate, permit, or consider ex parte commu- (A) the judge reasonably believes that no party nications expressly authorized by law. will gain a procedural, substantive, or tactical (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. (6) The prohibition against a judge investigating the facts all other parties of the substance of the ex parte in a matter extends to information available in all mediums, communication and gives the parties an opportu- 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 v. , 245 Conn. 301, 715 Santiago juror misconduct. See State disinterested expert on the law applicable to a A.2d 1 (1998). (7) A judge may consult ethics advisory committees, outside proceeding before the judge, if the judge gives counsel, or legal experts concerning the judge's compliance advance notice to the parties of the person to be 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- cial office. the judge. 72  Copyrighted by the Secretary of the State of the State of Connecticut

80 CODE OF JUDICIAL CONDUCT Rule 2.11 (c) A judge may consult with other judges or judge to reach a particular result or rule in a partic- ular way in the proceeding or controversy. court staff, court officials, and others subject to (5) The judge: the judge's direction and control whose function is to aid the judge in carrying out the judge's adju- (A) served as a lawyer in the matter in contro- versy or was associated with a lawyer who partici- dicative responsibilities. However, a judge shall pated substantially as a lawyer in the matter require court staff, court officials, and others sub- during such association; ject to the judge's direction and control to refrain (B) served in governmental employment and in from making statements that the judge would be such capacity participated personally and sub- prohibited from making by subsections (a) and (b). stantially as a lawyer or public official concerning (d) Notwithstanding the restrictions in subsec- the proceeding or has publicly expressed in such tion (a), a judge may make public statements in capacity an opinion concerning the merits of the the course of official duties, may explain court particular matter in controversy; or procedures, and may comment on any proceed- (C) was a material witness concerning the ing in which the judge is a litigant in a personal matter. capacity. (b) A judge shall keep informed about the (Effective Jan. 1, 2011.) judge's personal and fiduciary economic interests COMMENT: (1) This Rule's restrictions on judicial speech are essential to the maintenance of the independence, integ- and make a reasonable effort to keep informed rity, and impartiality of the judiciary. about the personal economic interests of the (2) This Rule does not prohibit a judge from commenting judge's spouse or domestic partner and minor on proceedings in which the judge is a litigant in a personal children residing in the judge's household. capacity. In cases in which the judge is a litigant in an official (c) A judge subject to disqualification under this capacity, such as a writ of mandamus, the judge must not Rule, other than for bias or prejudice under sub- comment publicly. section (a) (1), may ask the parties and their law- Rule 2.11. Disqualification yers to consider, outside the presence of the judge and court personnel, whether to waive disqualifi- (a) A judge shall disqualify himself or herself in cation, provided that the judge shall disclose on any proceeding in which the judge's impartiality the record the basis of such disqualification. If, might reasonably be questioned including, but not following the disclosure, the parties and lawyers limited to, the following circumstances: agree, either in writing or on the record before (1) The judge has a personal bias or prejudice another judge, that the judge should not be dis- concerning a party or a party's lawyer, or personal qualified, the judge may participate in the pro- knowledge of facts that are in dispute in the pro- ceeding. ceeding. (d) Notwithstanding the foregoing, a judge may (2) The judge knows that the judge, the judge's contribute to a client security fund maintained spouse or domestic partner, or a person within under the auspices of the court, and such contri- the third degree of relationship to either of them, bution will not require that the judge disqualify or the spouse or domestic partner of such a per- himself or herself from service on such a client son is: security fund committee or from participation in a (A) a party to the proceeding, or an officer, direc- lawyer disciplinary proceeding or in any matter tor, general partner, managing member, or trustee concerning restitution or subrogation relating to of a party; such a client security fund. (B) acting as a lawyer in the proceeding; (e) A judge is not automatically disqualified from (C) a person who has more than a de minimis sitting on a proceeding merely because a lawyer interest that could be substantially affected by the or party to the proceeding has filed a lawsuit proceeding; or against the judge or filed a complaint against the (D) likely to be a material witness in the pro- judge with the Judicial Review Council or an ceeding. administrative agency. When the judge becomes (3) The judge knows that he or she, individually aware pursuant to Practice Book Sections 1-22 or as a fiduciary, or the judge's spouse, domestic (b) or 4-8 or otherwise that such a lawsuit or com- partner, parent, or child, or any other member of plaint has been filed against him or her, the judge the judge's family residing in the judge's house- shall, on the record, disclose that fact to the law- hold, has an economic interest in the subject mat- yers and parties to the proceeding before such ter in controversy or in a party to the proceeding. judge, and the judge shall thereafter proceed in (4) The judge has made a public statement, accordance with Practice Book Section 1-22 (b). other than in a court proceeding, judicial decision, (f) The fact that the judge was represented or defended by the attorney general in a lawsuit that or opinion that commits or appears to commit the 73 Copyrighted by the Secretary of the State of the State of Connecticut 

81 CODE OF JUDICIAL CONDUCT Rule 2.11 arises out of the judge's judicial duties shall not be Rule 2.12. Supervisory Duties the sole basis for recusal by the judge in lawsuits (a) A judge shall take reasonable measures to where the attorney general appears. ensure that court staff, court officials, and others (Effective Jan. 1, 2011.) (Amended June 15, 2018, to take subject to the judge's direction and control act in effect Jan. 1, 2019.) a manner consistent with the judge's obligations HISTORY–2019: In the first sentence of subsection (e), under this Code. ``or an administrative agency'' was added following ``Council.'' (b) A judge with supervisory authority for the Prior to 2019, the second sentence of subsection (e) read: performance of other judges shall take reasonable ``When the judge becomes aware that such a lawsuit or com- measures to ensure that those judges properly plaint has been filed against him or her, the judge shall, on the record, disclose that fact to the lawyers and parties to the discharge their judicial responsibilities, including proceeding before such judge and shall thereafter proceed in the prompt disposition of matters before them. accordance with Practice Book Section 1-22 (b).'' (Effective Jan. 1, 2011.) : The purpose of the amendments to AMENDMENT NOTE COMMENT: (1) A judge is responsible for his or her own this Rule and to Section 1-22 and the adoption of Section 4- conduct and for the conduct of others, such as staff, when 8 is to place an affirmative obligation on the attorneys and those persons are acting at the judge's direction or control. A parties who have filed a complaint or lawsuit against a judicial judge may not direct court personnel to engage in conduct on authority to give notice of those filings so that the judicial the judge's behalf or as the judge's representative when such authority is alerted and can proceed in accordance with the conduct would violate the Code if undertaken by the judge. (2) Public confidence in the judicial system depends on appropriate ethical and procedural responsibilities. timely justice. To promote the efficient administration of justice, COMMENT: (1) Under this Rule, a judge is disqualified a judge with supervisory authority must take the steps needed whenever the judge's impartiality might reasonably be ques- to ensure that judges under his or her supervision administer tioned, regardless of whether any of the specific provisions of their workloads promptly. subsections (a) (1) through (5) apply. In many jurisdictions, the term ``recusal'' is used interchangeably with the term ``dis- Rule 2.13. Administrative Appointments qualification.'' (a) In making or facilitating administrative (2) A judge's obligation not to hear or decide matters in 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 (2) shall avoid nepotism, favoritism, and unnec- in judicial review of a judicial salary statute. In matters that essary appointments. require immediate action, the judge must disclose on the (b) A judge shall not approve compensation of record the basis for possible disqualification and make reason- appointees beyond the fair value of services able efforts to transfer the matter to another judge as soon rendered. as practicable. (Effective Jan. 1, 2011.) (4) The fact that a lawyer in a proceeding is affiliated with COMMENT: (1) Appointees of a judge include, but are a law firm with which a relative of the judge is affiliated does not not limited to, assigned counsel, officials such as referees, itself disqualify the judge. If, however, the judge's impartiality commissioners, special masters, receivers, and guardians, might reasonably be questioned under subsection (a) or the and personnel such as clerks, secretaries, and judicial mar- relative is known by the judge to have an interest in the law shals. Consent by the parties to an appointment or an award firm that could be substantially affected by the proceeding of compensation does not relieve the judge of the obligation under subsection (a) (2) (C), the judge's disqualification is prescribed by subsection (a). required. (2) Unless otherwise defined by law, nepotism is the (5) The Rule does not prevent a judge from relying on appointment or hiring of any relative within the third degree personal knowledge of historical or procedural facts acquired of relationship of either the judge or the judge's spouse or as a result of presiding over the proceeding itself. domestic partner, or the spouse or domestic partner of (6) Subsection (d) is intended to make clear that the restric- such relative. tions imposed by , 184 Conn. Connecticut Bar Assn. Dacey v. 21, 441 A.2d 49 (1981), or any implications therefrom should Rule 2.14. Disability and Impairment not be considered to apply to judges contributing to a client A judge having a reasonable belief that the per- security fund under the auspices of the court. formance of a lawyer or another judge is impaired AMENDMENT NOTE–2011 : Comment (7) to Rule 2.11 by drugs or alcohol or by a mental, emotional, or was adopted by the judges of the Appellate Court on July 15, physical condition, shall take appropriate action, 2010, and the justices of the Supreme Court on July 1, 2010. It which may include notifying appropriate judicial was not, however, adopted by the judges of the Superior Court. (7) A justice of the Supreme Court or a judge of the Appellate authorities or a confidential referral to a lawyer or Court is not disqualified from sitting on a proceeding merely judicial assistance program. because he or she previously practiced law with the law firm (Effective Jan. 1, 2011.) or attorney who filed an amicus brief in the matter, or the COMMENT: (1) ``Appropriate action'' means action justice's or judge's spouse, domestic partner, parent, or child, intended and reasonably likely to help the judge or lawyer in or any other member of the justice's or judge's family residing question address the problem. Depending on the circum- in his or her household is practicing or has practiced law with stances, appropriate action may include, but is not limited to, such law firm or attorney. speaking directly to the impaired person, notifying an individual 74  Copyrighted by the Secretary of the State of the State of Connecticut

82 CODE OF JUDICIAL CONDUCT Rule 3.1 with supervisory responsibility over the impaired person, or efforts to ensure public respect for the justice system. This making a referral to an assistance program. Rule limits the reporting obligation to those offenses that an (2) Taking or initiating corrective action by way of notifying independent judiciary must vigorously endeavor to prevent. judicial administrators or referral to an assistance program (2) A judge who does not have actual knowledge that may satisfy a judge's responsibility under this Rule. Assistance another judge or a lawyer may have committed misconduct, programs have many approaches for offering help to impaired but receives information indicating a substantial likelihood of judges and lawyers, such as intervention, counseling, or refer- such misconduct, is required to take appropriate action under ral to appropriate health care professionals. Depending on the subsections (c) and (d), except as otherwise provided in sub- gravity of the conduct that has come to the judge's attention, section (e). Appropriate action may include, but is not limited however, the judge may be required to take other action, such to, communicating directly with the judge who may have vio- as reporting the impaired judge or lawyer to the appropriate lated this Code, communicating with a supervising judge, or authority, agency, or body. See Rule 2.15. reporting the suspected violation to the appropriate authority (3) A client security fund has been established to promote or other agency or body. public confidence in the judicial system and the integrity of the (3) Similarly, actions to be taken in response to information legal profession by, among other things, a lawyers assistance indicating that a lawyer has committed a violation of the Rules program providing crisis intervention and referral assistance of Professional Conduct may include, but are not limited to, to attorneys admitted to the practice of law in this state who communicating directly with the lawyer who may have commit- suffer from alcohol or other substance abuse problems or ted the violation or reporting the suspected violation to the gambling problems or who have behavioral health problems. appropriate authority or other agency or body. See Practice Book Section 2-68. Rule 2.16. Cooperation with Disciplinary Rule 2.15. Responding to Judicial and Law- yer Misconduct Authorities (a) A judge having knowledge that another (a) A judge shall cooperate and be candid and judge has committed a violation of this Code that honest with judicial and lawyer disciplinary raises a substantial question regarding the judge's agencies. honesty, trustworthiness, or fitness as a judge in (b) A judge shall not retaliate, directly or indi- other respects shall take appropriate action rectly, against a person known or suspected to including informing the appropriate authority. 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 Conduct the Judge Shall (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 committed a violation of this Code shall take appropriate action. the Obligations of Judicial Office. (d) A judge who receives information indicating a substantial likelihood that a lawyer has commit- Rule 3.1. Extrajudicial Activities in General ted a violation of the Rules of Professional Con- A judge may engage in extrajudicial activities, duct shall take appropriate action. except as prohibited by law. However, when (e) A judge is not required to disclose informa- engaging in extrajudicial activities, a judge shall tion gained by the judge while serving as a mem- not: ber of a committee that renders assistance to ill (1) participate in activities that will interfere with or impaired judges or lawyers or while serving as the proper performance of the judge's judicial a member of a bar association professional ethics duties; committee or the Judicial Branch Committee on (2) participate in activities that will lead to fre- Judicial Ethics. (Effective Jan. 1, 2011.) quent disqualification of the judge; COMMENT: (1) Taking appropriate action under the cir- (3) participate in activities that would appear to cumstances to address known misconduct is a judge's obliga- a reasonable person to undermine the judge's tion. Except as otherwise provided in subsection (e), independence, integrity, or impartiality; subsections (a) and (b) impose an obligation on the judge to report to the appropriate disciplinary authority the known (4) engage in conduct that would appear to a misconduct of another judge or a lawyer that raises a substan- reasonable person to be coercive; or tial question regarding the honesty, trustworthiness, or fitness (5) make use of court premises, staff, statio- of that judge or lawyer. Ignoring or denying known misconduct nery, equipment, or other resources, except for among one's judicial colleagues or members of the legal pro- incidental use or for activities that concern the fession undermines a judge's responsibility to participate in 75 Copyrighted by the Secretary of the State of the State of Connecticut 

83 CODE OF JUDICIAL CONDUCT Rule 3.1 3.1 (3), prohibiting judges from engaging in extrajudicial activi- law, the legal system, or the administration of jus- ties that would appear to a reasonable person to undermine tice, or unless such additional use is permitted the judge's independence, integrity, or impartiality. by law. (3) In general, it would be an unnecessary and unfair burden (Effective Jan. 1, 2011.) to prohibit judges from appearing before governmental bodies COMMENT: (1) To the extent that time permits, and judicial or consulting with government officials on matters that are independence and impartiality are not compromised, judges likely to affect them as private citizens, such as zoning propos- are encouraged to engage in appropriate extrajudicial activi- als affecting their real property. In engaging in such activities, ties. Judges are uniquely qualified to engage in extrajudicial however, a judge should state affirmatively that the judge is activities that concern the law, the legal system, and the admin- not acting in his or her official capacity and must otherwise istration of justice, such as by speaking, writing, teaching, or exercise caution to avoid using the prestige of judicial office. participating in scholarly research projects. In addition, judges are permitted and encouraged to engage in educational, reli- Rule 3.3. Testifying as a Character Witness gious, charitable, fraternal or civic extrajudicial activities not conducted for profit, even when the activities do not involve A judge shall not testify as a character witness the law. See Rule 3.7. in a judicial, administrative, or other adjudicatory (2) Participation in both law related and other extrajudicial proceeding or otherwise vouch for the character activities helps integrate judges into their communities and of a person in a legal proceeding, except when furthers public understanding of and respect for courts and the judicial system. duly summoned. (3) Discriminatory actions and expressions of bias or preju- (Effective Jan. 1, 2011.) dice by a judge, even outside the judge's official or judicial COMMENT: A judge who, without being duly summoned, actions, are likely to appear to a reasonable person to call testifies as a character witness abuses the prestige of judicial into question the judge's integrity and impartiality. Examples office to advance the interests of another. See Rule 1.3. Except include jokes or other remarks that demean individuals based in unusual circumstances where the demands of justice on their race, sex, gender, religion, national origin, ethnicity, require, a judge should discourage a party from requiring the disability, age, sexual orientation, or socioeconomic status. judge to testify as a character witness. For the same reason, a judge's extrajudicial activities must not be conducted in connection or affiliation with an organiza- Rule 3.4. Appointments to Governmental tion that practices unlawful discrimination. See Rule 3.6. Positions (4) While engaged in permitted extrajudicial activities, judges must not coerce others or take action that would rea- A judge shall not accept appointment to a gov- sonably be perceived as coercive. For example, depending ernmental committee, board, commission, or on the circumstances, a judge's solicitation of contributions or other governmental position, unless it is one that memberships for an organization, even as permitted by Rule concerns the law, the legal system, or the adminis- 3.7 (a), might create the risk that the person solicited would feel obligated to respond favorably or would do so to curry tration of justice. favor with the judge. (Effective Jan. 1, 2011.) COMMENT: (1) Rule 3.4 implicitly acknowledges the value Rule 3.2. Appearances before Governmen- of judges accepting appointments to entities that concern the tal Bodies and Consultation with Govern- law, the legal system, or the administration of justice. Even ment Officials in such instances, however, a judge should assess the appro- priateness of accepting an appointment, paying particular A judge shall not appear voluntarily at a public attention to the subject matter of the appointment and the hearing before, or otherwise consult with, an exec- availability and allocation of judicial resources, including the utive or a legislative body or official, except: 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 locality on ceremonial occasions or in connection with histori- (2) in connection with matters about which the cal, educational, or cultural activities. Such representation judge acquired knowledge or expertise in the 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- ies and executive or legislative branch officials. A judge shall not intentionally disclose or use (2) In appearing before governmental bodies or consulting confidential information acquired in a judicial with government officials, judges must be mindful that they capacity for any purpose unrelated to the judge's remain subject to other provisions of this Code, such as Rule judicial duties unless the judge is acting on infor- 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 public comment on pending and impending matters; and Rule of the judge, a member of the judge's family, court 76 Copyrighted by the Secretary of the State of the State of Connecticut 

84 Rule 3.7 CODE OF JUDICIAL CONDUCT personnel, a judicial officer or any other person if (4) appearing or speaking at, receiving an consistent with other provisions of this Code. award or other recognition at, being featured on (Effective Jan. 1, 2011.) the program of, and permitting his or her title to COMMENT: In the course of performing judicial duties, a be used in connection with an event of such an judge may acquire information of commercial or other value organization or entity, but if the event serves a that is unavailable to the public. The judge must not reveal or fund-raising purpose, the judge may participate use such information for personal gain or for any purpose only if the event concerns the law, the legal sys- unrelated to his or her judicial duties. tem, or the administration of justice; Rule 3.6. Affiliation with Discriminatory (5) making recommendations to such a public Organizations or private fund-granting organization or entity in connection with its programs and activities but (a) A judge shall not hold membership in any only if the organization or entity is concerned with organization that practices unlawful discrimination the law, the legal system, or the administration of on the basis of race, sex, gender, religion, national justice; and origin, ethnicity, physical or mental disability, or (6) serving as an officer, director, trustee, or sexual orientation. When a judge learns that an nonlegal advisor of such an organization or entity, organization to which the judge belongs engages unless it is likely that the organization or entity: 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 of an organization if the judge knows or should (B) will frequently be engaged in adversary pro- know that the organization practices unlawful dis- ceedings in the court of which the judge is a mem- crimination on one or more of the bases identified ber or in any court subject to the appellate in subsection (a). A judge's attendance at an event jurisdiction of the court of which the judge is a in a facility of an organization that the judge is not member. permitted to join is not a violation of this Rule (b) A judge may encourage lawyers to provide when the judge's attendance is an isolated event pro bono publico legal services. that could not reasonably be perceived as an (Effective Jan. 1, 2011.) 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- (a) Subject to the requirements of Rule 3.1, a tion, or the nature of the judge's participation in or association judge may participate in activities sponsored by with the organization, would conflict with the judge's obligation 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- (1) assisting such an organization or entity in tional, religious, charitable, fraternal, or civic organizations. 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- justice; nizing lawyers who have done pro bono publico work. 77  Copyrighted by the Secretary of the State of the State of Connecticut

85 CODE OF JUDICIAL CONDUCT Rule 3.8 office to advance the judge's personal or family interests. See Rule 3.8. Appointments to Fiduciary Posi- Rule 1.3. tions (a) A judge shall not accept appointment to Rule 3.11. Financial, Business, or Remuner- serve in a fiduciary position, such as executor, ative Activities administrator, trustee, guardian, attorney in fact, (a) A judge may hold and manage investments or other personal representative, except for the of the judge and members of the judge's family. estate, trust, or person of a member of the judge's (b) A judge shall not serve as an officer, director, family, and then only if such service will not inter- manager, general partner or advisor of any busi- fere with the proper performance of judicial duties. ness entity except for: (b) A judge shall not serve in a fiduciary position (1) a business closely held by the judge or mem- if the judge as fiduciary will likely be engaged in bers of the judge's family; or proceedings that would ordinarily come before the (2) a business entity primarily engaged in judge or if the estate, trust, or ward becomes investment of the financial resources of the judge involved in adversary proceedings in the court on or members of the judge's family. which the judge serves or one under its appel- (c) A judge shall not engage in financial activi- late jurisdiction. ties permitted under subsections (a) and (b) if (c) A judge acting in a fiduciary capacity shall they will: be subject to the same restrictions on engaging in (1) interfere with the proper performance of judi- financial activities that apply to a judge personally. cial duties; (d) If a person who is serving in a fiduciary (2) lead to frequent disqualification of the judge; position becomes a judge, he or she must comply (3) involve the judge in frequent transactions or with this Rule as soon as reasonably practicable continuing business relationships with lawyers or but in no event later than one year after becoming other persons likely to come before the court on a judge. which the judge serves; or (Effective Jan. 1, 2011.) (4) result in violation of other provisions of COMMENT: A judge should recognize that other restric- this Code. tions imposed by this Code may conflict with a judge's obliga- (Effective Jan. 1, 2011.) tions as a fiduciary; in such circumstances, a judge should COMMENT: (1) Judges are generally permitted to engage resign as fiduciary. For example, serving as a fiduciary might in financial activities, including managing real estate and other require frequent disqualification of a judge under Rule 2.11 investments for themselves or for members of their families. because a judge is deemed to have an economic interest in Participation in these activities, like participation in other extra- shares of stock held by a trust if the amount of stock held is judicial activities, is subject to the requirements of this Code. more than de minimis. For example, it would be improper for a judge to spend so 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 A judge shall not act as an arbitrator or a media- be improper for a judge to use his or her official title or to 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 such acceptance would appear to a reasonable Except as provided herein, a judge shall not person to undermine the judge's independence, practice law. A judge may act as a self-repre- integrity, or impartiality. sented party and may, without compensation, give (Effective Jan. 1, 2011.) 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. 78 Copyrighted by the Secretary of the State of the State of Connecticut 

86 CODE OF JUDICIAL CONDUCT Rule 3.14 Rule 3.13. Acceptance and Reporting of activities permitted by this Code, if the same invi- tation is offered to nonjudges who are engaged Gifts, Loans, Bequests, Benefits, or Other in similar ways in the activity as is the judge. Things of Value (Effective Jan. 1, 2011.) (a) A judge shall not accept any gifts, loans, COMMENT: (1) Whenever a judge accepts a gift or other bequests, benefits, or other things of value, if thing of value without paying fair market value, there is a risk acceptance is prohibited by law or would appear that the benefit might be viewed as intended to influence the to a reasonable person to undermine the judge's judge's decision in a case. Rule 3.13 imposes restrictions on the acceptance of such benefits, according to the magnitude independence, integrity, or impartiality. of the risk. Subsection (b) identifies circumstances in which (b) Unless otherwise prohibited by law, or by the risk that the acceptance would appear to undermine the subsection (a), a judge may accept the following judge's independence, integrity, or impartiality is low and without publicly reporting such acceptance: explicitly provides that such items need not be publicly (1) items with little intrinsic value, such as reported. As the value of the benefit or the likelihood that the plaques, certificates, trophies, and greeting cards; source of the benefit will appear before the judge increases, the judge is either prohibited under subsection (a) from (2) gifts, loans, bequests, benefits, or other accepting the gift, or required under subsection (c) to publicly things of value from friends, relatives, or other report it. persons, including lawyers, whose appearance or (2) Gift giving between friends and relatives is a common interest in a proceeding pending or impending occurrence and ordinarily does not create an appearance of before the judge would in any event require dis- 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- promised. In addition, when the appearance of friends or rela- (3) ordinary social hospitality; tives in a case would require the judge's disqualification under (4) commercial or financial opportunities and Rule 2.11, there would be no opportunity for a gift to influence benefits, including special pricing and discounts, the judge's decision making. Subsection (b) (2) places no and loans from lending institutions in their regular restrictions on the ability of a judge to accept gifts or other course of business, if the same opportunities and 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. (3) Businesses and financial institutions frequently make terms to similarly situated persons who are not available special pricing, discounts, and other benefits, either judges; in connection with a temporary promotion or for preferred (5) rewards and prizes given to competitors or customers, based on longevity of the relationship, volume of participants in random drawings, contests, or business transacted, and other factors. A judge may freely other events that are open to persons who are accept such benefits if they are available to the general public not judges; or if the judge qualifies for the special price or discount according to the same criteria as are applied to persons who (6) scholarships, fellowships, and similar bene- are not judges. As an example, loans provided at generally fits or awards, if they are available to similarly prevailing interest rates are not gifts, but a judge could not situated persons who are not judges, based on accept a loan from a financial institution at below-market inter- the same terms and criteria; est rates unless the same rate was being made available to (7) books, magazines, journals, audiovisual the general public for a certain period of time or only to borrow- ers with specified qualifications that the judge also possesses. materials, and other resource materials supplied (4) Rule 3.13 applies only to acceptance of gifts or other by publishers on a complimentary basis for official things of value by a judge. Nonetheless, if a gift or other benefit use; or is given to the judge's spouse, domestic partner, or member (8) gifts, awards, or benefits associated with the of the judge's family residing in the judge's household, it may business, profession, or other separate activity be viewed as an attempt to evade Rule 3.13 and influence of a spouse, a domestic partner, or other family the judge indirectly. Where the gift or benefit is being made primarily to such other persons, and the judge is merely an member of a judge residing in the judge's house- incidental beneficiary, this concern is reduced. A judge should, hold but that incidentally benefit the judge. however, remind family and household members of the restric- (c) Unless otherwise prohibited by law or by tions imposed on judges and urge them to take these restric- subsection (a), a judge may accept the following tions into account when making decisions about accepting items and must report such acceptance to the such gifts or benefits. extent required by Rule 3.15: Rule 3.14. Reimbursement of Expenses and (1) gifts incident to a public testimonial; Waivers of Fees or Charges (2) invitations to the judge and the judge's spouse, domestic partner, or guest to attend with- (a) Unless otherwise prohibited by Rules 3.1 out charge: and 3.13 (a) or other law, a judge may accept (A) an event associated with a bar related func- reimbursement of necessary and reasonable tion or other activity relating to the law, the legal expenses for travel, food, lodging, or other inci- system, or the administration of justice; or dental expenses, or a waiver or partial waiver of (B) an event associated with any of the judge's fees or charges for registration, tuition, and similar educational, religious, charitable, fraternal or civic items, from sources other than the judge's 79 Copyrighted by the Secretary of the State of the State of Connecticut 

87 CODE OF JUDICIAL CONDUCT Rule 3.14 invited, and whether the program is designed specifically for employing entity, if the expenses or charges are judges. associated with the judge's participation in extra- judicial activities permitted by this Code. Rule 3.15. Reporting Requirements (b) Reimbursement of expenses for necessary (a) A judge shall publicly report the amount or travel, food, lodging, or other incidental expenses value of: shall be limited to the actual costs reasonably (1) compensation received for extrajudicial incurred by the judge or a reasonable allowance activities as permitted by Rule 3.12; therefor and, when appropriate to the occasion, (2) gifts and other things of value as permitted by the judge's spouse, domestic partner, or guest. by Rule 3.13 (c), unless the value of such items, (c) A judge who accepts reimbursement of alone or in the aggregate with other items received expenses or waivers or partial waivers of fees from the same source in the same calendar year, or charges on behalf of the judge or the judge's does not exceed $250; and spouse, domestic partner, or guest shall publicly (3) reimbursement of expenses and waiver of report such acceptance as required by Rule 3.15. fees or charges permitted by Rule 3.14 (a), unless (Effective Jan. 1, 2011.) 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. waivers received from the same source in the Judges are encouraged to attend educational programs, as same calendar year, does not exceed $250. both teachers and participants, in law related and academic (b) When public reporting is required by subsec- disciplines, in furtherance of their duty to remain competent 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 loan, bequest, benefit, or other thing of value partial-fee-waived basis and sometimes include reimburse- accepted; and the source of reimbursement of ment for necessary travel, food, lodging, or other incidental expenses or waiver or partial waiver of fees or expenses. A judge's decision whether to accept reimburse- 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 reimbursement of expenses and waiver or partial costs incurred. The judge must undertake a reasonable inquiry waiver of fees or charges, the report shall be made to obtain the information necessary to make an informed judg- 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 able person to undermine the judge's independence, integrity, of the Chief Court Administrator or other office or impartiality. The factors that a judge should consider when designated by law. deciding whether to accept reimbursement or a fee waiver for attendance at a particular activity include: (Effective Jan. 1, 2011.) (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 for-profit entity; cal or Campaign Activity that Is Inconsistent (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; (d) whether the activity is primarily educational rather than (a) Except as permitted by law, or by Rules 4.2 recreational and whether the costs of the event are reasonable and 4.3, a judge shall not: 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- ing sources is available upon inquiry; (2) make speeches on behalf of a political orga- (f) whether the sponsor or source of funding is generally nization; associated with particular parties or interests currently (3) publicly endorse or oppose a candidate for appearing or likely to appear in the judge's court, thus possibly any public office; requiring disqualification of the judge under Rule 2.11; (4) solicit funds for, pay an assessment to, or (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- pants are invited, whether a large number of participants are a candidate for public office; 80  Copyrighted by the Secretary of the State of the State of Connecticut

88 CODE OF JUDICIAL CONDUCT Rule 4.1 their families to take, reasonable steps to avoid any implication (5) attend or purchase tickets for dinners or that they endorse any family member's candidacy or other other events sponsored by a political organization political activity. or a candidate for public office; (5) Judges retain the right to participate in the political pro- (6) seek, accept, or use endorsements from a cess as voters in both primary and general elections. political organization; Statements and Comments Made By a Sitting Judge (7) knowingly, or with reckless disregard for the When Seeking Reappointment for truth, make any false or misleading statement in Judicial Office or Elevation to a connection with the appointment or reap- Higher Judicial Office pointment process; (6) Judges must be scrupulously fair and accurate in all (8) make any statement that would reasonably statements made by them. Subsection (a) (7) obligates judges be expected to affect the outcome or impair the to refrain from making statements that are false or misleading fairness of a matter pending or impending in any or that omit facts necessary to make the communication con- court; or sidered as a whole not materially misleading. (9) in connection with cases, controversies, or (7) Judges are sometimes the subject of false, misleading, issues that are likely to come before the court, or unfair allegations made by third parties or the media. For example, false or misleading statements might be made make pledges, promises, or commitments that are regarding the identity, present position, experience, qualifica- inconsistent with the impartial performance of the tions, or judicial rulings of a judge. In other situations, false adjudicative duties of judicial office. 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. (8) Subject to subsection (a) (8), a judge is permitted to subsection (a). respond directly to false, misleading, or unfair allegations (c) A judge should not engage in any other made against him or her, although it is preferable for someone political activity except on behalf of measures to else to respond if the allegations relate to a pending case. improve the law, the legal system, or the adminis- (9) Subsection (a) (8) prohibits judges from making com- tration of justice. ments that might impair the fairness of pending or impending (Effective Jan. 1, 2011.) 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. (11) Subsection (a) (9) makes applicable to judges the Participation in Political Activities prohibition that applies to judges in Rule 2.10 (b), relating to pledges, promises, or commitments that are inconsistent with (2) Public confidence in the independence and impartiality the impartial performance of the adjudicative duties of judi- of the judiciary is eroded if judges are perceived to be subject cial office. to political influence. Although judges may register to vote as (12) The making of a pledge, promise, or commitment is members of a political party, they are prohibited by subsection not dependent on, or limited to, the use of any specific words (a) (1) from assuming leadership roles in political organi- or phrases; instead, the totality of the statement must be exam- zations. ined to determine if a reasonable person would believe that (3) Subsections (a) (2) and (a) (3) prohibit judges from the judge has specifically undertaken to reach a particular making speeches on behalf of political organizations or publicly result. Pledges, promises, or commitments must be contrasted endorsing or opposing candidates for public office, respec- with statements or announcements of personal views on legal, tively, to prevent them from abusing the prestige of judicial political, or other issues, which are not prohibited. When mak- office to advance the interests of others. See Rule 1.3. ing such statements, a judge should acknowledge the over- (4) Although members of the families of judges are free to arching judicial obligation to apply and uphold the law, without engage in their own political activity, including running for regard to his or her personal views. public office, there is no ``family exception'' to the prohibition 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 81  Copyrighted by the Secretary of the State of the State of Connecticut

89 CODE OF JUDICIAL CONDUCT Rule 4.1 that are inconsistent with the impartial performance of the as working toward an improved jury selection system or advo- cating for more funds to improve the physical plant and ameni- adjudicative duties of the office. See Rule 4.1 (a) (9). ties of the courthouse. (2) It is never acceptable to seek an endorsement of an advocacy group or a group whose interests have or are likely (14) Judges may receive questionnaires or requests for to come before the judge. interviews from the media and from issue advocacy or other community organizations that seek to learn their views on Rule 4.3. Activities of Judges Who Become disputed or controversial legal or political issues. Subsection Candidates for Public Office (a) (13) does not specifically address judicial responses to such inquiries. Depending on the wording and format of such (a) Upon becoming a candidate for an elective questionnaires, judges' responses might be viewed as public office either in a party primary or a general pledges, promises, or commitments to perform the adjudica- election, a judge shall resign from judicial office, tive duties of office other than in an impartial way. To avoid unless permitted by law to continue to hold judicial violating subsection (a) (13), therefore, judges who respond office. A judge may continue to hold judicial office to media and other inquiries should also give assurances that they will keep an open mind and will carry out their adjudicative while being a candidate for election to or serving duties faithfully and impartially. Judges who do not respond as a delegate in a state constitutional convention. may state their reasons for not responding, such as the danger (b) Upon becoming a candidate for an appoint- that answering might be perceived by a reasonable person ive public office, a judge is not required to resign as undermining a judge's independence or impartiality or that from judicial office, provided that the judge com- it might lead to frequent disqualification. See Rule 2.11. plies with the other provisions of this Code. (Effective Jan. 1, 2011.) Rule 4.2. Activities of Judges as Candidates COMMENT: (1) In campaigns for elective public office, can- for Reappointment or Elevation to Higher didates may make pledges, promises, or commitments related Judicial Office to positions they would take and ways they would act if elected A judge who is a candidate for reappointment to office. Although appropriate in public campaigns, this man- ner of campaigning is inconsistent with the role of a judge, or elevation to higher judicial office may: who must remain fair and impartial to all who come before (a) communicate with the appointing or confirm- him or her. The potential for misuse of the judicial office and ing authority, including any selection, screening, the political promises that the judge would be compelled to or nominating commission or similar agency; and make in the course of campaigning for elective public office (b) seek endorsements for the appointment together dictate that a judge who wishes to run for such an office must resign upon becoming a candidate. from any person or organization other than a parti- (2) The ``resign to run'' rule set forth in subsection (a) san political organization, provided that such ensures that a judge cannot use the judicial office to promote endorsement or the request therefor would not his or her candidacy and prevents postcampaign retaliation appear to a reasonable person to undermine the from the judge in the event the judge is defeated in the election. judge's independence, integrity or impartiality. When a judge is seeking appointive public office, however, (Effective Jan. 1, 2011.) the dangers are not sufficient to warrant imposing the ``resign COMMENT: (1) When seeking support or when communi- to run'' rule. However, the judge should be careful to avoid cating directly with an appointing or confirming authority, a presiding over matters affecting the entity to which the judge is seeking public office. judge must not make any pledges, promises, or commitments 82 Copyrighted by the Secretary of the State of the State of Connecticut 

90 CHAPTER AND SECTION HEADINGS OF THE RULES CHAPTER AND SECTION HEADINGS OF THE RULES SUPERIOR COURT–GENERAL PROVISIONS 2-4A. –Records of Examining Committee CHAPTER 1 2-5. –Examination of Candidates for Admission SCOPE OF RULES 2-5A. –Good Moral Character and Fitness To Prac- Sec. tice Law Scope of Rules; Definitions 1-1. –Personnel of Examining Committee 2-6. 1-2. Assignments To Take Precedence Number of Times an Applicant May Sit for the 2-7. 1-3. Divisions of Superior Court Examination Family Division 1-4. 2-8. Qualifications for Admission 1-5. Civil Division Certification of Applicants Recommended for 2-9. Criminal Division 1-6. Admission; Conditions of Admission Housing Division (Only in Judicial Districts Speci- 1-7. Admission by Superior Court 2-10. fied by Statute) Monitoring Compliance with Conditions of Admis- 2-11. 1-8. Rules To Be Liberally Interpreted sion; Removal or Modification of Conditions 1-9. Publication of Rules; Effective Date Appeal from Decision of Bar Examining Commit- 2-11A. 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 Possession of Electronic Devices in Court 1-10. Attorneys of Other Jurisdictions; Qualifications 2-13. Facilities and Requirements for Admission Definition of ``Media'' 1-10A. 2-13A. Military Spouse Temporary Licensing 1-10B. Media Coverage of Court Proceedings; In General 2-14. –Action by Bar; Temporary License [Repealed] Coverage of Criminal Proceedings 1-11. Media –Permanent License [Repealed] 2-15. [Repealed] –Authorized House Counsel 2-15A. Media Coverage of Arraignments 1-11A. –Attorney Appearing Pro Hac Vice 2-16. Media Coverage of Civil Proceedings 1-11B. Foreign Legal Consultants; Licensing Require- 2-17. Media Coverage of Criminal Proceedings 1-11C. ments Pilot Program To Increase Public Access to Child 1-11D. 2-18. –Filings To Become Foreign Legal Consultant Protection Proceedings [Repealed] –Scope of Practice of Foreign Legal Consultants 2-19. Court Opening 1-12. 2-20. Foreign Provisions regarding –Disciplinary 1-13. Recess and Adjournment Legal Consultants 1-13A. Contempt –Affiliation of Foreign Legal Consultant with the 2-21. 1-14. –Criminal Contempt Bar of the State of Connecticut –Who May Be Punished [Repealed] 1-15. Disposition of Fees for Admission to the Bar 2-22. 1-16. –Summary Criminal Contempt Roll of Attorneys 2-23. –Deferral of Proceedings 1-17. Notice by Attorney of Admission in Other Juris- 2-24. –Nonsummary Contempt Proceedings 1-18. dictions 1-19. –Judicial Authority Disqualification in Nonsum- 2-25. Notice by Attorney of Disciplinary Action in mary Contempt Proceedings Other Jurisdictions 1-20. –Where No Right to Jury Trial in Nonsummary Notice by Attorney of Change in Address 2-26. Proceeding 2-27. Clients' Funds; Lawyer Registration 1-21. –Nonsummary Judgment 2-27A. Minimum Continuing Legal Education 1-21A. –Civil Contempt Overdraft Notification 2-28. 1-22. Disqualification of Judicial Authority Attorney Advertising; Mandatory Filing 2-28A. 1-23. Motion for Disqualification of Judicial Authority 2-28B. –Advisory Opinions Record of Off-Site Judicial Proceedings 1-24. 2-29. Grievance Panels 1-25. Actions Subject to Sanctions Grievance Counsel for Panels and Investigators 2-30. Powers and Duties of Grievance Counsel 2-31. CHAPTER 2 Filing Complaints against Attorneys; Action; 2-32. Time Limitation ATTORNEYS Statewide Grievance Committee 2-33. 2-34. Statewide Bar Counsel Sec. 2-34A. Disciplinary Counsel County Court Designations concerning Bar 2-1. 2-35. Action by Statewide Grievance Committee or Admission Process Reviewing Committee Admission 2-2. 2-36. Action by Statewide Grievance Committee on Examining Committee 2-3. Request for Review –Regulations by Examining Committee 2-4. 83  Copyrighted by the Secretary of the State of the State of Connecticut

91 CHAPTER AND SECTION HEADINGS OF THE RULES Sanctions and Conditions Which May Be Imposed 2-37. 2-75. –Processing Claims by Committees 2-76. –Confidentiality 2-38. Appeal from Decision of Statewide Grievance 2-77. –Review of Status of Fund Committee or Reviewing Committee Imposing –Attorney's Fee for Prosecuting Claim 2-78. Sanctions or Conditions –Enforcement of Payment of Fee 2-79. Reciprocal Discipline –Restitution by Attorney 2-80. 2-39. Discipline of Attorneys Found Guilty of Serious 2-40. –Restitution and Subrogation 2-81. Admission of Misconduct; Discipline by Consent Crimes in Connecticut 2-82. Effective Dates Discipline of Attorneys Found Guilty of Serious 2-41. 2-83. Crimes in Another Jurisdiction Conduct Constituting Threat of Harm to Clients 2-42. CHAPTER 3 Notice by Attorney of Alleged Misuse of Clients' 2-43. Funds and Garnishments of Lawyers' Trust APPEARANCES Accounts Sec. 2-44. Power of Superior Court To Discipline Attorneys 3-1. Appearance for Plaintiff on Writ or Complaint in and To Restrain Unauthorized Practice Civil and Family Cases 2-44A. Definition of the Practice of Law 3-2. Time To File Appearance –Cause Occurring in Presence of Court 2-45. Form and Signing of Appearance 3-3. 2-46. Suspension of Attorneys Who Violate Support 3-4. Filing Appearance Orders 3-5. Service of Appearances on Other Parties Presentments and Unauthorized Practice of 2-47. 3-6. Appearances for Bail or Detention Hearing Only Law Petitions 3-7. Consequence of Filing Appearance 2-47A. Disbarment of Attorney for Misappropriation of 3-8. Appearance for Represented Party Funds 3-9. Withdrawal of of Duration Appearance; Restrictions on the Activities of Deactivated 2-47B. Appearance Attorneys Motion To Withdraw Appearance 3-10. Designee To Prosecute Presentments 2-48. 3-11. Appearance for Several Parties 2-49. Restitution Change in Name, Composition or Membership of 3-12. Records of Statewide Grievance Committee, 2-50. a Firm or Professional Corporation Reviewing Committee and Grievance Panel 3-13. When Creditor May Appear and Defend Costs and Expenses 2-51. Legal Interns 3-14. 2-52. Resignation and Waiver of Attorney Facing Disci- 3-15. –Supervision of Legal Interns plinary Investigation 3-16. –Requirements and Limitations Reinstatement after Suspension, Disbarment or 2-53. 3-17. –Activities of Legal Intern Resignation 3-18. –Certification of Intern Publication of Notice of Reprimand, Suspension, 2-54. 3-19. –Legal Internship Committee [Repealed] Disbarment, Resignation, Placement on Inac- –Unauthorized Practice 3-20. tive Status or Reinstatement –Out-of-State Interns 3-21. Retirement of Attorney–Right of Revocation 2-55. Retirement of Attorney–Permanent 2-55A. CHAPTER 4 2-56. Inactive Status of Attorney –Prior Judicial Determination of Incompetency or 2-57. PLEADINGS Involuntary Commitment –No Prior Determination of Incompetency or 2-58. Sec. Involuntary Commitment Form of Pleading 4-1. 2-59. –Disability Claimed during Course of Disciplin- 4-2. Signing of Pleading ary Proceeding 4-3. Filing and Endorsing Pleadings –Reinstatement upon Termination of Disability 2-60. Electronic Filing 4-4. –Burden of Proof in Inactive Status Proceedings 2-61. Notice Required for Ex Parte Temporary 4-5. 2-62. –Waiver of Doctor-Patient Privilege upon Appli- Injunctions cation for Reinstatement Page Limitations for Briefs, Memoranda of Law 4-6. Definition of Respondent 2-63. and Reply Memoranda 2-64. Appointment of Attorney To Protect Clients' and Personal Identifying Information To Be Omitted 4-7. Attorney's Interests or Redacted from Court Records in Civil and 2-65. Good Standing of Attorney Family Matters 2-66. Practice by Court Officials 4-8. Notice of Complaint or Action Filed against Judi- Payment of Attorneys by Bank and Trust Com- 2-67. cial Authority panies Client Security Fund Established 2-68. CHAPTER 5 –Crisis Intervention and Referral Assistance 2-68A. –Definition of Dishonest Conduct 2-69. TRIALS 2-70. –Client Security Fund Fee Sec. –Eligible Claims 2-71. 5-1. Trial Briefs –Client Security Fund Committee 2-72. 5-2. Raising Questions of Law Which May Be the Sub- –Powers and Duties of Client Security Fund Com- 2-73. ject of an Appeal mittee Administering Oath 5-3. –Regulations of Client Security Fund Committee 2-74. 84 Copyrighted by the Secretary of the State of the State of Connecticut 

92 CHAPTER AND SECTION HEADINGS OF THE RULES 5-4. Examination of Witnesses 7-2. General Duties of Clerk Objections to Evidence; Interlocutory Questions; 5-5. 7-3. Financial Accounts Exceptions Not Required 7-4. Daybook Reception of Evidence Objected to 5-6. 7-4A. Identification of Cases Marking Exhibits 5-7. Motion To File Record under Seal 7-4B. Interlocutory Matters 5-8. 7-4C. Lodging a Record Citation of Opinion Not Officially Published 5-9. Notice To Attorneys and Self-Represented Parties 7-5. [Repealed] 7-6. Filing of Papers 5-10. Sanctions for Counsel's Failure To Appear Custody of Files 7-7. 5-11. Testimony of Party or Child in Family Relations 7-8. Lost File or Pleading Matter When Protective Order, Restraining Completing Records 7-9. Order, Standing Criminal Protective Order or Retention and Destruction of Files and Records; 7-10. Standing Criminal Restraining Order issued on Withdrawals, Satisfactions of Dismissals, Behalf of Party or Child Judgment –Judgments on the Merits–Stripping and 7-11. CHAPTER 6 Retention JUDGMENTS 7-12. –Actions Affecting the Title to Land –Criminal/Motor Vehicle Files and Records 7-13. Sec. –Reports from Adult Probation and Family 7-14. Statement of Decision; When Required 6-1. Division 6-2. Judgment Files; Captions and Contents –Retention Ordered by Chief Court Administra- 7-15. 6-3. –Preparation; When; By Whom; Filing tor; Transfer to State Library –Signing of Judgment File 6-4. –Motion To Prevent Destruction of File 7-16. –Notation of Satisfaction 6-5. 7-17. Clerks' Offices 7-18. Hospital, Psychiatric and Medical Records CHAPTER 7 issuing Subpoenas for Witnesses on Behalf of 7-19. CLERKS; FILES AND RECORDS Self-Represented Litigants Records of Short Calendar Matters 7-20. Sec. Removing Exhibits and Other Papers Dockets; Clerk's Records 7-21. 7-1. SUPERIOR COURT–PROCEDURE IN CIVIL MATTERS Defense by Garnishee; Continuance 9-2. CHAPTER 8 Joinder of Parties and Actions; Interested Persons 9-3. as Plaintiffs COMMENCEMENT OF ACTION 9-4. –Joinder of Plaintiffs in One Action Sec. –Consolidation of Actions 9-5. 8-1. Process 9-6. –Interested Persons as Defendants Waiver of Court Fees and Costs 8-2. 9-7. Class Actions; Prerequisites to Class Actions Bond for Prosecution [Repealed] 8-3. 9-8. –Class Actions Maintainable Bond for Prosecution or Recognizance 8-3A. –Procedure for Class Certification and Manage- 9-9. 8-4. Certification of Financial Responsibility ment of Class [Repealed] –Orders To Ensure Adequate Representation 9-10. 8-5. Remedy for Failure To Give Bond [Repealed] Executor, Administrator or Trustee of Express 9-11. 8-6. Bond Ordered by Judicial Authority [Repealed] Trust 8-7. Request To Furnish Bond [Repealed] Personal Representatives of Cocontractor 9-12. 8-8. Member of Community Defending To Give Bond Persons Liable on Same Instrument 9-13. [Repealed] Defendants Alternately Liable 9-14. Bond by Nonresident in Realty Action [Repealed] 8-9. 9-15. Assignee of Part Interest Surety Company Bond Acceptable 8-10. Assignment Pending Suit 9-16. Action on Probate Bond; Endorsement of Writ 8-11. Unsatisfied Judgment against One Defendant 9-17. [Repealed] 9-18. Addition or Substitution of Parties; Additional Par- Renewal of Bond 8-12. ties Summoned in by Court –Nonjoinder and Misjoinder of Parties 9-19. –Substituted Plaintiff 9-20. CHAPTER 9 9-21. –Counterclaim; Third Parties 9-22. –Motion To Cite in New Parties PARTIES Suit by Real Party in Interest 9-23. Sec. 9-24. Change of Name by Minor Child Action on Bond to Municipal Officer 9-25. 9-1. Continuance for Absent or Nonresident Defendant 85  Copyrighted by the Secretary of the State of the State of Connecticut

93 CHAPTER AND SECTION HEADINGS OF THE RULES –Pleading Contributory Negligence 10-53. –Pleading of Counterclaim and Setoff 10-54. CHAPTER 10 10-55. –Withdrawal of Action after Counterclaim 10-56. Subsequent Pleadings; Plaintiff's Response to PLEADINGS Answer Sec. 10-57. –Matter in Avoidance of Answer 10-1. Fact Pleading 10-58. –Pleadings Subsequent to Reply Pleading Legal Effect 10-2. 10-59. Amendments; Amendment as of Right by Plaintiff 10-3. Allegations Based on Statutory Grounds; For- –Amendment by Consent, Order of Judicial 10-60. eign Law Authority, or Failure To Object Implied Duty 10-4. –Pleading after Amendment 10-61. Untrue Allegations or Denials 10-5. 10-62. –Variance; Amendment Pleadings Allowed and Their Order 10-6. 10-63. –Amendment; Legal or Equitable Relief Waiving Right To Plead 10-7. 10-64. –Amendment Calling for Legal Relief; Jury Trial 10-8. Time To Plead –Amending Contract to Tort and Vice Versa 10-65. 10-9. Common Counts –Amendment of Amount in Demand 10-66. Supplemental Pleadings; Counterclaims 10-10. –Amendment of Claim against Insolvent Estate 10-67. Impleading of Third Party by Defendant in Civil 10-11. Pleading Special Matters; Pleading Notice 10-68. Action 10-69. Complaint; Pleading Encum- –Foreclosure 10-12. Service of the Pleading and Other Papers; brances Responsibility of Counsel or Self-Represented –Foreclosure of Municipal Liens 10-70. Party: Documents and Persons To Be Served –Action on Probate Bond 10-71. 10-13. –Method of Service 10-72. –Action by Assignee of Chose in Action –Proof of Service 10-14. 10-15. –Numerous Defendants 10-73. –Pleading Charters 10-16. –Several Parties Represented by One Attorney 10-74. –Wrongful Sale; Wrongful Conversion 10-17. –Service by Indifferent Person 10-75. –Goods Sold; Variance 10-18. Penalty for Failing To Plead 10-76. –Probate Appeals; Reasons of Appeal 10-19. Implied Admissions 10-77. –Appeals from Commissioners Contents of Complaint 10-20. –Pleading Collateral Source Payments 10-78. Joinder of Causes of Action 10-21. 10-79. –Pleading Issues of Policy Limitations –Transactions Connected with Same Subject 10-22. –Joinder of Torts 10-23. CHAPTER 11 –Legal and Equitable Relief 10-24. Alternative Relief 10-25. MOTIONS, REQUESTS, ORDERS OF NOTICE, Separate Counts 10-26. AND SHORT CALENDAR Claim for Equitable Relief 10-27. Sec. 10-28. Interest and Costs Need Not Be Claimed 11-1. Form of Motion and Request 10-29. Exhibits as Part of Pleading Definition of ``Motion'' and ``Request'' 11-2. 10-30. Motion To Dismiss; Grounds 11-3. Motion for Misjoinder of Parties 10-31. –Opposition; Date for Hearing Motion To Dismiss –Waiver Based on Certain Grounds 10-32. 11-4. Applications for Orders of Notice 10-33. –Waiver and Subject Matter Jurisdiction 11-5. Subsequent Orders of Notice; Continuance 10-34. –Further Pleading by Defendant 11-6. Notice by Publication Request To Revise 10-35. 11-7. Attestation; Publication; Proof of Compliance 10-36. –Reasons in Request To Revise Orders of Notice Directed outside of the United 11-8. –Granting of and Objection to Request To Revise 10-37. States of America 10-38. –Waiver of Pleading Revisions 11-9. Disclosure of Previous Applications Motion To Strike; Grounds 10-39. Requirement That Memorandum of Law Be Filed 11-10. 10-40. –Opposition; Date for Hearing Motion To Strike with Certain Motions 10-41. –Reasons in Motion To Strike [Repealed] Motions Which Delay the Commencement of the 11-11. 10-42. –Memorandum of Law–Motion and Objection Appeal Period or Cause the Appeal Period To [Repealed] Start Again –When Memorandum of Decision Required on 10-43. Motion To Reargue 11-12. Motion To Strike Short Calendar; Need for List; Case Assigned for 11-13. –Substitute Pleading; Judgment 10-44. Trial; Reclaims –Stricken Pleading Part of Another Cause or 10-45. –Short Calendar; Frequency; Time; Lists 11-14. Defense –Short Calendar; Assignments Automatic 11-15. The Answer; General and Special Denial 10-46. –Continuances when Counsel's Presence or Oral 11-16. 10-47. –Evasive Denials Argument Required –Express Admissions and Denials To Be Direct 10-48. –Transfers on Short Calendar 11-17. and Specific 11-18. –Oral Argument of Motions in Civil Matters 10-49. –Suit by Corporation; Admission by General –Time Limit for Deciding Short Calendar Matters 11-19. Denial 11-20. Closure of Courtroom in Civil Cases –Denials; Special Defenses 10-50. 11-20A. Sealing Files or Limiting Disclosure of Documents 10-51. –Several Special Defenses in Civil Cases 10-52. –Admissions and Denials in Special Defense 86 Copyrighted by the Secretary of the State of the State of Connecticut 

94 CHAPTER AND SECTION HEADINGS OF THE RULES –Documents Containing Personal Identifying 11-20B. CHAPTER 14 Information DOCKETS, TRIAL LISTS, PRETRIALS AND Motions for Attorney's Fees 11-21. ASSIGNMENT LISTS CHAPTER 12 Sec. 14-1. Claim for Statutory Exemption or Stay by Reason TRANSFER OF ACTIONS of Bankruptcy Sec. 14-2. Claim for Exemption from Docket Management 12-1. Procedure for Transfer Program by Reason of Bankruptcy Transfer of Action Filed in Wrong Location of Cor- 12-2. 14-3. Dismissal for Lack of Diligence rect Court 14-4. Maintenance of Case Records 12-3. Transmission of Files and Papers 14-5. Definition of Administrative Appeals Administrative Appeals Are Civil Actions 14-6. CHAPTER 13 Administrative Appeals; Exceptions 14-7. –Administrative Appeals Brought Pursuant to 14-7A. DISCOVERY AND DEPOSITIONS General Statutes ß 4-183 et seq.; Appearances; Sec. Records, Briefs and Scheduling 13-1. Definitions Administrative Appeals from Municipal Land Use, 14-7B. Historic and Resource Protection Agencies; Scope of Discovery; In General 13-2. Records, Briefs and Scheduling; Withdrawal –Materials Prepared in Anticipation of Litigation; 13-3. or Settlement Statements of Parties; Privilege Log 14-8. Certifying That Pleadings Are Closed 13-4. –Experts 14-9. Privileged Cases in Assignment for Trial –Protective Order 13-5. 14-10. Claims for Jury 13-6. Interrogatories; In General 14-11. Pretrial; Assignment for Pretrial –Answers to Interrogatories 13-7. 14-12. –When Case Not Disposed of at Pretrial –Objections to Interrogatories 13-8. –Pretrial Procedure 14-13. 13-9. Requests for Production, Inspection and Examina- 14-14. –Orders at Pretrial tion; In General 14-15. Assignments for Trial in General –Responses for Requests to Production; 13-10. 14-16. Methods of Assigning Cases for Trial Objections Immediate Trial 14-17. 13-11. –Physical or Mental Examination 14-18. Cases Reached for Trial 13-11A. –Motion for Authorization To Obtain Protected 14-19. Cases Marked Settled Health Information 14-20. Order of Trial Disclosure of Amount and Provisions of Insurance 13-12. Clerk To Communicate with Counsel in Cases 14-21. Liability Policy Assigned for Week Certain 13-13. Disclosure of Assets in Cases in Which Prejudg- Assignment for Trial on Motion of Garnishee 14-22. ment Remedy Sought 14-23. Motions To Continue or Postpone Case Assigned Order for Compliance; Failure To Answer or Com- 13-14. for Trial ply with Order 14-24. Motion To Postpone; Absent Witness; Missing Continuing Duty To Disclose 13-15. Evidence 13-16. Orders by Judge Availability of Counsel for Trial 14-25. Disclosure before Court or Committee 13-17. 13-18. Disclosures in Equity CHAPTER 15 13-19. Disclosure of Defense TRIALS IN GENERAL; ARGUMENT BY Discovery Sought by Judgment Creditor 13-20. COUNSEL 13-21. Discovery outside the United States of America 13-22. Admission of Facts and Execution of Writings; Sec. Requests for Admission 15-1. Order of Trial 13-23. –Answers and Objections to Requests for 15-2. Separate Trials Admission 15-3. Motion in Limine –Effect of Admission 13-24. Medical Evidence 15-4. –Expenses on Failure To Admit 13-25. Order of Parties Proceeding at Trial 15-5. 13-26. Depositions; In General 15-6. Opening Argument –Notice of Deposition; General Requirements; 13-27. Time Limit on Argument 15-7. Special Notice; Nonstenographic Recording; Dismissal in Court Cases for Failure To Make Out 15-8. Production of Documents and Things; Deposi- a Prima Facie Case tion of Organization 13-28. –Persons before Whom Deposition Taken; Sub- CHAPTER 16 poenas JURY TRIALS 13-29. –Place of Deposition –Deposition Procedure 13-30. Sec. 13-31. –Use of Depositions in Court Proceedings Jurors Who Are Deaf or Hard of Hearing 16-1. Stipulations regarding Discovery and Deposition 13-32. Challenge to Array 16-2. Procedure 16-3. Preliminary Proceedings in Jury Selection 13-33. Claim of Privilege or Protection after Production 16-4. Disqualification of Jurors and Selection of Panel 87 Copyrighted by the Secretary of the State of the State of Connecticut 

95 CHAPTER AND SECTION HEADINGS OF THE RULES Peremptory Challenges 16-5. 17-14. Offer of Compromise by Plaintiff; How Made Voir Dire Examination 16-6. 17-14A. –Alleged Negligence of Health Care Provider 16-7. Juror Questions and Note Taking 17-15. –Acceptance of Plaintiff's Offer 16-8. Oath and Admonitions to Trial Jurors –Plaintiff's Offer Not Accepted 17-16. Questions of Law and Fact 16-9. 17-17. –Offer of Compromise and Acceptance Included Order by Judicial Authority for Jury Trial of Factual 16-10. in Record issues in Equitable Actions –Judgment where Plaintiff Recovers an Amount 17-18. Cases Presenting Both Legal and Equitable 16-11. Equal to or Greater than Offer Issues Procedure where Party Fails To Comply with 17-19. View by Jury of Place or Thing Involved in Case 16-12. Order of Judicial Authority or To Appear for Trial 16-13. Judgment of the Court 17-20. Motion for Default and Nonsuit for Failure To Communications between Parties and Jurors 16-14. Appear 16-15. Materials To Be Submitted to Jury 17-21. Defaults under Servicemembers Civil Relief Act Jury Deliberations 16-16. 16-17. Jury Returned for Reconsideration Notice of Judgments of Nonsuit and Default for 17-22. Interrogatories to the Jury 16-18. Failure To Enter an Appearance 16-19. Reading of Statement of Amount in Demand or Contract Actions To Pay a Definite Sum where 17-23. Statement of Claim; Arguing Amount Recov- There Is a Default for Failure To Appear; Limi- erable tations 16-20. Requests To Charge and Exceptions; Necessity –Promise To Pay Liquidated Sum 17-24. for 17-25. –Motion for Default and Judgment; Affidavit of 16-21. –Requests To Charge on Specific Claims Debt; Military Affidavit; Bill of Costs; Debt –Filing Requests 16-22. Instrument –Form and Contents of Requests To Charge 16-23. –Order for Weekly Payments 17-26. 16-24. –Charge Conference –Entry of Judgment 17-27. Modification of Instructions for Correction or Clari- 16-25. 17-28. –Enforcement of Judgment fication 17-29. –Default Motion Not on Short Calendar 16-26. Other Instructions after Additional Instructions 17-30. Summary Process; Default and Judgment for Fail- 16-27. Jury Request for Review of Testimony ure To Appear or Plead 16-28. Jury Request for Additional Instructions 16-29. Deadlocked Jury Procedure where Party Is in Default 17-31. 16-30. Verdict; Return of Verdict Where Defendant Is in Default for Failure To Plead 17-32. –Acceptance of Verdict 16-31. When Judgment May Be Rendered after a Default 17-33. 16-32. –Poll of Jury after Verdict Motions for Judgment of Foreclosure 17-33A. 16-33. –Discharge of Jury 17-34. Hearings in Damages; Notice of Defenses –Impeachment of Verdict 16-34. –Requirements of Notice; Time 17-35. Motions after Verdict: Motions in Arrest of Judg- 16-35. 17-36. –Notice by Clerk ment, To Set Aside Verdict, for Additur or Remittitur, for New Trial, or for Collateral 17-37. –Notice of Defense To Be Specific Source Reduction 17-38. –Amending Notice of Defense Motions To Reduce Verdict [Repealed] (Trans- 16-36. –No Reply Allowed 17-39. ferred to Section 17-2A.) 17-40. –Evidence To Reduce Damages 16-37. Reservation of Decision on Motion for Directed Relief Permissible on Default 17-41. Verdict 17-42. Opening Defaults where Judgment Has Not Memorandum on Setting Verdict Aside 16-38. Been Rendered 17-43. Opening Judgment upon Default or Nonsuit CHAPTER 17 Summary Judgments; Scope of Remedy 17-44. 17-45. –Proceedings upon Motion for Summary Judg- JUDGMENTS ment; Request for Extension of Time To Sec. Respond Judgments in General 17-1. 17-46. –Form of Affidavits Judgment on Verdict and Otherwise 17-2. 17-47. –When Appropriate Documents Are Unavailable 17-2A. Motions To Reduce Verdict 17-48. –Affidavits Made in Bad Faith 17-3. Remittitur where Judgment Too Large –Judgment 17-49. Setting Aside or Opening Judgments 17-4. –Triable issue as to Damages Only 17-50. 17-4A. Motions for New Trial 17-51. –Judgment for Part of Claim Record of Proceeding; Facts Supporting Judg- 17-5. ment To Appear on Record Executions 17-52. Form of Finding 17-6. 17-53. Summary Process Executions 17-7. Special Finding; Request 17-54. Declaratory Judgment; Scope –Functions of Special Finding 17-8. 17-55. –Conditions for Declaratory Judgment –Form and Contents of Special Finding 17-9. 17-56. –Procedure for Declaratory Judgment 17-10. Modifying Judgment after Appeal 17-57. –Costs in Declaratory Judgment Offer of Compromise by Defendant; How Made 17-11. 17-58. –Declaratory Judgment Appealable –Acceptance of Defendant's Offer 17-12. –Order of Priorities in Declaratory Judgment 17-59. 17-13. –Defendant's Offer Not Accepted 88 Copyrighted by the Secretary of the State of the State of Connecticut 

96 CHAPTER AND SECTION HEADINGS OF THE RULES CHAPTER 21 CHAPTER 18 RECEIVERS FEES AND COSTS Sec. Sec. 21-1. Appointment of Temporary Receiver in Chambers 18-1. Vouchers for Court Expenses 21-2. Permanent Receiver 18-2. Costs on Appeal from Commissioners 21-3. Appointments by Court 18-3. Costs on Creditor's Appeal 21-4. Receiver To Give Bond Eminent Domain; Clerk's Fees 18-4. Inventory 21-5. 18-5. Taxation of Costs; Appeal 21-6. Insolvent Estates To Be Liquidated 18-6. Costs on Writ of Error Presentation and Allowance of Claims; Presen- 21-7. Costs on Interlocutory Proceedings 18-7. tation Jury Fee where More than One Trial 18-8. –Allowance; Hearing 21-8. Nonresident Witnesses; Fees 18-9. –Extensions of Time 21-9. 18-10. Witness Fees in Several Suits 21-10. –Hearing before Action on Allowance Witness Not Called; Fees 18-11. Continuance of Business 21-11. Costs where Several Issues 18-12. 21-12. Reports where Business Continued Several Defendants; Costs 18-13. Semiannual Summary of Orders 21-13. 18-14. Fees and Costs where Plaintiffs Join or Actions 21-14. Semiannual Accounts Are Consolidated 21-15. Orders in Chambers 18-15. Costs where Both Legal and Equitable Issues Duty of Clerks 21-16. 18-16. Costs on Complaint and Counterclaim 21-17. Removal of Receivers Costs on Counterclaim 18-17. 21-18. Ancillary Receivers Costs for Exhibits 18-18. Receiver of Rents; Applicability of Previous 21-19. 18-19. Proceedings before Judge; No Costs Sections 21-20. –Appointment 21-21. –Bond CHAPTER 19 21-22. –Discharge –Orders 21-23. REFERENCES 21-24. –Reports Sec. 19-1. Application of Chapter CHAPTER 22 19-2. Reference to Committee 19-2A. Reference to Attorney Trial Referee UNEMPLOYMENT COMPENSATION 19-3. Reference to Judge Trial Referee Reference to Special Assignment Probate Judge 19-3A. Sec. Appeal 22-1. 19-4. Attorney Trial Referees and Special Assignment 22-2. Assignment for Hearing Probate Judges; Time To File Report Finding 22-3. Appointment of Committee or Referee 19-5. 22-4. Correction of Finding; Motion To Correct Finding 19-6. Effect of Reference –Evidence To Be Filed by Appellee 22-5. Pleadings 19-7. –Motion To Correct by Appellee 22-6. Report 19-8. –Duty of Board on Motion To Correct 22-7. 19-9. Request for Finding 22-8. –Claiming Error on Board's Decision on Motion 19-10. Alternative Report To Correct 19-11. Amending Report 22-9. Function of the Court 19-12. Motion To Correct [Repealed] Exceptions to Report or Finding [Repealed] 19-13. CHAPTER 23 19-14. Objections to Acceptance of Report Time To File Objections 19-15. MISCELLANEOUS REMEDIES AND 19-16. Judgment on the Report PROCEDURES 19-17. Function of the Court 19-18. Extensions of Time Sec. 19-19. Reference to Accountant Arbitration; Confirming, Correcting or Vacating 23-1. Award CHAPTER 20 Expedited Process Cases [Repealed] 23-2. –Placement on the Expedited Process Track 23-3. HEARINGS IN CHAMBERS [Repealed] –Pleadings Allowed in Expedited Process Track 23-4. Sec. Cases [Repealed] Procedure in Contested Matters 20-1. –Motions Allowed [Repealed] 23-5. Certifying Proceedings to Court 20-2. –Discovery Allowed [Repealed] 23-6. Transfer of Hearings before Judges 20-3. 23-7. –Discovery Procedure for Expedited Process Trial before Judge; Lodging File and Papers 20-4. Cases [Repealed] 20-5. Lodging Papers in Cause Affecting Land 23-8. Pleadings Are Closed –Certification That 20-6. Clerk Designated by Judge To Take Papers [Repealed] 89 Copyrighted by the Secretary of the State of the State of Connecticut 

97 CHAPTER AND SECTION HEADINGS OF THE RULES –Case Management Conference for Expedited 23-9. 23-59. –Failure To Appear at Hearing Process Track Cases [Repealed] 23-60. Arbitration; Approval of Arbitrators –Transfer to Regular Docket [Repealed] 23-10. 23-61. –Referral of Cases to Arbitrators 23-62. –Selection of Arbitrators; Disqualification 23-11. –Offers of Judgment [Repealed] –Trial of Cases on Expedited Process Track 23-12. 23-63. –Hearing in Arbitration [Repealed] –Decision of Arbitrator 23-64. Granting of Complex Litigation Status and 23-65. –Failure To Appear at Hearing before Arbitrator 23-13. –Claim for Trial De Novo in Arbitration; Judgment Assignment 23-66. –Powers of Judge Assigned in Complex Litiga- 23-14. 23-67. Alternative Dispute Resolution 23-68. Where Presence of Person May Be by Means of tion Cases –Request for Complex Litigation Status 23-15. an Interactive Audiovisual Device Foreclosure of Mortgages 23-16. 23-17. –Listing of Law Days CHAPTER 24 23-18. –Proof of Debt in Foreclosures SMALL CLAIMS –Motion for Deficiency Judgment 23-19. 23-20. Review of Civil Contempt Sec. Habeas Corpus 23-21. In General 24-1. –The Petition 23-22. Allowable Actions 24-2. 23-23. –Return of Noncomplying Petition Institution of Actions; Electronic Filing 24-3. 23-24. –Preliminary Consideration of Judicial Authority 24-4. Where Claims Shall Be Filed –Waiver of Filing Fees and Costs of Service 23-25. 24-5. Venue –Appointment of Counsel 23-26. Definition of ``Plaintiff'' and ``Representative'' 24-6. 23-27. –Venue for Habeas Corpus What Constitutes File 24-7. 23-28. –Transfer of Habeas Corpus 24-8. Institution of Small Claims Actions; Beginning of –Dismissal 23-29. Action 23-30. –The Return 24-9. –Preparation of Writ –Reply to the Return 23-31. –Service of Small Claims Writ and Notice of Suit 24-10. –Amendments 23-32. –Further Service of Claim [Repealed] 24-11. 23-33. –Request for a More Specific Statement 24-12. –Answer Date –Summary Procedures for Habeas Corpus 23-34. –Alternative Method of Commencing Action 24-13. Petitions [Repealed] –Schedule for Filing Pleadings 23-35. –Notice of Time and Place of Hearing 24-14. 23-36. –The Expanded Record 24-15. –Scheduling of Hearings; Continuances 23-37. –Summary Judgment in Habeas Corpus Answers; Requests for Time To Pay 24-16. 23-38. –Discovery in Habeas Corpus 24-17. –Prohibition of Certain Filings –Depositions in Habeas Corpus 23-39. 24-18. –Plaintiff To Inquire as to Answer Filed 23-40. –Court Appearance in Habeas Corpus [Repealed] 23-41. –Motion for Leave To Withdraw Appearance of 24-19. –Claim of Setoff or Counterclaim Appointed Counsel 24-20. –Amendment of Claim or Answer, Setoff or Coun- –Judicial Action on Motion for Permission To 23-42. terclaim; Motion To Dismiss Withdraw Appearance 24-20A. –Request for Documents; Depositions 23-43. Interpleader; Pleadings Transfer to Regular Docket 24-21. 23-44. –Procedure in Interpleader 24-22. Hearings in Small Claims Actions; Subpoenas Mandamus; Parties Plaintiff; Complaint 23-45. 24-23. –Procedure 23-46. –Mandamus Complaint [Repealed] Judgments in Small Claims; When Presence of 24-24. 23-47. –Mandamus in a Pending Action the Plaintiff or Representative Is Not Required –Temporary Order of Mandamus 23-48. for Entry of Judgment –Pleadings in Mandamus 23-49. 24-25. –Failure of the Defendant To Answer Writs of Error 23-50. –Failure of a Party To Appear before the Court 24-26. 23-51. Petition To Open Parking or Citation Assessment when Required Fact-Finding; Approval of Fact Finders 23-52. –Dismissal for Failure To Obtain Judgment 24-27. –Referral of Cases to Fact Finders 23-53. –Finality of Judgments and Decisions 24-28. –Selection of Fact Finders; Disqualification 23-54. 24-29. –Decision in Small Claims; Time Limit –Hearing in Fact-Finding 23-55. 24-30. –Satisfying Judgment –Finding of Facts 23-56. 24-31. –Opening Judgment; Costs –Objections to Acceptance of Finding of Facts 23-57. 24-32. Execution in Small Claims Actions –Action by Judicial Authority 23-58. 24-33. Costs in Small Claims 90 Copyrighted by the Secretary of the State of the State of Connecticut 

98 CHAPTER AND SECTION HEADINGS OF THE RULES SUPERIOR COURT–PROCEDURE IN FAMILY MATTERS Procedure for Short Calendar 25-34. CHAPTER 25 Disclosure of Conference Recommendation 25-35. GENERAL PROVISIONS Motion for Decree Finally Dissolving Marriage or 25-36. Civil Union after Decree of Legal Separation Sec. 25-37. –Notice and Hearing 25-1. Definitions Applicable to Proceedings on Family Judgment Files 25-38. Matters 25-39. Miscellaneous Rules 25-2. Complaints for Dissolution of Marriage or Civil 25-40. Habeas Corpus in Family Matters; the Petition Union, Legal Separation, or Annulment –Preliminary Consideration 25-41. Premarital and Postnuptial Agreements 25-2A. 25-42. –Dismissal Action for Custody of Minor Child 25-3. –The Return 25-43. 25-4. Action for Visitation of Minor Child –Reply to the Return 25-44. 25-5. Automatic Orders upon Service of Complaint or 25-45. –Schedule for Filing Pleadings Application 25-46. –Summary Judgment as to Writ of Habeas Automatic Orders upon Service of Petition for 25-5A. Corpus Child Support 25-47. –Discovery 25-5B. Automatic Orders upon Filing of Joint Petition– 25-48. Dockets, Pretrials and Assignment for Disposition Nonadversarial Divorce 25-49. Definitions 25-6. Parties and Appearances Case Management 25-50. 25-7. Pleadings in General; Amendments to Complaint 25-51. When Motion for Default for Failure To Appear or Application Does Not Apply 25-8. –Amendment; New Ground for Dissolution of 25-52. Failure To Appear for Scheduled Disposition Marriage or Civil Union 25-53. Reference of Family Matters –Answer, Cross Complaint, Claims for Relief 25-9. 25-54. Order of Trial; Argument by Counsel by Defendant 25-55. Medical Evidence Production of Documents at Hearing or Trial 25-56. 25-10. –Answer to Cross Complaint Affidavit concerning Children 25-57. 25-11. –Order of Pleadings Reports of Dissolution of Marriage or Civil Union 25-58. Motion To Dismiss 25-12. and Annulment –Grounds on Motion To Dismiss 25-13. Closure of Courtroom in Family Matters 25-59. 25-14. –Waiver and Subject Matter Jurisdiction Sealing Files or Limiting Disclosure of Documents 25-59A. 25-15. –Further Pleading by Defendant in Family Matters Motion To Strike; In General 25-16. –Documents Containing Personal Identifying 25-59B. 25-17. –Date for Hearing Information 25-18. –Reasons Evaluations, Studies, Family Services Mediation 25-60. –Memorandum of Law 25-19. Reports and Family Services Conflict Resolu- 25-20. –When Memorandum of Decision Required tion Reports 25-21. –Substitute Pleading; Judgment 25-60A. Court-Ordered Private Evaluations –Stricken Pleading Part of Another Cause or 25-22. Family Division 25-61. Defense Standing Committee on Guardians Ad Litem and 25-61A. 25-23. Motions, Requests, Orders of Notice, and Short Attorneys for the Minor Child in Family Matters Calendar Appointment of Guardian Ad Litem 25-62. Motions 25-24. Appointment of Attorney for a Minor Child 25-62A. 25-25. Motion for Exclusive Possession Right to Counsel in Family Civil Contempt Pro- 25-63. Modification of Custody, Alimony or Support 25-26. ceedings Motion for Contempt 25-27. –Waiver 25-64. Order of Notice 25-28. Procedure Support 25-65. Magistrates; Family 25-29. Notice of Orders for Support or Alimony [Repealed] 25-30. Statements To Be Filed 25-66. Appeal from Decision of Family Support Magis- Discovery and Depositions 25-31. trate [Repealed] 25-32. Mandatory Disclosure and Production 25-67. Support Enforcement Services [Repealed] 25-32A. Discovery Noncompliance Right to Counsel in State Initiated Paternity 25-68. Discovery–Special Master 25-32B. Actions 25-69. Social Services; Additional Duties 25-33. Judicial Appointment of Expert Witnesses 91  Copyrighted by the Secretary of the State of the State of Connecticut

99 CHAPTER AND SECTION HEADINGS OF THE RULES SUPERIOR COURT–PROCEDURE IN FAMILY SUPPORT MAGISTRATE MATTERS 25a-14. –Continuances when Counsel's Presence or Oral CHAPTER 25a Argument Required FAMILY SUPPORT MAGISTRATE MATTERS Statements To Be Filed 25a-15. 25a-16. Opening Argument Sec. Motion To Open Judgment of Paternity by 25a-17. Family Support Magistrate Matters; Procedure 25a-1. Acknowledgment Notice of Title IV-D Child Support Enforcement 25a-1A. Modification of Alimony or Support 25a-18. Services Standard Disclosure and Production 25a-19. 25a-2. Prompt Filing of Appearance Medical Evidence 25a-20. of 25a-3. Withdrawal of Appearance; Duration 25a-21. Experts Appearance Interrogatories; In General 25a-22. 25a-4. Telephonic Hearings 25a-23. Answers to Interrogatories Requests for Production, Inspection and Examina- 25a-24. 25a-5. Signing of Pleading tion; In General Contents of Petition 25a-6. 25a-25. Order for Compliance; Failure To Answer or Com- Automatic Orders upon Service of Petition 25a-7. ply with Order Order of Notice 25a-8. 25a-26. Continuing Duty To Disclose Motions 25a-9. Depositions; In General 25a-27. –Motion To Cite in New Parties 25a-10. –Place of Deposition 25a-28. Answer to Cross Petition 25a-11. Appeal from Decision of Family Support Mag- 25a-29. 25a-12. Order of Pleadings istrate Reclaims 25a-13. Support Enforcement Services 25a-30. SUPERIOR COURT–PROCEDURE IN JUVENILE MATTERS Nonjudicial Supervision–Delinquency 27-8A. CHAPTER 26 27-9. Family with Service Needs Referrals GENERAL PROVISIONS Sec. CHAPTER 28 Definitions Applicable to Proceedings on Juve- 26-1. nile Matters DELINQUENCY AND FAMILY WITH SERVICE Persons in Attendance at Hearings 26-2. NEEDS NONJUDICIAL SUPERVISION Case Initiation; Electronic Filing 26-3. [Repealed as of Jan. 1, 2003.] CHAPTER 27 Sec. RECEPTION AND PROCESSING OF Nonjudicial Supervision [Repealed] (Transferred to 28-1. DELINQUENCY AND FAMILY WITH SERVICE Section 27-8A.) NEEDS COMPLAINTS OR PETITIONS Sec. CHAPTER 29 Complaints; In General [Repealed] 27-1. Referrals for Nonjudicial Handling of Delin- 27-1A. RECEPTION AND PROCESSING OF quency Complaints DELINQUENCY AND CHILD FROM FAMILY 27-2. –Insufficient Allegations in Complaints [Repealed] WITH SERVICE NEEDS PETITIONS AND 27-3. –Sufficient Allegations in Complaints [Repealed] DELINQUENCY INFORMATIONS 27-4. Additional Offenses and Misconduct 27-4A. Ineligibility for Nonjudicial Handling of Delin- Sec. quency Complaint 29-1. Contents of Delinquency and Family with Service Initial Interview for Delinquency Nonjudicial Han- 27-5. Needs Petitions or Delinquency Informations dling Eligibility Processing of Delinquency Petitions and Infor- 29-1A. 27-6. Denial of Responsibility mations –Written Statement of Responsibility 27-7. 29-1B. Processing of Family with Service Needs Petitions –Scheduling of Judicial Plea/Dispositional Hear- 27-8. 29-2. Service of Petitions ing [Repealed] 92 Copyrighted by the Secretary of the State of the State of Connecticut 

100 CHAPTER AND SECTION HEADINGS OF THE RULES 31-12. Physical and Mental Examinations [Repealed] CHAPTER 30 31-13. Mentally Ill Children [Repealed] DETENTION CHAPTER 31a Sec. Notice and Statement by Person Bringing Child to 30-1. DELINQUENCY AND FAMILY WITH SERVICE Detention [Repealed] NEEDS MOTIONS AND APPLICATIONS Admission to Detention 30-1A. Release [Repealed] 30-2. Sec. Family with Service Needs and Detention 30-2A. Motions and Amendments 31a-1. Advisement of Rights 30-3. 31a-1A. Continuances and Advancements Notice to Parents by Detention Personnel 30-4. 31a-2. Motion for Bill of Particulars Detention Time Limitations 30-5. 31a-3. Motion To Dismiss 30-6. Basis for Detention 31a-4. Motion To Suppress Place of Detention Hearings 30-7. 31a-5. Motion for Judgment of Acquittal Initial Order for Detention; Waiver of Hearing 30-8. 31a-6. Motion for Transfer of Venue Information Allowed at Detention Hearing 30-9. Motion in Limine 31a-7. Orders of a Judicial Authority after Initial Deten- 30-10. Motion for Sequestration 31a-8. tion Hearing Severance of Offenses 31a-9. 30-11. Detention after Dispositional Hearing 31a-10. Trial Together on Petitions or Informations 31a-11. Motion for New Trial CHAPTER 30a 31a-12. Motion To Transfer to Adult Criminal Docket 31a-13. Take into Custody Order DELINQUENCY AND FAMILY WITH SERVICE Temporary Custody Order–Family with Service 31a-13A. NEEDS HEARINGS Needs Petition Physical and Mental Examinations 31a-14. Sec. Mentally Ill Children 31a-15. Initial Plea Hearing 30a-1. 31a-16. Discovery Family with Service Needs Preadjudication Con- 30a-1A. Disclosure of Defenses in Delinquency Pro- 31a-17. tinuance ceedings Pretrial Conference 30a-2. 31a-18. Modification of Probation and Supervision 30a-3. –Standards of Proof; Burden of Going Forward 31a-19. Motion for Extension of Delinquency Commitment; Plea Canvass 30a-4. Motion for Review of Permanency Plan 30a-5. Dispositional Hearing Motion for Extension or Revocation of Family with 31a-19A. 30a-6. –Statement on Behalf of Victim Service Needs Commitment; Motion for Review 30a-6A. –Persons in Attendance at Hearings [Repealed] of Permanency Plan (Transferred to Section 26-2.) 31a-20. Petition for Violation of Family with Service Needs 30a-7. Recording of Hearings Post-Adjudicatory Orders 30a-8. Records 31a-21. Petition for Child from a Family with Service Needs Appeals in Delinquency and Family with Service 30a-9. at Imminent Risk Needs Proceedings CHAPTER 32 CHAPTER 31 NEGLECTED, UNCARED FOR AND DELINQUENCY AND FAMILY WITH SERVICE DEPENDENT CHILDREN AND TERMINATION NEEDS HEARING OF PARENTAL RIGHTS [Repealed as of Jan. 1, 2003.] [Repealed as of Jan. 1, 2003.] Sec. Sec. 31-1. Adjudicatory Hearing; Actions by Judicial Author- 32-1. Initiation of Judicial Proceeding; Contents of Peti- ity [Repealed] tions and Summary of Facts [Repealed] 31-2. –Continuance for Pretrial Conference [Repealed] –Summons Accompanying Petitions [Repealed] 32-2. –Burden of Going Forward [Repealed] 31-3. –Venue [Repealed] 32-3. 31-4. –Physical Presence of Child [Repealed] –Identity or Location of Parent Unknown 32-4. Dispositional Hearing; Factors To Be Considered 31-5. [Repealed] by Judicial Authority [Repealed] –Address of Person Entitled to Personal Service 32-5. –When Held; Evidence and Predispositional 31-6. Unknown [Repealed] Study [Repealed] 32-6. Order of Temporary Custody; Application and 31-7. –Availability of Predispositional Study to Counsel Sworn Statement [Repealed] and Parties [Repealed] –Statement in Temporary Custody Order of 32-7. –Dispositional Plan Offered by Child or Parent 31-8. Respondent's Rights and of Subsequent Hear- [Repealed] ing [Repealed] 31-9. –Statement on Behalf of Victim [Repealed] 32-8. –Authority of Temporary Custodian [Repealed] Modification of Probation and Supervision 31-10. [Repealed] 32-9. –Emergency, Life-Threatening Medical Situa- Take into Custody [Repealed] 31-11. tions–Procedures [Repealed] 93 Copyrighted by the Secretary of the State of the State of Connecticut 

101 CHAPTER AND SECTION HEADINGS OF THE RULES 33a-6. Order of Temporary Custody; Ex Parte Orders and CHAPTER 32a Orders To Appear Preliminary Order of Temporary Custody or First 33a-7. RIGHTS OF PARTIES Hearing; Actions by Judicial Authority NEGLECTED, ABUSED AND UNCARED FOR Emergency, Life-Threatening Medical Situa- 33a-8. CHILDREN AND TERMINATION OF tions–Procedures PARENTAL RIGHTS Sec. CHAPTER 34 32a-1. Right to Counsel and To Remain Silent Hearing Procedure; Subpoenas 32a-2. RIGHTS OF PARTIES 32a-3. Standards of Proof 32a-4. Child or Youth Witness [Repealed as of Jan. 1, 2003.] 32a-5. Consultation with Child or Youth Sec. 32a-6. Interpreter Right to Counsel and To Remain Silent [Repealed] 34-1. Records 32a-7. Hearing Procedure; Subpoenas [Repealed] 34-2. Use of Confidential Alcohol or Drug Abuse Treat- 32a-8. Standards of Proof [Repealed] 34-3. ment Records as Evidence Competency of Parent 32a-9. Child Witness [Repealed] 34-4. CHAPTER 33 CHAPTER 34a HEARINGS CONCERNING NEGLECTED, PLEADINGS, MOTIONS AND DISCOVERY UNCARED FOR AND DEPENDENT CHILDREN NEGLECTED, ABUSED AND UNCARED FOR AND TERMINATION OF PARENTAL RIGHTS CHILDREN AND TERMINATION OF PARENTAL RIGHTS [Repealed as of Jan. 1, 2003.] Sec. Sec. Motions, Requests and Amendments 34a-1. Adjudicatory Hearing; Actions by Judicial Author- 33-1. Short Calendar–Frequency 34a-2. ity [Repealed] Short Calendar–Assignments Automatic 34a-3. –Continuance for Case Status Conference 33-2. 34a-4. Short Calendar–Continuances When Counsel's [Repealed] Presence or Oral Argument Required 33-3. –Evidence [Repealed] 34a-5. Continuances and Advancements 33-4. –Burden of Proceeding [Repealed] Pleadings Allowed and Their Order 34a-6. 33-5. Dispositional Hearing; Evidence and Social Study 34a-7. Waiving Right To Plead [Repealed] 34a-8. Time To Plead 33-6. –Availability of Social Study to Counsel and Par- 34a-9. Motion To Dismiss ties [Repealed] 33-7. –Dispositional Plan Offered by Respondents 34a-10. Grounds of Motion To Dismiss [Repealed] Waiver Based on Certain Grounds 34a-11. Protective Supervision–Conditions and Modifica- 33-8. Waiver and Subject Matter Jurisdiction 34a-12. tion [Repealed] Further Pleading by Respondent or Child 34a-13. Extension Petitions [Repealed] 33-9. 34a-14. Response to Summary of Facts 33-10. Revocation of Commitments [Repealed] Motion To Strike 34a-15. 33-11. Modifications [Repealed] Reasons in Motion To Strike 34a-16. 33-12. Coterminous Petitions [Repealed] 34a-17. Memorandum of Law–Motion and Objection Transfer from Probate Court of Petitions for 33-13. When Memorandum of Decision Required on 34a-18. Removal of Parent as Guardian [Repealed] Motion To Strike Substitute Pleading; Judgment 34a-19. CHAPTER 33a 34a-20. Discovery Court-Ordered Evaluations 34a-21. PETITIONS FOR NEGLECT, UNCARED FOR, Motion for Contempt 34a-22. DEPENDENCY AND TERMINATION OF Motion for Emergency Relief 34a-23. PARENTAL RIGHTS: INITIATION OF CHAPTER 35 PROCEEDINGS, ORDERS OF TEMPORARY CUSTODY AND PRELIMINARY HEARINGS GENERAL PROVISIONS Sec. [Repealed as of Jan. 1, 2003.] 33a-1. Initiation of Judicial Proceeding; Contents of Peti- tions and Summary of Facts Sec. 33a-2. Service of Summons, Petitions and Ex Parte 35-1. Petitions, Motions and Amendments [Repealed] Orders 35-2. Continuances and Advancements [Repealed] 33a-3. Venue 35-3. Discovery [Repealed] 33a-4. Identity or Location of Respondent Unknown 35-4. Appeal [Repealed] Address of Person Entitled to Personal Service 33a-5. 35-5. Recording of Testimony; Records [Repealed] Unknown 94 Copyrighted by the Secretary of the State of the State of Connecticut 

102 CHAPTER AND SECTION HEADINGS OF THE RULES Dispositional Plan Offered by Respondents 35a-11. CHAPTER 35a Protective Supervision–Conditions, Modification 35a-12. HEARINGS CONCERNING NEGLECTED, and Termination 35a-12A. Motions for Transfer of Guardianship ABUSED AND UNCARED FOR CHILDREN AND 35a-13. Findings as to Continuation in the Home, Efforts To TERMINATION OF PARENTAL RIGHTS Prevent Removal Sec. 35a-14. Motions for Review of Permanency Plan 35a-14A. Revocation of Commitment 35a-1. Adjudication upon Acceptance of Admission or Written Plea of Nolo Contendere 35a-15. Reunification Efforts–Aggravating Factors Record of the Case Modifications 35a-16. 35a-1A. 35a-17. Motions To Review Plan for Child Whose Parents' 35a-1B. Exclusion of Unnecessary Persons from Rights Have Been Terminated [Repealed] Courtroom Case Status Conference or Judicial Pretrial 35a-2. Opening Default 35a-18. 35a-3. Coterminous Petitions 35a-19. Transfer from Probate Court of Petitions for 35a-4. Removal of Parent as Guardian or Termination Motions To Intervene 35a-5. of Parental Rights Notice and Right To Be Heard Motions for Reinstatement of Parent or Former 35a-6. Post-Disposition Role of Former Guardian 35a-20. Legal Guardian as Guardian or Modification of 35a-6A. Consolidation Guardianship Post-Disposition Evidence 35a-7. 35a-21. 35a-7A. Adverse Inference Appeals in Child Protection Matters 35a-22. Burden of Proceeding Where Presence of Person May Be by Means of an 35a-8. Dispositional Hearing; Evidence and Social Study Interactive Audiovisual Device 35a-9. 35a-10. Child's Hearsay Statement; Residual Exception 35a-23. Availability of Social Study to Counsel and Parties SUPERIOR COURT–PROCEDURE IN CRIMINAL MATTERS CHAPTER 37 CHAPTER 36 ARRAIGNMENT PROCEDURE PRIOR TO APPEARANCE Sec. Sec. Arraignment; Timing 37-1. Arrest by Warrant; issuance 36-1. 37-2. –Information and Materials To Be Provided to the –Affidavit in Support of Application, Filing, Dis- 36-2. Defendant Prior to Arraignment closure 37-3. –Advisement of Constitutional Rights 36-3. –Contents of Warrant 37-4. –Collective Statement Advising of Constitutional Rights 36-4. –Direction by Judicial Authority for Use of –Reference to Public Defender; Investigation of 37-5. Summons Indigency –Execution and Return of Warrant 36-5. 37-6. –Appointment of Public Defender 36-6. –Cancellation of Warrant Pleas; In General 37-7. 36-7. Summons; Form of Summons and Complaint –Plea of Guilty or Nolo Contendere 37-8. 37-9. –Plea of Not Guilty –Issuance of Summons by Prosecuting Authority 36-8. –Taking of Plea when Information in Two Parts 37-10. in Lieu of Arrest Warrant –Notice to Defendant when Information in Two 37-11. –Service of Summons 36-9. Parts 36-10. –Failure To Respond to Summons 37-12. Defendant in Custody; Determination of Probable Information and Complaint; Use 36-11. Cause –Issuance of Information 36-12. 36-13. –Form of Information CHAPTER 38 36-14. –Former Conviction in Information PRETRIAL RELEASE 36-15. –Filing and Availability of Information 36-16. Amendments; Minor Defects Sec. 36-17. –Substantive Amendment before Trial 38-1. Release from Custody; Superior Court Arrest War- rant where Appearance before Clerk Required –Substantive Amendment after Commencement 36-18. Release Following Any Other Arrest; Release by 38-2. of Trial Law Enforcement Officer or Probation Officer 36-19. –Request by Defendant for Essential Facts Serving Warrant 36-20. –Continuance Necessitated by Amendment 38-3. –Release by Bail Commissioner or Intake, Joinder of Offenses in Information 36-21. Assessment and Referral Specialist Joinder of Defendants 36-22. 38-4. –Release by Judicial Authority 95 Copyrighted by the Secretary of the State of the State of Connecticut 

103 CHAPTER AND SECTION HEADINGS OF THE RULES 38-5. –Release by Correctional Officials CHAPTER 40 Appearance after Release 38-6. DISCOVERY AND DEPOSITIONS 38-7. Cash Bail 38-8. Ten Percent Cash Bail Sec. 38-9. Real Estate Bond Discovery in General; Regulating Discovery 40-1. Factors To Be Considered by the Judicial Authority 38-10. –Good Faith Efforts and Subpoenas 40-2. in Release Decision [Repealed] 40-3. –Continuing Obligation To Disclose 38-11. Request for Judicial Determination of Release –Limitations on Requests or Motions 40-4. 38-12. Attorneys Not Allowed To Give Bonds –Failure To Comply with Disclosure 40-5. Bail Modification; In General 38-13. –Discovery Performance 40-6. 38-14. –Motion of Parties for Bail Modification –Procedures for Disclosure 40-7. –Application of Bail Commissioner 38-15. –Objection to Disclosure 40-8. –Application of Surety 38-16. 40-9. –Presence during Tests and Experiments 38-17. –Hearing on Motion or Application for Modification 40-10. –Custody of Materials of Bail 40-11. Disclosure by the Prosecuting Authority 38-18. –Review of Detention Prior to Arraignment, Trial Discretionary Disclosure Directed to Prosecuting 40-12. or Sentencing Authority Violation of Conditions of Bail; Order To Appear 38-19. 40-13. Names of Witnesses; Prior Record of Witnesses; Statements of Witnesses 38-20. –Sanctions for Violation of Conditions of Release and Reports, Enforcement Law 40-13A. Affidavits 38-21. –Forfeiture of Bail and Rearrest Warrant Statements 38-22. Rebate of Forfeited Bonds 40-14. Information Not Subject to Disclosure by Prosecut- Discharge of Surety's Obligation 38-23. ing Authority Disclosure of Statements; Definition of Statement 40-15. CHAPTER 39 Request for Recess by Defendant upon Receipt 40-16. of Statement DISPOSITION WITHOUT TRIAL 40-17. Defense of Mental Disease or Defect or Extreme Emotional Disturbance; Notice by Defendant Sec. 40-18. –Notice by Defendant of Intention To Use Expert Procedure for Plea Discussions; In General 39-1. Testimony regarding Mental State; Filing 39-2. –Discussions with Defendant Reports of Exam 39-3. –Role of Defense Counsel –Prosecutorial Motion for Psychiatric Exami- 40-19. 39-4. –Subject Matter of Discussion nation 40-20. –Failure of Expert To Submit Report Plea Agreements; Upon Plea of Guilty or Nolo Con- 39-5. 40-21. Defense of Alibi; Notice by Defendant tendere –Notice by Prosecuting Authority concerning 40-22. 39-6. –Alternate Agreements Alibi Defense –Notice of Plea Agreement 39-7. –Continuing Duty of Parties To Disclose regarding 40-23. –Sentencing after Acceptance of Plea Agreement 39-8. Alibi Defense –Continuance for Sentencing 39-9. –Exceptions 40-24. 39-10. –Rejection of Plea Agreement 40-25. –Inadmissibility of Withdrawn Alibi 39-11. Disposition Conference; Assignment of Jury Cases 40-26. Disclosure by the Defendant; Information and 39-12. –Effect of Previous Plea Discussions on Disposi- Materials Discoverable by the Prosecuting tion Conference Authority as of Right 39-13. –Attendance at Disposition Conference 40-27. Discretionary Disclosure Directed to Defendant 39-14. –Nature of Disposition Conference; In General Derivative Evidence 40-28. 39-15. –Inability To Reach Agreement Protective Orders Requested by Defendant 40-29. 39-16. –Notice of Agreement to Judicial Authority 40-30. Admissibility at Time of Trial –Effect of Disposition Conference 39-17. Information Not Subject to Disclosure by Defendant 40-31. Plea of Guilty or Nolo Contendere; Entering 39-18. Nontestimonial from Evidence Obtaining 40-32. Defendant 39-19. –Acceptance of Plea; Advice to Defendant 40-33. –Emergency Procedure regarding Nontestimo- 39-20. –Ensuring That the Plea Is Voluntary nial Evidence 39-21. –Factual Basis for Plea –Scope of Order for Nontestimonial Evidence 40-34. Pleading to Other Offenses after Guilty Finding 39-22. 40-35. –Contents of Order Previous Offender; Plea to Second Part 39-23. 40-36. –Service of Order 39-24. Record of Proceedings regarding Guilty Pleas 40-37. –Implementation of Order Inadmissibility of Rejected Guilty Pleas 39-25. –Obtaining Nontestimonial Evidence from 40-38. Withdrawal of Plea; When Allowed 39-26. Defendant upon Motion of Defendant –Grounds for Allowing Plea Withdrawal 39-27. –Comparing Nontestimonial Evidence 40-39. 39-28. –Effect of Plea Withdrawal 40-40. Protective Orders; Relief 39-29. Nolle Prosequi –Grounds for Protective Order 40-41. –Objection by Defendant to Nolle Prosequi 39-30. 40-42. –In Camera Proceedings 39-31. –Effect of Nolle Prosequi 40-43. –Excision as Protective Order 39-32. –Dismissal Depositions; Grounds 40-44. Miscellaneous Dispositions 39-33. –Failure To Appear for Deposition 40-45. 96 Copyrighted by the Secretary of the State of the State of Connecticut 

104 CHAPTER AND SECTION HEADINGS OF THE RULES 42-3. –Size of Jury 40-46. –Use of Deposition 42-4. –Challenge to Array 40-47. –Notice and Person Taking Deposition –Disqualification of Jurors and Selection of Panel 42-5. 40-48. –Protective Order Prior to Deposition –View by Jury of Place or Thing Involved in Case 42-6. –Manner of Taking Deposition 40-49. –Communications between Judicial Authority 42-7. 40-50. –Scope of Examination at Deposition and Jury –Objections at Depositions 40-51. –Communications between Parties and Jurors 42-8. 40-52. –Protective Order during Deposition –Juror Questions and Note Taking 42-9. –Return of Deposition 40-53. Selection of Jury; Deaf or Hearing Impaired Jurors 42-10. –Right of Defendant To Be Present and Repre- 40-54. –Preliminary Proceedings in Jury Selection 42-11. sented at Deposition –Voir Dire Examination 42-12. 40-55. –Waiver of Presence and Failure To Appear at –Peremptory Challenges 42-13. Deposition 42-14. –Oath and Admonitions to Trial Jurors –Definition of Unavailable 40-56. 42-15. Motion in Limine 40-57. –Taking and Use in Court of Deposition by Requests To Charge and Exceptions; Necessity for 42-16. Agreement 42-17. –Filing Requests –Expenses of Deposition and Copies 40-58. 42-18. –Form and Contents of Requests To Charge 42-19. –Charge Conference Submission for Verdict; Role of Judicial Authority 42-20. CHAPTER 41 in Trial Jury Deliberations 42-21. PRETRIAL MOTIONS Sequestration of Jury 42-22. Materials To Be Submitted to Jury 42-23. Sec. Modification of Instructions for Correction or Clarifi- 42-24. Pretrial Motion Practice; Exclusive Procedures 41-1. cation 41-2. –Matters To Be Raised by Motion –Other Instructions after Additional Instructions 42-25. –Pretrial Motions and Requests 41-3. 42-26. Jury Requests for Review of Testimony 41-4. –Failure To Raise Defense, Objection or Request 42-27. Jury Requests for Additional Instructions –Time for Making Pretrial Motions or Requests 41-5. Deadlocked Jury 42-28. Verdict; Return of Verdict 42-29. 41-6. –Form and Manner of Making Pretrial Motions 42-30. –Acceptance of Verdict –Hearing and Ruling on Pretrial Motions 41-7. –Poll of Jury after Verdict 42-31. Motion To Dismiss 41-8. –Discharge of Jury 42-32. 41-9. –Restriction on Motion To Dismiss –Impeachment of Verdict 42-33. 41-10. –Defects Not Requiring Dismissal Trial without Jury 42-34. 41-11. –Remedies for Minor Defects Not Requiring Dis- Order of Parties Proceeding at Trial 42-35. missal 42-36. Sequestration of Witnesses 41-12. Motion to Suppress 42-37. Time Limits in Argument 41-13. –Return and Suppression of Seized Property Order of Proceeding of Defendants 42-38. 41-14. –Suppression of Intercepted Communications 42-39. Judicial Appointment of Expert Witnesses –Time for Filing Motion To Suppress 41-15. 42-40. Motions for Judgment of Acquittal; In General 41-16. –Effect on Seized Property of Granting Motion –At Close of Prosecution's Case 42-41. 41-17. –Particular Judicial Authority May Not Hear –At Close of Evidence 42-42. Motion Motion for Mistrial; For Prejudice to Defendant 42-43. Severance of Offenses 41-18. 42-44. –For Prejudice to State Trial Together of Informations 41-19. Jury's Inability To Reach Verdict 42-45. Bill of Particulars; Time for Filing 41-20. 42-46. Control of Judicial Proceedings; Restraint of Dis- ruptive Defendant –Content of Bill 41-21. –Removal of Disruptive Defendant 42-47. –Furnishing of Bill 41-22. 42-48. –Cautioning Parties and Witnesses Transfer of Prosecution; Grounds 41-23. 42-49. Closure of Courtroom in Criminal Cases –Time for Motion To Transfer 41-24. Sealing or Limiting Disclosure of Documents in 42-49A. 41-25. –Proceedings on Transfer Criminal Cases Motion for Judgment of Acquittal; After Mistrial 42-50. CHAPTER 42 –Upon Verdict of Guilty 42-51. –Time for Filing Motion for Judgment of Acquittal 42-52. TRIAL PROCEDURE 42-53. Motion for New Trial; In General –Time for Filing Motion for New Trial 42-54. Sec. 42-55. –Time for Filing Motion for New Trial Based on 42-1. Jury Trials; Right to Jury Trial and Waiver Newly Discovered Evidence 42-56. Motion in Arrest of Judgment 42-2. –Two Part Information 97  Copyrighted by the Secretary of the State of the State of Connecticut

105 CHAPTER AND SECTION HEADINGS OF THE RULES –Definition of Commencement of Trial 43-42. CHAPTER 43 –Waiver of Speedy Trial Provisions 43-43. SENTENCING, JUDGMENT, AND APPEAL CHAPTER 44 Sec. GENERAL PROVISIONS 43-1. Posttrial Release Following Appeal by Prosecut- ing Authority Sec. 43-2. Posttrial Release Following Conviction Right to Counsel; Appointment in Specific 44-1. 43-3. Presentence Investigation and Report; Waiver; Instances Alternative Incarceration and Plan –Appointment in Other Instances 44-2. 43-4. –Scope of Investigation or Assessment 44-3. –Waiver of Right to Counsel 43-5. –Participation of Defense Counsel in Report Prep- –Standby Counsel for Defendant Self-Repre- 44-4. aration sented –Period of Continuance To Complete Report 43-6. –Role of Standby Counsel 44-5. –Persons Receiving Report 43-7. –Standby Counsel for Disruptive Defendant 44-6. 43-8. –Prohibition against Making Copies Presence of Defendant; Attire of Incarcerated 44-7. 43-9. –Use and Disclosure of Reports Defendant or Witness 43-10. Sentencing Hearing; Procedures To Be Followed –When Presence of Defendant Is and Is Not 44-8. 43-11. –Role at Sentencing of Prosecuting Authority Required at Trial and Sentencing –Role of Prosecuting Authority at Sentencing 43-12. 44-9. –Obtaining Presence of Unexcused Defendant at when There Was a Plea Agreement Trial or Sentencing 43-13. –Familiarization with Report by Defense Counsel 44-10. –Where Presence of Defendant Not Required 43-14. –Correction of Report Indicated by Defense 44-10A. –Where Presence of Defendant May Be by Means Counsel of an Interactive Audiovisual Device 43-15. –Undisclosed Plea Agreement Docketing and Scheduling in General of Criminal 44-11. –Submission of Supplementary Documents by 43-16. Cases Defense Counsel –Control of Scheduling 44-12. Payment of Fines; Inquiry concerning Ability 43-17. 44-13. –Scheduling for Proceedings before Trial; Contin- 43-18. –Incarceration for Failure To Pay uances 43-19. –Payment and Satisfaction –Assignments for Plea in Judicial District Court 44-14. 43-20. –Mittimus Location Reduction of Definite Sentence 43-21. –Scheduling at Entry of Plea 44-15. 43-22. Correction of Illegal Sentence –Scheduling from Trial List 44-16. 43-23. Sentence Review; Appearance of Counsel –Motion To Advance 44-17. 43-24. –Time for Filing Application for Sentence Review 44-18. –Continuances 43-25. –Preparation of Documents by Clerk Reference to Judge Trial Referee 44-19. 43-26. –Additional Material for Sentence Review 44-20. Appointment of Guardian Ad Litem –Hearing on Sentence Review Application 43-27. 44-21. Infractions and Violations; When Treated as an –Scope of Review 43-28. Offense 43-29. Revocation of Probation –Form of Summons and Complaint for Infractions 44-22. 43-29A. Notice of Motions To Modify or Enlarge Conditions and Violations of Probation or Conditional Discharge or Termi- 44-23. –When Custody Not Required nate Conditions of Probation or Conditional Dis- –When Custody Required 44-24. charge –Plea of Nolo Contendere to Infraction or Violation 44-25. 43-30. Notification of Right To Appeal 44-26. –Pleas of Not Guilty to Infraction or Violation 43-31. Stay of Imprisonment upon Appeal –Hearing of Infractions, Violations to Which Not 44-27. Stay of Probation upon Appeal 43-32. Guilty Plea Filed Appointment of Initial Counsel for Appeal by Indi- 43-33. 44-28. –Location of Infractions Bureau and Role of Clerks gent Defendant –Powers of Centralized Infractions Bureau 44-29. Attorney's Finding That Appeal Is Wholly Frivolous; 43-34. –Hearing by Magistrates of Infractions and Certain 44-30. Request by Initial Counsel to Withdraw Motor Vehicle Violations 43-35. –Submission of Memorandum of Law Motion To Quash Subpoena Pursuant to Inquiry 44-31. –Finding That Appeal Is Frivolous 43-36. into Commission of Crime –Finding That Appeal Is Not Frivolous 43-37. 44-32. Fees and Expenses; Return of Subpoenas –Disqualification of Presiding Judge 43-38. 44-33. –Indigent Witnesses 43-39. Speedy Trial; Time Limitations –Fees for Witnesses 44-34. 43-40. –Excluded Time Periods in Determining Speedy 44-35. –Officer's Fees on Extradition; Habeas Corpus Trial 44-36. –Fee on Motion To Open Certain Judgments –Motion for Speedy Trial; Dismissal 43-41. 44-37. Definition of Terms 98 Copyrighted by the Secretary of the State of the State of Connecticut 

106 CHAPTER AND SECTION HEADINGS OF THE RULES RULES OF APPELLATE PROCEDURE CHAPTER 62 CHAPTER 60 GENERAL PROVISIONS RELATING TO CHIEF JUDGE, APPELLATE CLERK AND APPELLATE RULES AND DOCKET: GENERAL ADMINISTRATIVE APPELLATE REVIEW MATTERS Sec. Sec. Rules To Be Liberally Interpreted 60-1. Chief Judge 62-1. 60-2. Supervision of Procedure 62-2. Clerk 60-3. Suspension of the Rules Entry of Cases 62-3. 60-4. Definitions Case To Remain on Docket of Trial Court 62-4. 60-5. Review by the Court; Plain Error; Preservation of Changes in Parties 62-5. Claims Signature on Documents 62-6. 60-6. Appellate Jurists Sitting as Superior Court Judges Matters of Form; Filings; Delivery and Certification 62-7. 60-7. Electronic Filing; Payment of Fees to Counsel of Record 60-8. Exemption from or Inapplicability of Electronic Fil- Names of Counsel; Appearance 62-8. ing; Payment of Fees Attorneys of Other Jurisdictions Participating Pro 62-8A. Security for Costs 60-9. Hac Vice on Appeal Withdrawal of Appearance 62-9. CHAPTER 61 62-9A. Hybrid Representation; Removal or Substitution of Counsel in Criminal and Habeas Corpus Appeals REMEDY BY APPEAL Files To Be Available to Parties 62-10. 62-11. Files and Records Not To Be Removed Sec. 61-1. Right of Appeal 61-2. Appeal of Judgment on Entire Complaint, Counter- CHAPTER 63 claim or Cross Complaint FILING THE APPEAL; WITHDRAWALS Appeal of Judgment on Part of Complaint, Counter- 61-3. claim or Cross Complaint That Disposes of All Sec. Claims in that Pleading Brought by or against One or More Parties 63-1. Time To Appeal 61-4. Appeal of Judgment That Disposes of At Least One Expiration of Time Limitations; Counting Days; 63-2. Cause of Action While Not Disposing of Either Hours of Operation (1) An Entire Complaint, Counterclaim or Cross 63-3. Filing of Appeal Complaint, or (2) All the Causes of Action in a 63-3A. Appeals in E-Filed Cases [Repealed] Pleading Brought by or against a Party Additional Papers To Be Filed by Appellant and 63-4. Deferring Appeal until Judgment Rendered That 61-5. Appellee when Filing Appeal Disposes of Case for All Purposes and as to All 63-5. Fees [Repealed] Parties 63-6. Waiver of Fees, Costs and Security–Civil Cases Appeal of Judgment or Ruling in Criminal Case 61-6. 63-7. Waiver of Fees, Costs and Security–Criminal 61-7. Joint and Consolidated Appeals Cases 61-8. Cross Appeals Ordering and Filing of Paper Transcripts 63-8. 61-9. Decisions Subsequent to Filing of Appeal; 63-8A. Electronic Copies of Transcripts Amended Appeals 63-9. Filing Withdrawals of Appeals or Writs of Error 61-10. Responsibility of Appellant To Provide Adequate 63-10. Preargument Conferences Record for Review 61-11. Stay of Execution in Noncriminal Cases Discretionary Stays 61-12. CHAPTER 64 61-13. Stay of Execution in Criminal Case PROCEDURE CONCERNING MEMORANDUM 61-14. Review of Order concerning Stay; When Stay May Be Requested from Court Having Appellate OF DECISION Jurisdiction Sec. Stay of Execution in Death Penalty Case 61-15. 64-1. Statement of Decision by Trial Court; When 61-16. Notice of (1) Bankruptcy Filing, (2) Disposition of Required; How Stated; Contents Bankruptcy Case and (3) Order of Bankruptcy Court Granting Relief from Automatic Stay 64-2. Exceptions to Section 64-1 99 Copyrighted by the Secretary of the State of the State of Connecticut 

107 CHAPTER AND SECTION HEADINGS OF THE RULES Record Contents [Repealed only as to appeals filed 68-3. CHAPTER 65 on or after July 1, 2013.] TRANSFER OF CASES 68-4. Record Format [Repealed only as to appeals filed on or after July 1, 2013.] Sec. 68-5. Record where More than One Appeal [Repealed 65-1. Transfer of Cases by Supreme Court only as to appeals filed on or after July 1, 2013.] 65-2. Motion for Transfer from Appellate Court to Record where Several Cases Present Same Ques- 68-6. Supreme Court tion [Repealed only as to appeals filed on or after Transfer of Petitions for Review of Bail Orders from 65-3. July 1, 2013.] Appellate Court to Supreme Court Record Filing [Repealed only as to appeals filed on 68-7. Transfer of Matters Brought to Wrong Court 65-4. or after July 1, 2013.] 68-8. Supplements [Repealed only as to appeals filed on CHAPTER 66 or after July 1, 2013.] 68-9. Evidence Not To Be Included in Record [Repealed MOTIONS AND OTHER PROCEDURES only as to appeals filed on or after July 1, 2013.] 68-10. Record in Administrative Appeals; Exceptions Sec. [Repealed only as to appeals filed on or after July 66-1. Extension of Time 1, 2013.] (Transferred as of July 1, 2013, to Sec- Motions, Petitions and Applications; Supporting 66-2. tion 67-8A.) Memoranda 68-11. Decision To Be Part of Record [Repealed only as 66-2A. Supreme Court Briefs on Compact Disc; Hyperlink- to appeals filed on or after July 1, 2013.] ing [Repealed] 66-3. Motion Procedures and Filing 66-4. Hearings on Motions CHAPTER 69 66-5. Motion for Rectification; Motion for Articulation Motion for Review; In General 66-6. ASSIGNMENT OF CASES FOR ARGUMENT 66-7. Motion for Review of Motion for Rectification of Sec. Appeal or Articulation Docket 69-1. Motion To Dismiss 66-8. Cases Ready for Assignment 69-2. Time for Assignments; Order of Assignment 69-3. CHAPTER 67 BRIEFS CHAPTER 70 Sec. ARGUMENTS AND MEDIA COVERAGE OF Brief and Appendix 67-1. COURT PROCEEDINGS Format of Briefs and Appendices; Copies; Elec- 67-2. tronic Briefing Requirement Sec. 67-3. Page Limitations; Time for Filing Briefs and 70-1. Oral Argument; Videoconferencing of Oral Argu- Appendices ment in Certain Cases The Appellant's Brief; Contents and Organization 67-4. 70-2. Submission without Oral Argument on Request of The Appellee's Brief; Contents and Organization 67-5. Parties 67-6. Statutory (ß 53a-46b) Review of Death Sentences Order of Oral Argument; Nonappearance at Oral 70-3. 67-7. The Amicus Curiae Brief Argument 67-8. The Appendix; Contents and Organization Time Allowed for Oral Argument; Who May Argue 70-4. 67-8A. The Appendix in Administrative Appeals; Excep- 70-5. Points To Be Argued tions (Transferred from Section 68-10.) 70-6. Reconsideration when Court Evenly Divided 67-9. Citation of Unreported Decisions [Repealed only as 70-7. Appellate Court Consideration En Banc and Rear- to appeals filed on or after July 1, 2013.] gument En Banc Citation of Supplemental Authorities after Brief Is 67-10. Special Sessions 70-8. Filed Coverage of Court Proceedings by Cameras and 70-9. 67-11. Table of Authorities; Citation of Cases Electronic Media Stay of Briefing Obligations upon Filing of Certain 67-12. Cameras and Electronic Media; Coverage of 70-10. Motions after Appeal Is Filed Supreme and Appellate Court Proceedings by 67-13. Briefs in Family and Juvenile Matters and Other News Media [Repealed] Matters involving Minor Children CHAPTER 71 CHAPTER 68 APPELLATE JUDGMENTS AND OPINIONS CASE FILE Sec. Sec. Appellate Judgment Files 71-1. Responsibilities of Clerk of the Trial Court regarding 68-1. 71-2. Costs Included in Judgments Copying Case File and Additions to Case File 71-3. Motion To Reconsider Costs Made after Appeal Is Filed; Exhibits and 71-4. Opinions; Rescripts; Official Release Date Lodged Records Record Preparation [Repealed only as to appeals 68-2. 71-5. Motions for Reconsideration; Motions for Recon- filed on or after July 1, 2013.] sideration En Banc 100 Copyrighted by the Secretary of the State of the State of Connecticut 

108 CHAPTER AND SECTION HEADINGS OF THE RULES 71-6. Stay of Proceedings CHAPTER 76 71-7. Stays of Execution Pending Decision by United States Supreme Court APPEALS IN WORKERS' COMPENSATION CASES CHAPTER 72 Sec. 76-1. Applicability of Rules WRITS OF ERROR Filing Appeal 76-2. 76-3. Preparation of Case File; Exhibits Sec. Fees and Costs 76-4. 72-1. Writs of Error; In General Reservation of Question from Compensation 76-5. 72-2. Form Review Board Applicable Procedure 72-3. 76-5A. Procedure upon Acceptance of Reservation 72-3A. Stays 76-6. Definitions 72-4. Applicability of Rules CHAPTER 77 CHAPTER 73 PROCEDURES CONCERNING COURT RESERVATIONS CLOSURE AND SEALING ORDERS OR Sec. ORDERS LIMITING THE DISCLOSURE OF 73-1. Reservation of Questions from the Superior Court FILES, AFFIDAVITS, DOCUMENTS OR to the Supreme Court or Appellate Court; Con- OTHER MATERIAL tents of Reservation Request Consideration of Reservation Request by Supe- 73-2. Sec. rior Court Petition for Review Seeking Expedited Review of 77-1. 73-3. Procedure upon Acceptance of Reservation an Order concerning Court Closure, or an Order 73-4. Briefs, Appendices and Argument That Seals or Limits the Disclosure of Files, Affi- davits, Documents or Other Material 77-2. Sealing Orders; Treatment of Lodged Records CHAPTER 74 77-3. Sealing Documents or Limiting Disclosure of Docu- ments on Appeal DECISIONS OF JUDICIAL REVIEW COUNCIL 77-4. Motion To Seal; Lodging of Documents with Appel- late Clerk Sec. Appeals by Respondent Judge from Decision of 74-1. Judicial Review Council CHAPTER 78 Papers To Be Filed [Repealed] 74-2. Referral to Supreme Court by Judicial Review 74-2A. REVIEW OF GRAND JURY RECORD OR Council Following Recommendation of Suspen- FINDING ORDER sion or Removal (Transferred from Section 74-7) Costs and Security Not Required [Repealed] 74-3. Sec. Initiation of Action by Supreme Court (Transferred 74-3A. Review of an Order concerning Disclosure of 78-1. from Section 74-8) Grand Jury Record or Finding Decision of Council; Remand by Supreme Court 74-4. Parties 74-5. CHAPTER 78a Applicability of Rules 74-6. 74-7. Action on Recommendation when No Appeal REVIEW OF ORDERS CONCERNING (Transferred to Section 74-2A) RELEASE ON BAIL 74-8. Initiation of Action by Supreme Court (Transferred to Section 74-3A) Sec. Petition for Review of Order concerning Release 78a-1. on Bail CHAPTER 75 APPEALS FROM COUNCIL ON PROBATE CHAPTER 79 JUDICIAL CONDUCT APPEALS IN JUVENILE MATTERS Sec. [Repealed as of Feb. 1, 2012.] 75-1. Appeals by Respondent Judge from Decision of Council on Probate Judicial Conduct Sec. Papers To Be Filed [Repealed] 75-2. Time To Take; Form; Filing; Costs [Repealed] 79-1. Costs and Security Not Required [Repealed] 75-3. Clerk's Duties [Repealed] 79-2. Decision of Council; Remand by Supreme Court 75-4. Inspection of Records [Repealed] 79-3. 75-5. Parties Hearings; Confidentiality [Repealed] 79-4. 79-5. Briefs [Repealed] 75-6. Applicability of Rules 101  Copyrighted by the Secretary of the State of the State of Connecticut

109 CHAPTER AND SECTION HEADINGS OF THE RULES CHAPTER 83 CHAPTER 79a CERTIFICATION PURSUANT TO GENERAL APPEALS IN CHILD PROTECTION MATTERS STATUTES ß 52-265a IN CASES OF Sec. SUBSTANTIAL PUBLIC INTEREST 79a-1. Child Protection Appeals Defined Sec. Time To Appeal 79a-2. 83-1. Application; In General Filing of the Appeal 79a-3. Application Granted 83-2. Waiver of Fees, Costs and Security 79a-4. 83-3. Application Denied Ordering Transcripts 79a-5. 83-4. Unavailability of Chief Justice Format and Time for Filing Briefs and Appendices 79a-6. Motions for Extension of Time 79a-7. CHAPTER 84 79a-8. Docketing Child Protection Appeals for Assignment APPEALS TO SUPREME COURT BY 79a-9. Oral Argument CERTIFICATION FOR REVIEW 79a-10. Submission without Oral Argument on Request of Parties Sec. 79a-11. Official Release Date 84-1. Certification by Supreme Court 79a-12. Inspection of Records 84-2. Basis for Certification 84-3. Stay of Execution Hearings; Confidentiality 79a-13. 84-4. Petition; Time To File; Where To File; Service; Fee Motions Filed with the Appellate Clerk 79a-14. 84-5. Form of Petition Applicability of Rules 79a-15. Statement in Opposition to Petition 84-6. 84-7. Extensions of Time CHAPTER 80 Grant or Denial of Certification 84-8. 84-9. Proceedings after Certification APPEALS IN HABEAS CORPUS 84-10. Record [Repealed only as to appeals filed on or after July 1, 2013.] PROCEEDINGS FOLLOWING CONVICTION Papers To Be Filed by Appellant and Appellee 84-11. Application of Rules 84-12. Sec. Certification To Appeal; Procedure on Appeal 80-1. CHAPTER 84a CHAPTER 81 MATTERS WITHIN SUPREME COURT'S ORIGINAL JURISDICTION IN WHICH FACTS APPEALS TO APPELLATE COURT BY MAY BE FOUND CERTIFICATION FOR REVIEW IN ACCORDANCE WITH GENERAL STATUTES Sec. 84a-1. Application of Rules CHAPTERS 124 AND 440 84a-2. Procedure for Filing Original Jurisdiction Action; Sec. Pleadings and Motions 84a-3. Discovery 81-1. Petition; Where To File; Time To File; Service; Fee Reference of issues of Fact 84a-4. 81-2. Form of Petition Evidence 84a-5. 81-3. Statement in Opposition to Petition Other Officers 84a-6. Proceedings after Certification by Appellate Court 81-4. 81-5. Extensions of Time CHAPTER 85 81-6. Filing of Regulations SANCTIONS CHAPTER 82 Sec. 85-1. Lack of Diligence in Prosecuting or Defending CERTIFIED QUESTIONS TO OR FROM Appeal COURTS OF OTHER JURISDICTIONS 85-2. Other Actions Subject to Sanctions 85-3. Procedure on Sanctions Sec. Certification of Questions from Other Courts 82-1. CHAPTER 86 82-2. Method of Initiating [Repealed] Contents of Certification Request 82-3. RULE CHANGES; EFFECTIVE DATE; 82-4. Preparation of Certification Request APPLICABILITY Receipt; Costs of Certification 82-5. Briefs, Appendices, Assignment and Argument 82-6. Sec. Opinion 82-7. Publication of Rules; Effective Date 86-1. 82-8. Certification of Questions to Other Courts Rule Changes; Applicability to Pending Appeals 86-2. 102 Copyrighted by the Secretary of the State of the State of Connecticut 

110 CHAPTER AND SECTION HEADINGS OF THE RULES APPENDIX OF FORMS Form 101 Heading of Pleadings, Motions and Requests 201 Plaintiff's Interrogatories 202 Defendant's Interrogatories Interrogatories–Premises 203 Plaintiff's 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 Defendant's Supplemental Interrogatories– 208 Workers' Compensation Benefits–No Inter- vening Plaintiff 209 Defendant's Supplemental Requests for Pro- duction–Workers' Compensation Benefits–No Intervening Plaintiff Defendant's Interrogatories–Workers' Compen- 210 sation Benefits–Intervening Plaintiff 211 Defendant's Request for Production–Workers' Compensation–Intervening Plaintiff Defendant's Interrogatories–Loss of Consortium 212 213 Plaintiff's Interrogatories–Uninsured/ Underinsured Motorist Cases 214 Defendant's Interrogatories–Uninsured/ Underinsured Motorist Cases Plaintiff's Requests for Production–Uninsured/ 215 Underinsured Motorist Cases 216 Defendant's Requests for Production– Uninsured/Underinsured Motorist Cases OFFICIAL JUDICIAL BRANCH FORMS APPENDIX: SUPERIOR COURT STANDING ORDERS 103  Copyrighted by the Secretary of the State of the State of Connecticut

111 SUPERIOR COURT–GENERAL PROVISIONS Sec. 1-1 SUPERIOR COURT–GENERAL PROVISIONS CHAPTER 1 SCOPE OF RULES Sec. Sec. 1-11C. Media Coverage of Criminal Proceedings Scope of Rules; Definitions 1-1. Pilot Program To Increase Public Access to Child 1-11D. 1-2. Assignments To Take Precedence Protection Proceedings [Repealed] Divisions of Superior Court 1-3. Court Opening 1-12. 1-4. Family Division 1-13. Recess and Adjournment Civil Division 1-5. 1-13A. Contempt 1-6. Criminal Division 1-14. –Criminal Contempt 1-7. Housing Division (Only in Judicial Districts Speci- –Who May Be Punished [Repealed] 1-15. fied by Statute) 1-16. –Summary Criminal Contempt 1-8. Rules To Be Liberally Interpreted 1-17. –Deferral of Proceedings Publication of Rules; Effective Date 1-9. –Nonsummary Contempt Proceedings 1-18. –Judiciary Committee; Placement of Rules Infor- 1-9A. –Judicial Authority Disqualification in Nonsum- 1-19. mation on Judicial Branch Website mary Contempt Proceedings 1-9B. –Emergency Powers of Rules Committee –Where No Right to Jury Trial in Nonsummary 1-20. 1-10. Possession of Electronic Devices in Court Facilities Proceeding Definition of ``Media'' 1-10A. –Nonsummary Judgment 1-21. Media Coverage of Court Proceedings; In General 1-10B. 1-21A. –Civil Contempt Proceedings of Coverage Media 1-11. Criminal 1-22. Disqualification of Judicial Authority [Repealed] Motion for Disqualification of Judicial Authority 1-23. Media Coverage of Arraignments 1-11A. Record of Off-Site Judicial Proceedings 1-24. Actions Subject to Sanctions 1-25. Media Coverage of Civil Proceedings 1-11B. For previous Histories and Commentaries see the editions of the Practice Book corresponding to the years of the previous amendments. the procedures and technical standards estab- Sec. 1-1. Scope of Rules; Definitions lished by the Office of the Chief Court Administra- (Amended June 20, 2011, to take effect Jan. 1, 2012.) tor pursuant to Section 4-4. (a) The rules for the Superior Court govern the (3) Except as otherwise provided, the words practice and procedure in the Superior Court in ``paper'' and ``document'' as used in the rules for all civil and family actions whether cognizable as the Superior Court shall include an electronic sub- cases at law, in equity or otherwise, in all criminal mission that complies with the procedures and proceedings and in all proceedings on juvenile technical standards established by the Office of matters. These rules also relate to the admission, the Chief Court Administrator pursuant to Section qualifications, practice and removal of attorneys. 4-4 and a paper or document converted to a digital (b) Except as otherwise provided, the sections format by the Judicial Branch. in chapters 1 through 7 shall apply to civil, family, (P.B. 1978-1997, Sec. 1.) (Amended June 26, 2000, to take criminal and juvenile matters in the Superior effect Jan. 1, 2001; amended June 20, 2011, to take effect Court. Jan. 1, 2012.) (c) (1) The term ``judicial authority,'' as used in Sec. 1-2. Assignments To Take Precedence the rules for the Superior Court, means the Supe- Assignments for oral argument in the Supreme rior Court, any judge thereof, each judge trial ref- Court and Appellate Court shall take precedence eree when the Superior Court has referred a case over all other Judicial Branch assignments. to such trial referee pursuant to General Statutes (P.B. 1998.) ß 52-434, and for purposes of the small claims rules only, any magistrate appointed by the chief Sec. 1-3. Divisions of Superior Court court administrator pursuant to General Statutes The Superior Court shall be divided into four ß 51-193 l . divisions: family, civil, criminal and housing. (2) Except as otherwise provided, the words (P.B. 1978-1997, Sec. 2.) ``write,'' ``written'' and ``writing'' as used in the rules Sec. 1-4. Family Division for the Superior Court shall mean typed or printed either on paper or, when electronically submitted The family division of the Superior Court shall consist of the following parts: or issued, in a digital format that complies with 104  Copyrighted by the Secretary of the State of the State of Connecticut

112 SUPERIOR COURT–GENERAL PROVISIONS Sec. 1-9A (1) J–Juvenile matters including neglect, at such date as the judges of the Superior Court dependency, delinquency, families with service shall prescribe, but not less than sixty days after needs and termination of parental rights. its promulgation. The judges may waive the sixty (2) S–Support and paternity actions. day provision if they deem that circumstances (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 published in the Connecticut Law Journal with a Sec. 1-5. Civil Division notice stating the time when, the place where and The civil division of the Superior Court shall the manner in which interested persons may pre- consist of the following parts: sent their views thereon. (1) H–Summary process cases and all other (c) Upon recommendation by the Rules Com- landlord and tenant matters returnable to the geo- mittee, the judges of the Superior Court may, by graphical areas. vote at a meeting or by mail vote as set forth in (2) S–Small claims actions. subsection (d), waive the provisions of subsection (3) A–Administrative appeals. (b) if they deem that circumstances require that (4) J–Jury matters. a rule or a change in an existing rule be adopted (5) C–Court matters. expeditiously, provided that the adoption of any (P.B. 1978-1997, Sec. 4.) 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 vehicle violations, and violations, motor 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, such rule or change shall become effective on the Sec. 1-7. Housing Division (Only in Judicial date specified in the notice until further action is Districts Specified by Statute) 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 ß 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 (a) Each year the Rules Committee shall make The design of these rules being to facilitate busi- itself available to meet with the members of the ness and advance justice, they will be interpreted Judiciary Committee of the General Assembly liberally in any case where it shall be manifest (the Judiciary Committee) as soon as practicable that a strict adherence to them will work surprise after the first Rules Committee meeting in Sep- or injustice. tember to advise the Judiciary Committee as to (P.B. 1978-1997, Sec. 6.) 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 of each regular legislative session, the chair of (a) Each rule hereinafter adopted shall be prom- the Rules Committee shall invite the Senate and ulgated by being published once in the Connecti- cut Law Journal. Such rule shall become effective House chairs and the ranking members of the 105 Copyrighted by the Secretary of the State of the State of Connecticut 

113 SUPERIOR COURT–GENERAL PROVISIONS Sec. 1-9A Judiciary Committee, and such other members of of the circumstances of the declared emergency. that Committee as the chairs may designate, to Any new rules and any amendments to and sus- attend a meeting with the Rules Committee to pensions of existing rules adopted pursuant to confer and consult with respect to the rules of this section should be published in the Connecti- practice, pleadings, forms and procedure for the cut Law Journal and on the Judicial Branch web- Superior Court and with respect to legislation site, but failure to so publish shall not impair the affecting the courts pending before or to be intro- validity of such rules as long as a good faith effort duced in the General Assembly. has been made to so publish. (c) The chair of the Rules Committee shall for- (d) Any such new rules and amendments to and ward to the Judiciary Committee for review and suspensions of existing rules adopted pursuant comment all proposed revisions to the Practice to this section shall remain in effect for the duration Book which the Rules Committee has decided to of the declared emergency or until such time, as submit to public hearing at least thirty-five days soon as practicable, as a meeting of the Superior in advance of the public hearing thereon. If the Court judges can be convened, in person or elec- chair of the Rules Committee shall receive any tronically, to consider and vote on the changes. (Adopted June 21, 2010, to take effect Jan. 1, 2011.) comments from the Judiciary Committee with respect to such proposed revisions, he or she Sec. 1-10. Possession of Electronic Devices shall forward such comments to the members of in Court Facilities the Rules Committee for their consideration in (Amended June 29, 2007, to take effect Jan. 1, 2008.) connection with the public hearing. (a) Personal computers may be used for note- (d) The agendas and minutes of Rules Commit- taking in a courtroom. If the judicial authority finds tee meetings, any proposed revisions to the Prac- that the use of computers is disruptive of the court tice Book which the Rules Committee has decided proceeding, it may limit such use. No other elec- to submit to public hearing, any comments by the tronic devices shall be used in a courtroom unless Judiciary Committee with respect to such pro- authorized by a judicial authority or permitted by posed revisions, and any proposed revisions that these rules. are adopted by the Superior Court judges shall (b) The possession and use of electronic be placed on the Judicial Branch website. devices in court facilities are subject to policies (Adopted June 30, 2008, to take effect Jan. 1, 2009; amended June 12, 2015, to take effect Jan. 1, 2016.) promulgated by the chief court administrator. (P.B. 1978-1997, Sec. 7B.) (Amended June 20, 2005, to Sec. 1-9B. –Emergency Powers of Rules take effect Oct. 1, 2005; June 26, 2006, subsection (b) 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. Statutes ß 19a-131a or a civil preparedness emer- 1, 2008.) gency pursuant to General Statutes ß 28-9 or Sec. 1-10A. Definition of ``Media'' both, the chief justice, or if the chief justice is incapacitated or unavailable, the chairperson of For purposes of these rules, ``media'' means the Rules Committee may call a meeting of the any person or entity that is regularly engaged in Superior Court Rules Committee. the gathering and dissemination of news and that (b) No quorum shall be required at this meeting is approved by the Office of the Chief Court as long as a good faith effort has been made to Administrator. (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 as long as a good faith effort has been made to subject to the limitations set out in this section provide such notice. and in Sections 1-11A through 1-11C, inclusive. (c) At such meeting the Rules Committee shall (b) No broadcasting, televising, recording or have the power to adopt on an interim basis any photographing of any of the following proceedings new rules and to amend or suspend in whole shall be permitted: or in part on an interim basis any existing rules (1) Family relations matters as defined in Gen- concerning practice and procedure in the Superior Court that the committee deems necessary in light eral Statutes ß 46b-1; 106 Copyrighted by the Secretary of the State of the State of Connecticut 

114 SUPERIOR COURT–GENERAL PROVISIONS Sec. 1-11A (2) Juvenile matters as defined in General Stat- an opportunity to object to the request on the utes ß 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. (3) close ups of documents of counsel, the clerk (e) There shall be no broadcasting, televising, or the judicial authority; recording or photographing of the process of jury (4) the defendant while exiting or entering the selection nor of any juror. (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 administrative judge shall ensure that notice is must remain in that position and not move about provided to the state's attorney and the attorney until the arraignment is completed. for the defendant or, where the defendant is (g) Videographers, photographers and equip- unrepresented, to the defendant. Electronic cov- ment operators must conduct themselves in the erage shall not be permitted until the state's attor- courtroom quietly and discreetly, with due regard ney and the attorney for the defendant, or the defendant if he or she has no attorney, have had for the dignity of the courtroom. 107 Copyrighted by the Secretary of the State of the State of Connecticut 

115 SUPERIOR COURT–GENERAL PROVISIONS Sec. 1-11A (h) If there are multiple requests to broadcast, no broader than necessary to protect the compel- 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; amended June 20, 2011, to take effect Jan. 1, 2012.) 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 (f) Objection raised during the course of a civil proceedings and trials in courtrooms of the Supe- proceeding or trial to the photographing, videotap- rior Court except as hereinafter precluded or lim- ing or audio recording of specific aspects of the ited. As used in this rule, the word ``trial'' in jury proceeding or trial, or specific individuals or exhib- cases shall mean proceedings taking place after its will be heard and decided by the judicial author- the jury has been sworn and in nonjury proceed- ity, based on the same standards as set out in ings commencing with the swearing in of the subsection (d) of this section used to determine first witness. whether to limit or preclude coverage based on (c) Any party, attorney, witness or other inter- objections raised before the start of a civil pro- ested person may object in advance of electronic ceeding or trial. coverage of a civil proceeding or trial if there exists (g) The trial judge in his or her discretion, upon a substantial reason to believe that such coverage the judge's own motion or at the request of a will undermine the legal rights of a party or will participant, may prohibit the broadcasting, televis- significantly compromise the safety of a witness ing, recording or photographing of any participant or other interested person or impact significant at the trial. The judge shall give great weight to privacy concerns. To the extent practicable, notice requests where the protection of the identity of a that an objection to the electronic coverage has person is desirable in the interests of justice, such been filed, and the date, time and location of the as for the victims of crime, police informants, hearing on such objection shall be posted on the undercover agents, relocated witnesses, juve- Judicial Branch website. Any person, including niles and individuals in comparable situations. the media, whose rights are at issue in considering ``Participant'' for the purpose of this section shall whether to allow electronic coverage of the pro- mean any party, lawyer or witness. ceeding or trial, may participate in the hearing (h) The judicial authority shall articulate the rea- to determine whether to limit or preclude such sons for its decision on whether or not to limit or coverage. When such objection is filed by any preclude electronic coverage of a civil proceeding party, attorney, witness or other interested per- or trial and such decision shall be final. son, the burden of proving that electronic cover- (i) No broadcasting, televising, recording and age of the civil proceeding or trial should be limited photographic equipment shall be placed in or or precluded shall be on the person who filed removed from the courtroom while the court is in the objection. session. Television film magazines or still camera (d) The judicial authority, in deciding whether film or lenses shall not be changed within the to limit or preclude electronic coverage of a civil courtroom except during a recess or other appro- proceeding or trial, shall consider all rights at issue priate time in the trial. and shall limit or preclude such coverage only if (j) Only still camera, television and audio equip- there exists a compelling reason to do so, there ment which does not produce distracting sound are no reasonable alternatives to such limitation or light shall be employed to cover the trial. The or preclusion, and such limitation or preclusion is operator of such equipment shall not employ any 108 Copyrighted by the Secretary of the State of the State of Connecticut 

116 SUPERIOR COURT–GENERAL PROVISIONS Sec. 1-11C artificial lighting device to supplement the existing over the trial may require the attendance of attor- neys and media personnel at a pretrial confer- light in the courtroom without the approval of the ence. At such conference, the judicial authority trial judge and other appropriate authority. shall set forth the conditions of coverage in (k) Except as provided by these rules, broad- accordance herewith. casting, televising, recording and photographing (Adopted June 29, 2007, to take effect Jan. 1, 2008.) in areas immediately adjacent to the courtroom during sessions of court or recesses between ses- Sec. 1-11C. Media Coverage of Criminal Pro- sions shall be prohibited. ceedings ( ) The conduct of all attorneys with respect to l (Amended June 20, 2011, to take effect Jan. 1, 2012.) trial publicity shall be governed by Rule 3.6 of the (a) Except as authorized by Section 1-11A Rules of Professional Conduct. regarding media coverage of arraignments, the (m) The judicial authority in its discretion may broadcasting, televising, recording or photo- require pooling arrangements by the media. Pool graphing by media of criminal proceedings and representatives should ordinarily be used for trials in the Superior Court shall be allowed except video, still cameras and radio, with each pool rep- as hereinafter precluded or limited and subject to resentative to be decided by the relevant media the limitations set forth in Section 1-10B. group. Participating members of the broadcast- (b) No broadcasting, televising, recording or ing, televising, recording and photographic media photographing of trials or proceedings involving shall make their respective pooling arrangements, sexual offense charges shall be permitted. including the establishment of necessary proce- (c) As used in this rule, the word ``trial'' in jury dures and selection of pool representatives, with- cases shall mean proceedings taking place after out calling upon the judicial authority to mediate the jury has been sworn and in nonjury proceed- any dispute as to the appropriate media represen- ings commencing with the swearing in of the first tative or equipment for a particular trial. If any witness. ``Criminal proceeding'' shall mean any such medium shall not agree on equipment, pro- hearing or testimony, or any portion thereof, in cedures and personnel, the judicial authority shall open court and on the record except an arraign- not permit that medium to have coverage at the ment subject to Section 1-11A. trial. (d) Unless good cause is shown, any media or (n) 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 criminal proceeding vise, record or photograph a civil proceeding or or trial shall, at least three days prior to the com- 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. otherwise provided in this section. Any news orga- (e) Any party, attorney, witness or other inter- nization seeking permission to participate in a pool ested person may object in advance of electronic whose name was not submitted with the original coverage of a criminal proceeding or trial if there notice of media coverage may, at any time, submit exists a substantial reason to believe that such a separate written notice to the administrative coverage will undermine the legal rights of a party judge and shall be allowed to participate in the or will significantly compromise the safety of a pool arrangement. witness or other person or impact significant pri- (o) To evaluate and resolve prospective prob- vacy concerns. In the event that the media request lems where broadcasting, televising, recording or camera coverage and, to the extent practicable, photographing of a civil proceeding or trial will notice that an objection to the electronic coverage take place, and to ensure compliance with these has been filed, the date, time and location of the rules during the proceeding or trial, the judicial hearing on such objection shall be posted on the authority who will hear the proceeding or preside Judicial Branch website. Any person, including 109 Copyrighted by the Secretary of the State of the State of Connecticut 

117 SUPERIOR COURT–GENERAL PROVISIONS Sec. 1-11C the media, whose rights are at issue in considering agents, relocated witnesses, juveniles and indi- 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 ) Only still camera, television and audio equip- ( l 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 prohibit the broadcasting, televising, recording or representatives should ordinarily be used for photographing of any participant at the trial. The video, still cameras and radio, with each pool rep- judge shall give great weight to requests where resentative to be decided by the relevant media the protection of the identity of a person is desir- group. Participating members of the broadcasting, able in the interests of justice, such as for the televising, recording and photographic media shall make their respective pooling arrangements, victims of crime, police informants, undercover 110  Copyrighted by the Secretary of the State of the State of Connecticut

118 SUPERIOR COURT–GENERAL PROVISIONS Sec. 1-18 and may be adjudicated summarily or nonsum- including the establishment of necessary proce- marily. The sanction for a criminal contempt is dures and selection of pool representatives, with- punitive to vindicate the authority of the court. out calling upon the judicial authority to mediate (P.B. 1978-1997, Sec. 985.) (Amended June 28, 1999, to any dispute as to the appropriate media represen- take effect Jan. 1, 2000.) tative or equipment for a particular trial. If any such medium shall not agree on equipment, pro- Sec. 1-15. –Who May Be Punished cedures and personnel, the judicial authority shall [Repealed as of Jan. 1, 2000.] not permit that medium to have coverage at the proceeding or trial. Sec. 1-16. –Summary Criminal Contempt (p) To evaluate and resolve prospective prob- (Amended June 28, 1999, to take effect Jan. 1, 2000.) lems where broadcasting, televising, recording or Misbehavior or misconduct in the court's pres- photographing by media of a criminal proceeding ence causing an obstruction to the orderly admin- or trial will take place, and to ensure compliance istration of justice shall be summary criminal with these rules during the proceeding or trial, the contempt, and may be summarily adjudicated and judicial authority who will hear the proceeding or punished by fine or imprisonment, or both. Prior preside over the trial may require the attendance to any finding of guilt, the judicial authority shall of attorneys and media personnel at a pretrial con- inform the defendant of the charges against him ference. or her and inquire as to whether the defendant (Adopted June 29, 2007, to take effect Jan. 1, 2008; has any cause to show why he or she should not amended June 20, 2011, to take effect Jan. 1, 2012.) be adjudged guilty of summary criminal contempt Sec. 1-11D. Pilot Program To Increase Pub- by presenting evidence of acquitting or mitigating lic Access to Child Protection Proceedings circumstances. Upon an adjudication, the judicial authority shall immediately impose sentence of [Repealed as of Jan. 1, 2013.] not more than $100, or six months imprisonment, or both for each contumacious act. Execution of Sec. 1-12. Court Opening any sentence during the pendency of a trial or The sessions of the Superior Court will be hearing may be deferred to the close of pro- opened at 10:00 a.m., unless otherwise ordered. ceedings. (P.B. 1978-1997, Sec. 299.) (P.B. 1978-1997, Sec. 988.) (Amended June 28, 1999, to take effect Jan. 1, 2000.) Sec. 1-13. Recess and Adjournment The court is ``not in session'' or ``not actually in Sec. 1-17. –Deferral of Proceedings session,'' as those phrases are used in the stat- The judicial authority should defer criminal con- utes and rules, at all times (1) after adjournment tempt proceedings when: (1) the misconduct does and before opening and (2) during recess. The not rise to an obstruction to the orderly administra- court is in recess or in adjournment provided it tion of justice; (2) the judicial authority has become has not been adjourned without date. The order personally embroiled; (3) the misconduct did not for a recess or an adjournment other than without occur in the presence of the court; and (4) the date may be revoked and the court reconvened judicial authority does not instantly impose sum- by direction of the presiding judge at any time. mary criminal contempt upon the commission of (P.B. 1978-1997, Sec. 300.) the contumacious act. (P.B. 1978-1997, Sec. 989.) (Amended June 28, 1999, to Sec. 1-13A. Contempt take effect Jan. 1, 2000.) (a) Any person or court officer misbehaving or Sec. 1-18. –Nonsummary Contempt Pro- disobeying any order of a judicial authority in the ceedings course of any judicial proceeding may be adjudi- cated in contempt and appropriately punished. A criminal contempt deferred under Section 1- (b) Contempt may be either criminal or civil. 17 shall be prosecuted by means of an informa- When criminal, it may be summary or nonsum- tion. The judicial authority may, either upon its mary criminal contempt. own order or upon the request of the prosecuting (Adopted June 28, 1999, to take effect Jan. 1, 2000.) authority, issue a summons or an arrest warrant for the accused. The case shall proceed as any Sec. 1-14. –Criminal Contempt other criminal prosecution under these rules and Conduct that is directed against the dignity and the General Statutes. The sentence shall be pro- nounced in open court and shall not exceed six authority of the court shall be criminal contempt, 111 Copyrighted by the Secretary of the State of the State of Connecticut 

119 SUPERIOR COURT–GENERAL PROVISIONS Sec. 1-18 months imprisonment or a fine of $500, or both, from acting in a matter if such judicial authority is for each contumacious act. disqualified from acting therein pursuant to Rule (P.B. 1978-1997, Sec. 991.) (Amended June 28, 1999, to 2.11 of the Code of Judicial Conduct or because take effect Jan. 1, 2000.) the judicial authority previously tried the same matter and a new trial was granted therein or Sec. 1-19. –Judicial Authority Disqualifica- because the judgment was reversed on appeal. tion in Nonsummary Contempt Proceedings A judicial authority may not preside at the hearing (Amended June 28, 1999, to take effect Jan. 1, 2000.) of any motion attacking the validity or sufficiency The trial and all related proceedings upon which of any warrant the judicial authority issued nor nonsummary contempt proceedings are based may the judicial authority sit in appellate review shall be heard by a judicial authority other than of a judgment or order originally rendered by the trial judge or the judicial authority who had such authority. either issued the order which was later disobeyed (b) A judicial authority is not automatically dis- or deferred criminal contempt proceedings under qualified from sitting on a proceeding merely Section 1-17. because an attorney or party to the proceeding (P.B. 1978-1997, Sec. 992.) (Amended June 28, 1999, to has filed a lawsuit against the judicial authority or take effect Jan. 1, 2000.) filed a complaint against the judicial authority with Sec. 1-20. –Where No Right to Jury Trial in the Judicial Review Council or an administrative Nonsummary Proceeding agency. When such an attorney or party appears (Amended June 28, 1999, to take effect Jan. 1, 2000.) before the judicial authority, he or she shall so In a nonsummary contempt proceeding, if the advise the judicial authority and other attorneys judicial authority declares in advance of trial that and parties to the proceeding on the record, and, the total effective sentence, if the defendant is thereafter, the judicial authority shall either dis- found guilty, shall not exceed thirty days imprison- qualify himself or herself from sitting on the pro- ment, or a fine of $99, no right to jury trial shall ceeding, conduct a hearing on the disqualification affix. If the total effective sentence may exceed issue before deciding whether to disqualify him- thirty days or a fine in excess of $99, the defendant self or herself or refer the disqualification issue to shall be accorded the right to a jury trial. another judicial authority for a hearing and (P.B. 1978-1997, Sec. 993.) (Amended June 28, 1999, to decision. take effect Jan. 1, 2000.) (P.B. 1978-1997, Sec. 996.) (Amended June 25, 2001, to take effect Jan. 1, 2002; amended June 15, 2018, to take Sec. 1-21. –Nonsummary Judgment effect Jan. 1, 2019.) (Amended June 28, 1999, to take effect Jan. 1, 2000.) HISTORY–2019: In the first sentence of subsection (b), In a nonsummary contempt proceeding, the ``or an administrative agency'' was added following ``Judicial judgment file of contempt shall be prepared within Review Council.'' Prior to 2019, the second sentence of sub- a reasonable time by the clerk and shall be signed section (b) read: ``When the judicial authority has been made by the judicial authority and entered on the record. aware of the filing of such lawsuit or complaint, he or she shall (P.B. 1978-1997, Sec. 994.) (Amended June 28, 1999, to so advise the attorneys and parties to the proceeding and take effect Jan. 1, 2000.) either disqualify himself or herself from sitting on the proceed- ing, conduct a hearing on the disqualification issue before Sec. 1-21A. –Civil Contempt deciding whether to disqualify himself or herself or refer the disqualification issue to another judicial authority for a hearing The violation of any court order qualifies for and decision.'' criminal contempt sanctions. Where, however, the COMMENTARY–2019: The purpose of the amendments dispute is between private litigants and the pur- to this section and to Rule 2.11 of the Code of Judicial Conduct pose for judicial intervention is remedial, then the and the adoption of Section 4-8 is to place an affirmative contempt is civil, and any sanctions imposed by obligation on the attorneys and parties who have filed a com- the judicial authority shall be coercive and nonpu- plaint or lawsuit against a judicial authority to give notice of those filings so that the judicial authority is alerted and can nitive, including fines, to ensure compliance and proceed in accordance with his or her ethical and proce- compensate the complainant for losses. Where dural responsibilities. the violation of a court order renders the order unenforceable, the judicial authority should con- Sec. 1-23. Motion for Disqualification of sider referral for nonsummary criminal contempt Judicial Authority proceedings. A motion to disqualify a judicial authority shall (Adopted June 28, 1999, to take effect Jan. 1, 2000.) be in writing and shall be accompanied by an Sec. 1-22. Disqualification of Judicial affidavit setting forth the facts relied upon to show Authority the grounds for disqualification and a certificate of the counsel of record that the motion is made (a) A judicial authority shall, upon motion of either party or upon its own motion, be disqualified in good faith. The motion shall be filed no less 112 Copyrighted by the Secretary of the State of the State of Connecticut 

120 SUPERIOR COURT–GENERAL PROVISIONS Sec. 1-25 after a hearing, may impose sanctions for actions than ten days before the time the case is called that include, but are not limited to, the following: for trial or hearing, unless good cause is shown for failure to file within such time. (1) Filing of pleadings, motions, objections, (P.B. 1978-1997, Sec. 997.) requests or other documents that violate subsec- tion (a) above; Sec. 1-24. Record of Off-Site Judicial Pro- (2) Wilful or repeated failure to comply with rules ceedings or orders of the court, including Section 4-7 on Absent exceptional circumstances or except as personal identifying information; otherwise provided by court rule, where a tran- (3) After prior direction from the court, the filing script or recording is made of an off-site judicial of any materials or documents that: (A) are not proceeding, such record shall be available to the relevant and material to the matter before the public. The judicial authority will also state on the court or (B) contain personal, medical or financial record in open court, by the next court day, a information that is not relevant or material to the summary of what occurred at such proceeding. matter before the court. (Adopted June 29, 2007, to take effect Jan. 1, 2008.) (c) The judicial authority may impose sanctions Sec. 1-25. Actions Subject to Sanctions including, but not limited to, fines pursuant to (a) No party or attorney shall bring or defend an General Statutes ß 51-84; orders requiring the action, or assert or oppose a claim or contention, offending party to pay costs and expenses, includ- unless there is a basis in law and fact for doing ing attorney's fees; and orders restricting the filing so that is not frivolous. Good faith arguments for of papers with the court. an extension, modification or reversal of existing (d) Offenders subject to such sanctions may law shall not be deemed frivolous. include counsel, self-represented parties, and (b) Except as otherwise provided in these rules, parties represented by counsel. (Adopted June 13, 2014, to take effect Jan. 1, 2015.) the judicial authority, solely on its own motion and 113 Copyrighted by the Secretary of the State of the State of Connecticut 

121 SUPERIOR COURT–GENERAL PROVISIONS Sec. 2-1 CHAPTER 2 ATTORNEYS Sec. Sec. County Court Designations concerning Bar Admis- 2-1. 2-38. Appeal from Decision of Statewide Grievance sion Process Committee or Reviewing Committee Imposing Admission 2-2. Sanctions or Conditions 2-3. Examining Committee 2-39. Reciprocal Discipline –Regulations by Examining Committee 2-4. Discipline of Attorneys Found Guilty of Serious 2-40. –Records of Examining Committee 2-4A. Crimes in Connecticut –Examination of Candidates for Admission 2-5. 2-41. Discipline of Attorneys Found Guilty of Serious –Good Moral Character and Fitness To Practice 2-5A. Crimes in Another Jurisdiction Law 2-42. Conduct Constituting Threat of Harm to Clients 2-6. –Personnel of Examining Committee 2-43. Notice by Attorney of Alleged Misuse of Clients' Number of Times an Applicant May Sit for the 2-7. Funds and Garnishments of Lawyers' Trust Examination Accounts Qualifications for Admission 2-8. Power of Superior Court To Discipline Attorneys 2-44. Certification of Applicants Recommended for 2-9. and To Restrain Unauthorized Practice Admission; Conditions of Admission 2-44A. Definition of the Practice of Law Admission by Superior Court 2-10. –Cause Occurring in Presence of Court 2-45. 2-11. Monitoring Compliance with Conditions of Admis- 2-46. Suspension of Attorneys Who Violate Support sion; Removal or Modification of Conditions Orders Appeal from Decision of Bar Examining Committee 2-11A. Presentments and Unauthorized Practice of Law 2-47. concerning Conditions of Admission Petitions County Committees on Recommendations for 2-12. Disbarment of Attorney for Misappropriation of 2-47A. Admission Funds 2-13. Attorneys of Other Jurisdictions; Qualifications and Restrictions on the Activities of Deactivated 2-47B. Requirements for Admission Attorneys 2-13A. Military Spouse Temporary Licensing Designee To Prosecute Presentments 2-48. –Action by Bar; Temporary License [Repealed] 2-14. 2-49. Restitution –Permanent License [Repealed] 2-15. 2-50. Records of Statewide Grievance Committee, –Authorized House Counsel 2-15A. Reviewing Committee and Grievance Panel –Attorney Appearing Pro Hac Vice 2-16. 2-51. Costs and Expenses Consultants; Licensing 2-17. Legal Foreign Resignation and Waiver of Attorney Facing Disci- 2-52. Requirements plinary Investigation –Filings To Become Foreign Legal Consultant 2-18. Reinstatement after Suspension, Disbarment or 2-53. –Scope of Practice of Foreign Legal Consultants 2-19. Resignation Foreign regarding Provisions –Disciplinary 2-20. 2-54. Publication of Notice of Reprimand, Suspension, Legal Consultants Disbarment, Resignation, Placement on Inactive 2-21. –Affiliation of Foreign Legal Consultant with the Status or Reinstatement Bar of the State of Connecticut Retirement of Attorney–Right of Revocation 2-55. 2-22. Disposition of Fees for Admission to the Bar Retirement of Attorney–Permanent 2-55A. 2-23. Roll of Attorneys Inactive Status of Attorney 2-56. Notice by Attorney of Admission in Other Juris- 2-24. –Prior Judicial Determination of Incompetency or 2-57. dictions Involuntary Commitment 2-25. Notice by Attorney of Disciplinary Action in Other 2-58. –No Prior Determination of Incompetency or Invol- Jurisdictions untary Commitment Notice by Attorney of Change in Address 2-26. 2-59. –Disability Claimed during Course of Disciplin- 2-27. Clients' Funds; Lawyer Registration ary Proceeding Minimum Continuing Legal Education 2-27A. 2-60. –Reinstatement upon Termination of Disability Overdraft Notification 2-28. 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 Grievance Panels 2-29. 2-63. Definition of Respondent Grievance Counsel for Panels and Investigators 2-30. Appointment of Attorney To Protect Clients' and 2-64. 2-31. Powers and Duties of Grievance Counsel Attorney's Interests 2-32. Filing Complaints against Attorneys; Action; Time Good Standing of Attorney 2-65. Limitation 2-66. Practice by Court Officials Statewide Grievance Committee 2-33. 2-67. Payment of Attorneys by Bank and Trust Com- Statewide Bar Counsel 2-34. panies 2-34A. Disciplinary Counsel Client Security Fund Established 2-68. 2-35. Action by Statewide Grievance Committee or 2-68A. –Crisis Intervention and Referral Assistance Reviewing Committee 2-69. –Definition of Dishonest Conduct Action by Statewide Grievance Committee on 2-36. –Client Security Fund Fee 2-70. Request for Review 2-71. –Eligible Claims Sanctions and Conditions Which May Be Imposed 2-37. 2-72. –Client Security Fund Committee by Committees 114  Copyrighted by the Secretary of the State of the State of Connecticut

122 SUPERIOR COURT–GENERAL PROVISIONS Sec. 2-4A 2-78. –Attorney's Fee for Prosecuting Claim –Powers and Duties of Client Security Fund Com- 2-73. 2-79. –Enforcement of Payment of Fee mittee 2-80. –Restitution by Attorney 2-74. –Regulations of Client Security Fund Committee 2-81. –Restitution and Subrogation 2-75. –Processing Claims Admission of Misconduct; Discipline by Consent 2-82. 2-76. –Confidentiality 2-83. Effective Dates –Review of Status of Fund 2-77. For previous Histories and Commentaries see the editions of the Practice Book corresponding to the years of the previous amendments. so that those of eight members shall expire annu- Sec. 2-1. County Court Designations con- ally. The appointment of any member may be cerning Bar Admission Process revoked or suspended by the judges or by the (a) For the purposes of this chapter, each Supe- executive committee of the Superior Court. In con- rior Court location designated below shall be the nection with such revocation or suspension, the Superior Court for the county in which it is situated: judges or the executive committee shall appoint the Superior Court for the judicial district of Fair- a qualified individual to fill the vacancy for the field at Bridgeport shall be the Superior Court for balance of the term or for any other appropriate Fairfield county; the Superior Court for the judicial period. All other vacancies shall be filled by the district of New Haven at New Haven shall be the judges for unexpired terms only, provided that the Superior Court for New Haven county; the Supe- chief justice may fill such vacancies until the next rior Court for the judicial district of Litchfield at annual meeting of the judges, and in the event of Litchfield shall be the Superior Court for Litchfield the foreseen absence or the illness or the disquali- county; the Superior Court for the judicial district fication of a member of the committee the chief of Hartford at Hartford shall be the Superior Court justice may make a pro tempore appointment to for Hartford county; the Superior Court for the the committee to serve during such absence, ill- judicial district of Middlesex at Middletown shall ness or disqualification. At any meeting of the be the Superior Court for Middlesex county; the committee the members present shall constitute Superior Court for the judicial district of Tolland a quorum. at Rockville shall be the Superior Court for Tolland (P.B. 1978-1997, Sec. 11.) county; the Superior Court for the judicial district Sec. 2-4. –Regulations by Examining Com- of New London at Norwich shall be the Superior mittee Court for New London county; and the Superior Court for the judicial district of Windham at Put- The committee shall have the power and nam shall be the Superior Court for Windham authority to implement these rules by regulations county. relevant thereto and not inconsistent therewith. (b) The chief clerk for each judicial district court Such regulations may be adopted at any regular location mentioned above shall be the clerk for meeting of the committee or at any special meet- the corresponding Superior Court county location. ing called for that purpose. They shall be effective (P.B. 1978-1997, Sec. 8.) (Amended June 29, 1998, to take ninety days after publication in one issue of the effect Sept. 1, 1998.) Connecticut Law Journal and shall at all times be subject to amendment or revision by the commit- Sec. 2-2. Admission tee or by the judges of the Superior Court. A copy No person shall be admitted as an attorney shall be provided to the chief justice. except as herein provided. (P.B. 1978-1997, Sec. 12.) (Amended June 20, 2011, to (P.B. 1978-1997, Sec. 9.) take effect Jan. 1, 2012.) Sec. 2-3. Examining Committee Sec. 2-4A. –Records of Examining Com- mittee There shall be an examining committee appointed by the judges of the Superior Court The records and transcripts, if any, of hearings consisting of twenty-four members, of whom at conducted by the state bar examining committee least one shall be a judge of said court, and the or the several standing committees on recommen- rest attorneys residing in this state. The term of dations for admission to the bar shall be available office of each member shall be three years from only to such committee, to a judge of the Superior the first day of September succeeding appoint- Court, to the Statewide Grievance Committee, to ment, and the terms shall continue to be arranged disciplinary counsel or, with the consent of the 115 Copyrighted by the Secretary of the State of the State of Connecticut 

123 SUPERIOR COURT–GENERAL PROVISIONS Sec. 2-4A Sec. 2-7. Number of Times an Applicant May applicant, to any other person, unless otherwise Sit for the Examination ordered by the court. (Adopted June 26, 2006, to take effect Jan. 1, 2007.) There is no restriction on the number of times an applicant may sit for the examination. Sec. 2-5. –Examination of Candidates for (P.B. 1978-1997, Sec. 15A.) Admission Sec. 2-8. Qualifications for Admission The committee shall further have the duty, To entitle an applicant to admission to the bar, power and authority to provide for the examination except under Sections 2-13 through 2-15 of these of candidates for admission to the bar; to deter- rules, the applicant must satisfy the committee mine whether such candidates are qualified as that: to prelaw education, legal education, good moral (1) The applicant is a citizen of the United States character and fitness to practice law; and to rec- or an alien lawfully residing in the United States, ommend to the court for admission to the bar which shall include an individual authorized to qualified candidates. work lawfully in the United States. (P.B. 1978-1997, Sec. 13.) (Amended June 21, 2010, to (2) The applicant is not less than eighteen years take effect Jan. 1, 2011.) of age. (3) The applicant is a person of good moral Sec. 2-5A. –Good Moral Character and Fit- character, is fit to practice law, and has either ness To Practice Law passed an examination in professional responsi- (Amended June 20, 2011, to take effect Sept. 1, 2011.) bility administered under the auspices of the bar (a) Good moral character shall be construed to examining committee or has completed a course include, but not be limited to, the following: in professional responsibility in accordance with (1) The qualities of honesty, fairness, candor the regulations of the bar examining committee. and trustworthiness; Any inquiries or procedures used by the bar exam- (2) Observance of fiduciary responsibility; ining committee that relate to physical or mental (3) Respect for and obedience to the law; and disability must be narrowly tailored and necessary to a determination of the applicant's current fitness (4) Respect for the legal rights of others and to practice law, in accordance with the Americans the judicial process, as evidenced by conduct with Disabilities Act and amendment twenty-one other than merely initiating or pursuing litigation. of the Connecticut constitution, and conducted in (b) Fitness to practice law shall be construed a manner consistent with privacy rights afforded to include the following: under the federal and state constitutions or other (1) The cognitive capacity to undertake funda- applicable law. mental lawyering skills such as problem solving, (4) The applicant has met the educational legal analysis and reasoning, legal research, fac- requirements as may be set, from time to time, tual investigation, organization and management by the bar examining committee. of legal work, making appropriate reasoned legal (5) The applicant has filed with the administra- judgments, and recognizing and solving ethical tive director of the bar examining committee an dilemmas; application to take the examination and for admis- (2) The ability to communicate legal judgments sion to the bar, all in accordance with these rules and legal information to clients, other attorneys, and the regulations of the committee, and has judicial and regulatory authorities, with or without paid such application fee as the committee shall the use of aids or devices; and from time to time determine. (3) The capability to perform legal tasks in a (6) The applicant has passed an examination timely manner. in law in accordance with the regulations of the (Adopted June 21, 2010, to take effect Jan. 1, 2011; committee. amended June 20, 2011, to take effect Sept. 1, 2011.) (7) The applicant has complied with all of the pertinent rules and regulations of the committee. Sec. 2-6. –Personnel of Examining Com- (8) As an alternative to satisfying the committee mittee that the applicant has met the committee's educa- Such personnel within the legal services divi- tional requirements, the applicant who meets all sion of the Office of the Chief Court Administrator the remaining requirements of this section may, as may be assigned from time to time by the chief upon payment of such investigation fee as the court administrator shall assist the examining committee shall from time to time determine, sub- stitute proof satisfactory to the committee that: (A) committee in carrying out its duties. the applicant has been admitted to practice before (P.B. 1978-1997, Sec. 14.) 116  Copyrighted by the Secretary of the State of the State of Connecticut

124 SUPERIOR COURT–GENERAL PROVISIONS Sec. 2-11 the highest court of original jurisdiction in one or shall not exceed five years, unless the condition- more states, the District of Columbia or the Com- ally admitted attorney fails to comply with the con- ditions of admission, and the bar examining monwealth of Puerto Rico or in one or more district committee or the court determines, in accordance courts of the United States for ten or more years with the procedures set forth in Section 2-11, that and at the time of filing the application is a member a further period of conditional admission is neces- in good standing of such a bar; (B) the applicant sary. The committee shall notify the applicant by has actually practiced law in such a jurisdiction mail of its decision and that the applicant must for not less than five years during the seven year sign an agreement with the bar examining com- period immediately preceding the filing date of the mittee under oath affirming acceptance of such application; and (C) the applicant intends, upon conditions and that the applicant will comply with a continuing basis, actively to practice law in Con- them. Upon receipt of this agreement from the necticut and to devote the major portion of the applicant, duly executed, the committee shall rec- applicant's working time to the practice of law ommend the applicant for admission to the bar as in Connecticut. provided herein. The committee shall forward a (P.B. 1978-1997, Sec. 16.) (Amended June 29, 2007, to take effect Jan. 1, 2008; amended June 21, 2010, to take copy of the agreement to the statewide bar coun- effect Jan. 1, 2011; amended June 15, 2018, to take effect sel, who shall be considered a party for purposes July 3, 2018.) of defending an appeal under Section 2-11A. HISTORY–July, 2018: In subdivision (1), ``, which shall (P.B. 1978-1997, Sec. 17.) (Amended June 30, 2008, to include an individual authorized to work lawfully in the United take effect Jan. 1, 2009; amended June 21, 2010, to take States'' was added following the second instance of ``United effect Jan. 1, 2011.) States.'' COMMENTARY–July, 2018: The primary intent of the Sec. 2-10. Admission by Superior Court change to this section is to clarify that status as a Deferred (a) Each applicant who shall be recommended Action for Childhood Arrivals (DACA) beneficiary meets the for admission to the bar shall present himself or first qualification for admission to the Connecticut bar, that is, that the applicant is a citizen or alien lawfully residing in the herself to the Superior Court, or to either the United States. Supreme Court or the Appellate Court sitting as the Superior Court, at such place and at such time Sec. 2-9. Certification of Applicants Recom- as shall be prescribed by the committee, or shall mended for Admission; Conditions of be prescribed by the Supreme Court or the Appel- Admission late Court, and such court may then, upon motion, (Amended June 30, 2008, to take effect Jan. 1, 2009.) admit such person as an attorney. The administra- (a) The committee shall certify to the clerk of tive director shall give notice to each clerk of the the Superior Court for the county in which the names of the newly admitted attorneys. At the applicant seeks admission and to the clerk of the time such applicant is admitted as an attorney the Superior Court in New Haven the name of any applicant shall be sworn as a Commissioner of such applicant recommended by it for admission the Superior Court. to the bar and shall notify the applicant of its (b) The administrative judge of said judicial dis- decision. trict or a designee or the chief justice of the (b) The committee may, in light of the physical Supreme Court or a designee or the chief judge or mental disability of a candidate that has caused of the Appellate Court or a designee may deliver conduct or behavior that would otherwise have an address to the applicants so admitted respect- rendered the candidate currently unfit to practice ing their duties and responsibilities as attorneys. law, determine that it will only recommend an (P.B. 1978-1997, Sec. 18.) applicant for admission to the bar conditional upon Sec. 2-11. Monitoring Compliance with Con- the applicant's compliance with conditions pre- ditions of Admission; Removal or Modifica- scribed by the committee relevant to the disability tion of Conditions 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 is conducted by the committee or a panel thereof (a) If an applicant is admitted to the bar after consisting of at least three members appointed signing an agreement with the bar examining by the chair, unless such hearing is waived by committee under oath affirming acceptance of the the applicant. Such conditions shall be tailored to conditions prescribed by the committee pursuant detect recurrence of the conduct or behavior to Section 2-9 (b) and that he or she will comply which could render an applicant unfit to practice with them, the statewide bar counsel shall monitor law or pose a risk to clients or the public and the attorney's compliance with those conditions to encourage continued treatment, abstinence, or pursuant to regulations adopted by the Statewide other support. The conditional admission period Grievance Committee governing such monitoring. 117 Copyrighted by the Secretary of the State of the State of Connecticut 

125 SUPERIOR COURT–GENERAL PROVISIONS Sec. 2-11 The attorney so admitted or the statewide bar Office of the Director of the Bar Examining Com- counsel may make application to the bar examin- mittee as agent for the bar examining committee. ing committee to remove or modify the conditions The statewide bar counsel shall be considered a previously agreed to by such attorney as circum- party for purposes of defending an appeal under this section. stances warrant. The bar examining committee, or a panel thereof consisting of at least three mem- (b) The filing of an appeal shall not, of itself, stay bers appointed by its chair, shall conduct a hear- enforcement of the bar examining committee's ing on the application, which shall be on the decision. An application for a stay may be made record, and shall also receive and consider a to the bar examining committee, to the court or report from the statewide bar counsel on the mat- to both. Filing of an application with the bar exam- ter. Such hearing may be waived by the applicant ining committee shall not preclude action by the and the statewide bar counsel. If, upon such appli- court. A stay, if granted, shall be on appropriate cation, the bar examining committee modifies terms. such conditions, the attorney shall sign an (c) Within thirty days after the service of the agreement with the bar examining committee appeal, or within such further time as may be under oath affirming acceptance of the modified allowed by the court, the director of the bar exam- conditions and that he or she will comply with ining committee shall transmit to the reviewing them, and the statewide bar counsel shall monitor court a certified copy of the entire record of the the attorney's compliance with them. The state- proceeding appealed from, which shall include wide bar counsel shall be considered a party for a transcript of any testimony heard by the bar purposes of defending an appeal under Section examining committee and the decision of the bar 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 Griev- ining committee. The appellee shall file its brief ance Committee, the statewide bar counsel shall within thirty days of the filing of the appellant's apply to the court in the judicial district of Hartford brief. Unless permission is given by the court for 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 effect Jan. 1, 2009.) 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 rights of the appellant have been prejudiced (a) A decision by the bar examining committee because the committee's findings, inferences, prescribing conditions for admission to the bar conclusions, or decisions are: (1) in violation of under Section 2-9 (b) or on an application to constitutional provisions, rules of practice or statu- remove or modify conditions of admission under tory provisions; (2) in excess of the authority of the Section 2-11 (a) may be appealed to the Superior committee; (3) made upon unlawful procedure; Court by the bar applicant or attorney who is the (4) affected by other error of law; (5) clearly erro- subject of the decision. Within thirty days from neous in view of the reliable, probative, and sub- the issuance of the decision of the bar examining stantial evidence on the whole record; or (6) committee, the appellant shall: (1) file the appeal arbitrary or capricious or characterized by abuse with the clerk of the Superior Court for the judicial of discretion or clearly unwarranted exercise of district of Hartford and (2) mail a copy of the discretion. If the court finds such prejudice, it shall appeal by certified mail, return receipt requested sustain the appeal and, if appropriate, rescind the or with electronic delivery confirmation, to the Office of the Statewide Bar Counsel and to the action of the bar examining committee or take 118 Copyrighted by the Secretary of the State of the State of Connecticut 

126 SUPERIOR COURT–GENERAL PROVISIONS Sec. 2-13 such other action as may be necessary. For pur- through which the applicant seeks admission, poses of further appeal, the action taken by the which shall investigate the applicant's moral char- Superior Court hereunder is a final judgment. acter and fitness to practice law and report to the bar of the county whether the applicant has (g) In all appeals taken under this section, costs complied with the rules relating to admission to may be taxed in favor of the statewide bar counsel the bar, is a person of good moral character, is in the same manner, and to the same extent, that fit to practice law and should be admitted. costs are allowed in judgments rendered by the (P.B. 1978-1997, Sec. 19.) (Amended June 26, 2006, to Superior Court. No costs shall be taxed against take effect Jan. 1, 2007; amended June 21, 2010, to take the bar examining committee, except that the effect Jan. 1, 2011.) court may, in its discretion, award to the appellant reasonable fees and expenses if the court deter- Sec. 2-13. Attorneys of Other Jurisdictions; mines that the action of the bar examining commit- Qualifications for Requirements and tee was undertaken without any substantial Admission justification. ``Reasonable fees and expenses'' (a) Any member of the bar of another state means any expenses not in excess of $7500 or territory of the United States or the District of which the court finds were reasonably incurred in Columbia, who, after satisfying the state bar opposing the committee's action, including court examining committee that his or her educational costs, expenses incurred in administrative pro- qualifications are such as would entitle him or her ceedings, attorney's fees, witness fees of all nec- to take the examination in Connecticut, and that essary witnesses, and such other expenses as (i) at least one jurisdiction in which he or she is were reasonably incurred. a member of the bar is reciprocal to Connecticut (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: mendations for Admission (1) is of good moral character, is fit to practice law, and has either passed an examination in pro- (a) There shall be in each county a standing fessional responsibility administered under the committee on recommendations for admission, auspices of the bar examining committee or has consisting of not less than three nor more than completed a course in professional responsibility seven members of the bar of that county, who in accordance with the regulations of the bar shall be appointed by the judges of the Superior examining committee; Court to hold office for three years from the date (2) has been duly licensed to practice law before of their appointment and until their successors are the highest court of a reciprocal state or territory appointed. The appointment of any member may of the United States or in the District of Columbia be revoked or suspended by the judges or by if reciprocal to Connecticut, or that he or she is a the executive committee of the Superior Court. In full-time faculty member or full-time clinical fellow connection with such revocation or suspension, at an accredited Connecticut law school and the judges or the executive committee shall admitted in a reciprocal or nonreciprocal jurisdic- appoint a qualified individual to fill the vacancy tion and (A) has lawfully engaged in the practice for the balance of the term or for any other appro- of law as the applicant's principal means of liveli- priate period. Appointments to fill vacancies which hood for at least five of the ten years immediately have arisen by reasons other than revocation or preceding the date of the application and is in suspension may be made by the chief justice until the next annual meeting of the judges of the Supe- good standing, or (B) if the applicant has taken rior Court, and, in the event of the foreseen the bar examinations of Connecticut and failed to absence or the illness or the disqualification of a pass them, the applicant has lawfully engaged in member of the committee, the chief justice may the practice of law as his or her principal means make a pro tempore appointment to the commit- of livelihood for at least five of the ten years imme- tee to serve during such absence, illness or dis- diately preceding the date of the application and qualification. is in good standing, provided that such five years (b) Any application for admission to the bar may of practice shall have occurred subsequent to the be referred to the committee for the county applicant's last failed Connecticut examination; 119  Copyrighted by the Secretary of the State of the State of Connecticut

127 SUPERIOR COURT–GENERAL PROVISIONS Sec. 2-13 (3) is a citizen of the United States or an alien (8) any combination of the above. (P.B. 1978-1997, Sec. 21.) (Amended June 28, 1999, to lawfully residing in the United States, which shall take effect Jan. 1, 2000; amended June 22, 2009, to take include an individual authorized to work lawfully effect Jan. 1, 2010; amended June 21, 2010, to take effect in the United States; and Jan. 1, 2011; amended June 20, 2011, to take effect Jan. 1, (4) intends, upon a continuing basis, to practice 2012; amended June 15, 2012, to take effect Sept. 1, 2012; law actively in Connecticut, may be admitted by amended June 13, 2014, to take effect Jan. 1, 2015; amended June 15, 2018, to take effect July 3, 2018.) the court as an attorney without examination upon HISTORY–July, 2018: In subsection (a) (3), ``, which shall written application and the payment of such fee include an individual authorized to work lawfully in the United as the examining committee shall from time to States'' was added following the second instance of ``United time determine, upon compliance with the follow- States.'' ing requirements. Such application, duly verified, COMMENTARY–July, 2018: The primary intent of the shall be filed with the administrative director of change to this section is to clarify that status as a Deferred Action for Childhood Arrivals (DACA) beneficiary meets the the bar examining committee and shall set forth first qualification for admission to the Connecticut bar, that is, the applicant's qualifications as hereinbefore pro- that the applicant is a citizen or alien lawfully residing in the vided. There shall be filed with such application United States. the following affidavits: TECHNICAL CHANGE: Paragraph breaks were added to (A) affidavits from two attorneys who personally subsection (a). A colon was added prior to subsection (a) (1), ``and'' was added to end of subsection (a) (3), and subpara- know the applicant certifying to his or her good graphs in subsection (a) (4) were designated with capital let- moral character and fitness to practice law and ters. Also in subsection (a) (4), what had been a colon following supporting, to the satisfaction of the state bar ``requirements'' is now a period and, in subsection (a) (4) (A), examining committee, his or her practice of law as the ``a'' in ``affidavits'' was made lower case and ``subdivision'' defined under subdivision (2) of this subsection; was added prior to ``(2).'' (B) affidavits from two members of the bar of Sec. 2-13A. Military Spouse Temporary Connecticut of at least five years' standing, certi- Licensing fying that the applicant is of good moral character An applicant who meets all Qualifications. (a) and is fit to practice law; and of the following requirements listed in subdivisions (C) an affidavit from the applicant, certifying (1) through (11) of this subsection may be tempo- whether such applicant has a grievance pending rarily licensed and admitted to the practice of law against him or her, has ever been reprimanded, in Connecticut, upon approval of the bar examin- suspended, placed on inactive status, disbarred, ing committee. The applicant: or has ever resigned from the practice of law, and, (1) is the spouse of an active duty service mem- if so, setting forth the circumstances concerning ber of the United States Army, Navy, Air Force, such action. Such an affidavit is not required if it Marine Corps or Coast Guard and that service has been furnished as part of the application form member is or will be stationed in Connecticut due prescribed by the state bar examining committee. to military orders; (b) For the purpose of this rule, the ``practice (2) is licensed to practice law before the highest of law'' shall include the following activities, if per- court in at least one state or territory of the United formed after the date of the applicant's admission States or in the District of Columbia; to the jurisdiction in which the activities were per- (3) is currently an active member in good stand- formed, or if performed in a jurisdiction that per- ing in every jurisdiction to which the applicant has mits such activity by a lawyer not admitted to been admitted to practice, or has resigned or practice: become inactive or had a license administratively (1) representation of one or more clients in the suspended or revoked while in good standing from practice of law; every jurisdiction without any pending disciplin- (2) service as a lawyer with a state, federal, or ary actions; territorial agency, including military services; (4) is not currently subject to lawyer discipline (3) teaching law at an accredited law school, or the subject of a pending disciplinary matter in including supervision of law students within a clini- any other jurisdiction; cal program; (5) meets the educational qualifications (4) service as a judge in a state, federal, or required to take the examination in Connecticut; territorial court of record; (6) possesses the good moral character and (5) service as a judicial law clerk; fitness to practice law required of all applicants (6) service as authorized house counsel; for admission in Connecticut; (7) service as authorized house counsel in Con- (7) has passed an examination in professional necticut before July 1, 2008, or while certified pur- responsibility administered under the auspices of suant to Section 2-15A; or the bar examining committee or has completed a 120 Copyrighted by the Secretary of the State of the State of Connecticut 

128 SUPERIOR COURT–GENERAL PROVISIONS Sec. 2-13A course in professional responsibility in accord- spouse of the service member and resides in Con- ance with the regulation of the bar examining com- necticut due to military orders or continues to mittee; reside in Connecticut due to the service member's immediately subsequent assignment specifying (8) is or will be physically residing in Connecticut that dependents are not authorized to accompany due to the service member's military orders; the service member. The temporary license may (9) has not failed the Connecticut bar examina- be renewed for one additional two year period. tion within the past five years; (2) A renewal application must be submitted (10) has not had an application for admission with the appropriate fee as established by the bar to the Connecticut bar or the bar of any state, examining committee and all other documentation the District of Columbia or United States territory required by the bar examining committee, includ- denied on character and fitness grounds; and ing a copy of the service member's military orders. (11) has not failed to achieve the Connecticut Such renewal application shall be filed not less scaled score on the uniform bar examination than thirty days before the expiration of the origi- administered within any jurisdiction within the past nal three year period. five years. (3) A temporarily licensed attorney who wishes Any applicant (b) Application Requirements. to become a permanent member of the bar of seeking a temporary license to practice law in Connecticut may apply for admission by examina- Connecticut under this section shall file a written tion or for admission without examination for the application and payment of such fee as the bar standard application fee minus the application fee examining committee shall from time to time paid to the committee for the application for tem- determine. Such application, duly verified, shall porary license, not including any fees for renewal. be filed with the administrative director of the bar (d) Termination. examining committee and shall set forth the appli- (1) Termination of Temporary License. A tem- cant's qualifications as hereinbefore provided. In porary license shall terminate, and a temporarily addition, the applicant shall file with the bar exam- licensed attorney shall cease the practice of law ining committee the following: in Connecticut pursuant to that admission, unless (1) a copy of the applicant's military spouse otherwise authorized by these rules, thirty days dependent identification and documentation evi- after any of the following events: dencing a spousal relationship with the service (A) the service member's separation or retire- member; ment from military service; (2) a copy of the service member's military (B) the service member's permanent relocation orders to a military installation in Connecticut or to another jurisdiction, unless the service mem- a letter from the service member's command veri- ber's immediately subsequent assignment speci- fying that the requirement in subsection (a) (8) of fies that the dependents are not authorized to this section is met; accompany the service member, in which case (3) certificate(s) of good standing from the high- the attorney may continue to practice law in Con- est court of each state, the District of Columbia necticut as provided in this rule until the service or United States territory to which the applicant member departs Connecticut for a permanent has been admitted, or proof that the applicant has change of station where the presence of depen- resigned, or become inactive or had a license dents is authorized; administratively suspended or revoked while in (C) the attorney's permanent relocation outside good standing; of the state of Connecticut for reasons other than (4) an affidavit from the applicant, certifying the service member's relocation; whether such applicant has a grievance pending (D) upon the termination of the attorney's spou- against him or her, has ever been reprimanded, sal relationship to the service member; suspended, placed on inactive status, disbarred, (E) the attorney's failure to meet the annual or has ever resigned from the practice of law, and, licensing requirements for an active member of if so setting forth the circumstances concerning the bar of Connecticut; such action; and (F) the attorney's request; (5) affidavits from two attorneys who personally know the applicant certifying to his or her good (G) the attorney's admission to practice law in moral character and fitness to practice law. Connecticut by examination or without exami- nation; Duration and Renewal. (c) (H) the attorney's denial of admission to the (1) A temporary license to practice law issued practice of law in Connecticut; or under this rule will be valid for three years provided that the temporarily licensed attorney remains a (I) the death of the service member. 121 Copyrighted by the Secretary of the State of the State of Connecticut 

129 SUPERIOR COURT–GENERAL PROVISIONS Sec. 2-13A Notice of one of the events set forth in subsec- this section shall authorize attorneys licensed to practice in jurisdictions other than Connecticut to tion (d) (1) must be filed with the bar examining be permitted to undertake these activities, as committee by the temporarily licensed attorney defined herein, in Connecticut without the require- within thirty days of such event. Notice of the event ment of taking the bar examination so long as set forth in subsection (d) (1) (I) must be filed with the bar examining committee by the temporarily they are exclusively employed by an organization. licensed attorney within thirty days of the event, (b) Definitions and the attorney shall cease the practice of law (1) Authorized House Counsel. An ``author- within one year of the event. Failure to provide ized house counsel'' is any person who: such notice by the temporarily licensed attorney (A) is a member in good standing of the entity shall be a basis for discipline pursuant to the Rules governing the practice of law of each state (other of Professional Conduct for attorneys. than Connecticut) or territory of the United States, (2) Notice of Termination of Temporary License. or the District of Columbia or any foreign jurisdic- Upon receipt of the notice required by subsection tion in which the member is licensed; (d) (1), the bar examining committee shall forward (B) has been certified on recommendation of a request to the statewide bar counsel that the the bar examining committee in accordance with license under this chapter be revoked. Notice of this section; the revocation shall be mailed by the statewide (C) agrees to abide by the rules regulating bar counsel to the temporarily licensed attorney. members of the Connecticut bar and submit to the (3) Notices Required. At least sixty days before jurisdiction of the Statewide Grievance Committee termination of the temporary admission, or as and the Superior Court; and soon as possible under the circumstances, the (D) is, at the date of application for registration attorney shall: under this rule, employed in the state of Connecti- (A) file in each matter pending before any court, cut by an organization or relocating to the state tribunal, agency or commission a notice that the of Connecticut in furtherance of such employment attorney will no longer be involved in the case; and within three months of such application under this (B) provide written notice to all clients receiving section and receives or shall receive compensa- representation from the attorney that the attorney tion for activities performed for that business orga- will no longer represent them. nization. Responsibilities and Obligations. (e) An ``organization'' for the pur- Organization. (2) An attorney temporarily licensed under this sec- pose of this rule is a corporation, partnership, tion shall be subject to all responsibilities and obli- association, or employer sponsored benefit plan gations of active members of the Connecticut bar, or other legal entity (taken together with its respec- and shall be subject to the jurisdiction of the courts tive parents, subsidiaries, and affiliates) that is and agencies of Connecticut, and shall be subject not itself engaged in the practice of law or the to the laws and rules of Connecticut governing the rendering of legal services outside such organiza- conduct and discipline of attorneys to the same tion, whether for a fee or otherwise, and does not extent as an active member of the Connecticut charge or collect a fee for the representation or bar. The attorney shall maintain participation in a advice other than to entities comprising such orga- mentoring program provided by a state or local nization for the activities of the authorized bar association in the state of Connecticut. house counsel. (Adopted June 23, 2017, to take effect Jan. 1, 2018.) Activities (c) Authorized Activities. (1) 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- tration pursuant to subsection (d) is effective, pro- Sec. 2-15. –Permanent License vided, however, that such activities shall be [Repealed as of Jan. 1, 2012.] limited to: Sec. 2-15A. –Authorized House Counsel (A) the giving of legal advice to the directors, officers, employees, trustees, and agents of the Purpose (a) organization with respect to its business and The purpose of this section is to clarify the sta- affairs; tus of house counsel as authorized house counsel (B) negotiating and documenting all matters for as defined herein, and to confirm that such coun- the organization; and sel are subject to regulation by the judges of the (C) representation of the organization in its Superior Court. Notwithstanding any other section dealings with any administrative agency, tribunal of this chapter relating to admission to the bar, 122 Copyrighted by the Secretary of the State of the State of Connecticut 

130 SUPERIOR COURT–GENERAL PROVISIONS Sec. 2-15A or commission having jurisdiction; provided, how- applicants for admission to the bar. In addition, ever, authorized house counsel shall not be per- the applicant shall file with the bar examining com- mitted to make appearances as counsel before mittee, and the committee shall consider, the fol- any state or municipal administrative tribunal, lowing: agency, or commission, and shall not be permitted (A) a certificate from each entity governing the to make appearances in any court of this state, practice of law of a state or territory of the United unless the attorney is specially admitted to appear States, or the District of Columbia or any foreign in a case before such tribunal, agency, commis- jurisdiction in which the applicant is licensed to sion or court. practice law certifying that the applicant is a mem- Authorized house counsel shall Disclosure. (2) 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) In no event Limitation on Representation. 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 Limitation on Opinions to Third Parties. (4) (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, opinions rendered in connection with commercial, or 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 counsel by another party to the transaction. Noth- to practice law in Connecticut; and that the appli- ing in this subsection (c) (4) shall permit author- cant is employed or about to be employed in Con- ized house counsel to render legal opinions or necticut by the organization as set forth in advice in consumer transactions to customers of subsection (b) (1) (D); the organization employing the authorized (D) an appropriate application pursuant to the house counsel. regulations of the bar examining committee; Notwithstanding Pro Bono Legal Services. (5) (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- tee; and ized house counsel may participate in the provi- 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 in subsection (b) (2). Registration (d) (2) Certification. Upon recommendation of the Filing with the Bar Examining Committee. (1) bar examining committee, the court may certify The bar examining committee shall investigate the applicant as authorized house counsel and whether the applicant is at least eighteen years shall cause notice of such certification to be pub- of age and is of good moral character, consistent lished in the Connecticut Law Journal. with the requirement of Section 2-8 (3) regarding 123 Copyrighted by the Secretary of the State of the State of Connecticut 

131 SUPERIOR COURT–GENERAL PROVISIONS Sec. 2-15A Annual Client Security Fund Fee. (3) Individu- Discipline (f) als certified pursuant to this section shall comply Termination of Authorization by Court. (1) with the requirements of Sections 2-68 and 2-70 In addition to any appropriate proceedings and discipline that may be imposed by the Statewide of this chapter, including payment of the annual Grievance Committee, the Superior Court may, fee and shall pay any other fees imposed on attor- at any time, with cause, terminate an authorized neys by court rule. house counsel's registration, temporarily or per- Annual Registration. (4) Individuals certified manently. pursuant to this section shall register annually with The statewide Notification to Other States. (2) the Statewide Grievance Committee in accord- bar counsel shall be authorized to notify each ance with Sections 2-26 and 2-27 (d) of this entity governing the practice of law in the state or chapter. territory of the United States, or the District of (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. Authorization to perform services under Services. (g) Transition this rule shall cease upon the earliest of the follow- Preapplication Employment in Connecti- (1) ing events: The performance of an applicant's duties as cut. (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 state court or a Notice of Withdrawal of Authorization. (2) proceeding before any municipal or state agency, Upon receipt of the notice required by subsection commission, board or tribunal (hereinafter (e) (1), the bar examining committee shall forward referred to as ``proceeding'') in this state; pro- a request to the statewide bar counsel that the vided, however, that (1) such application shall be authorization under this chapter be revoked. accompanied by the affidavit of the applicant (A) Notice of the revocation shall be mailed by the certifying whether such applicant has a grievance statewide bar counsel to the authorized house pending against him or her in any other jurisdic- counsel and the organization employing the tion, has ever been reprimanded, suspended, authorized house counsel. placed on inactive status, disbarred, or otherwise Reapplication. Nothing herein shall prevent (3) disciplined, or has ever resigned from the practice an individual previously authorized as house of law and, if so, setting forth the circumstances counsel to reapply for authorization as set forth concerning such action, (B) certifying that the in subsection (d). applicant has paid the client security fund fee due 124 Copyrighted by the Secretary of the State of the State of Connecticut 

132 SUPERIOR COURT–GENERAL PROVISIONS Sec. 2-18 for the calendar year in which the application has such person appears in the matter. If the clerk for been made, (C) designating the chief clerk of the the judicial district or appellate court in which the Superior Court for the judicial district in which the matter is pending is notified that such person has attorney will be appearing as his or her agent failed to pay the fee as required by this section, upon whom process and service of notice may be the court shall determine after a hearing the served, (D) agreeing to register with the Statewide appropriate sanction, which may include termina- Grievance Committee in accordance with the pro- tion of the privilege of appearing in the cause, visions of this chapter while appearing in the mat- appeal or proceeding. (P.B. 1978-1997, Sec. 24.) (Amended June 24, 2002, to ter in this state and for two years after the take effect July 1, 2003; May 14, 2003, effective date changed completion of the matter in which the attorney to Oct. 1, 2003; Sept. 30, 2003, effective date changed to Jan. appeared, and to notify the Statewide Grievance 1, 2004; amended June 29, 2007, to take effect Jan. 1, 2008; Committee of the expiration of the two year period, amended June 20, 2011, to take effect Jan. 1, 2012; amended (E) identifying the number of times the attorney June 24, 2016, to take effect Jan. 1, 2017.) has appeared pro hac vice in the Superior Court Legal Sec. 2-17. Foreign Consultants; or in any other proceedings of this state since the Licensing Requirements attorney first appeared pro hac vice in this state, Upon recommendation of the bar examining listing each such case or proceeding by name committee, the court may license to practice as and docket number, as applicable, and (F) provid- a foreign legal consultant, without examination, ing any previously assigned juris number, and (2) an applicant who: unless excused by the judicial authority, a mem- (1) has been admitted to practice (or has ber of the bar of this state must be present at all obtained the equivalent of admission) in a foreign proceedings, including depositions in a proceed- country, and has engaged in the practice of law ing, and must sign all pleadings, briefs and other in that country, and has been in good standing papers filed with the court, local or state adminis- as an attorney or counselor at law (or the equiva- trative agency, commission, board or tribunal, and lent of either) in that country, for a period of not assume full responsibility for them and for the less than five of the seven years immediately pre- conduct of the cause or proceeding and of the ceding the date of application; attorney to whom such privilege is accorded. Any (2) possesses the good moral character and such application shall be made on a form pre- fitness to practice law requisite for a member of scribed by the chief court administrator. Where the bar of this court; and feasible, the application shall be made to the judge (3) is at least twenty-six years of age. before whom such case is likely to be tried. If (P.B. 1978-1997, Sec. 24B.) (Amended June 21, 2010, to not feasible, or if no case is pending before the take effect Jan. 1, 2011.) Superior Court, the application shall be made to the administrative judge in the judicial district Sec. 2-18. –Filings To Become Foreign where the matter is to be tried or the proceeding Legal Consultant is to be conducted. Good cause for according (a) An applicant for a license to practice as a such privilege shall be limited to facts or circum- foreign legal consultant shall file with the adminis- stances affecting the personal or financial welfare trative director of the bar examining committee: of the client and not the attorney. Such facts may (1) a typewritten application in the form pre- include a showing that by reason of a longstanding scribed by the committee; attorney-client relationship predating the cause of (2) a certified check, cashier's check, or money action or subject matter of the litigation at bar, or order in the amount of $500 made payable to the proceeding, the attorney has acquired a special- bar examining committee; ized skill or knowledge with respect to the client's (3) a certificate from the authority in the foreign affairs important to the trial of the cause or presen- country having final jurisdiction over professional tation of the proceeding, or that the litigant is discipline, certifying to the applicant's admission unable to secure the services of Connecticut to practice (or the equivalent of such admission) counsel. Upon the granting of an application to and the date thereof and to the applicant's good appear pro hac vice, the clerk of the court in which standing as an attorney or counselor at law (or the application is granted shall immediately notify the equivalent of either), together with a duly the Statewide Grievance Committee of such authenticated English translation of such certifi- action. Any person granted permission to appear cate if it is not in English; and in a cause, appeal or proceeding pursuant to this (4) two letters of recommendation, one from a section shall comply with the requirements of Sec- member in good standing of the Connecticut bar tions 2-68 and 2-70 and shall pay such fee when and another from either a member in good stand- due as prescribed by those sections for each year ing of the bar of the country in which the applicant 125 Copyrighted by the Secretary of the State of the State of Connecticut 

133 SUPERIOR COURT–GENERAL PROVISIONS Sec. 2-18 is licensed as an attorney, or from a judge of one (A) a written commitment to observe the Con- of the courts of original jurisdiction of said country, necticut Rules of Professional Conduct and other together with a duly authenticated English transla- rules regulating the conduct of attorneys as tion of each letter if it is not in English. referred to in subsection (a) (1) of this section, (b) Upon a showing that strict compliance with (B) an undertaking or appropriate evidence of the provisions of Section 2-17 (1) and subdivisions professional liability insurance, in such amount as (3) or (4) of subsection (a) of this section is impos- the court may prescribe, to assure the foreign sible or very difficult for reasons beyond the con- legal consultant's proper professional conduct trol of the applicant, or upon a showing of and responsibility, exceptional professional qualifications to practice (C) a duly acknowledged instrument in writing as a foreign legal consultant, the court may, in its setting forth the foreign legal consultant's address discretion, waive or vary the application of such in the state of Connecticut or United States, and provisions and permit the applicant to make such designating the clerk of the Superior Court for the other showing as may be satisfactory to the court. judicial district of Hartford as his or her agent upon (c) The committee shall investigate the qualifi- whom process may be served. Such service shall cations, moral character, and fitness of any appli- have the same effect as if made personally upon cant for a license to practice as a foreign legal the foreign legal consultant, in any action or pro- consultant and may in any case require the appli- ceeding thereafter brought against the foreign cant to submit any additional proof or information legal consultant and arising out of or based upon as the committee may deem appropriate. The any legal services rendered or offered to be ren- committee may also require the applicant to sub- dered by the foreign legal consultant within or to mit a report from the National Conference of Bar residents of the state of Connecticut, and Examiners, and to pay the prescribed fee therefor, (3) a written commitment to notify the clerk of with respect to the applicant's character and the foreign legal consultant's resignation from fitness. practice in the foreign country of his or her admis- (P.B. 1978-1997, Sec. 24C.) (Amended June 21, 2010, to sion or in any other state or jurisdiction in which take effect Jan. 1, 2011.) said person has been admitted to practice law, or Sec. 2-19. –Scope of Practice of Foreign of any censure, reprimand, suspension, revoca- Legal Consultants tion or other disciplinary action relating to his or her right to practice in such country, state or juris- A person licensed to practice as a foreign legal diction. consultant under these rules is limited to advising (b) Service of process on the clerk pursuant to Connecticut clients only on the law of the foreign the designation filed as aforesaid shall be made 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 may when the clerk has been so served. The clerk indicate the foreign country in which he or she is licensed to practice law. shall promptly send one of the copies to the for- (P.B. 1978-1997, Sec. 24D.) eign legal consultant to whom the process is directed, by certified mail, return receipt requested Sec. 2-20. –Disciplinary Provisions regard- confirmation, delivery electronic with or ing Foreign Legal Consultants addressed to the foreign legal consultant at the (a) Every person licensed to practice as a for- address given to the court by the foreign legal eign legal consultant under these rules: consultant as aforesaid. (1) shall be subject to the Connecticut Rules of (c) In imposing any sanction authorized by sub- Professional Conduct and to the rules of practice section (a) (1), the court may act sua sponte or on regulating the conduct of attorneys in this state the recommendation of the Statewide Grievance to the extent applicable to the legal services Committee. To the extent feasible, the court shall authorized under these rules, and shall be subject proceed in a manner consistent with the rules of to reprimand, suspension, or revocation of license practice governing discipline of the bar of the state to practice as a foreign legal consultant by the of Connecticut. court; (P.B. 1978-1997, Sec. 24E.) (Amended June 29, 1998, to (2) shall execute and file with the clerk, in such take effect Sept. 1, 1998; amended June 14, 2013, to take effect Jan. 1, 2014.) form and manner as the court may prescribe: 126  Copyrighted by the Secretary of the State of the State of Connecticut

134 SUPERIOR COURT–GENERAL PROVISIONS Sec. 2-25 proctors and with attorneys to serve as bar exami- Sec. 2-21. –Affiliation of Foreign Legal nation graders and with law school faculty and Consultant with the Bar of the State of Con- other qualified persons to provide bar examination necticut essay questions and shall establish an appro- (a) A foreign legal consultant licensed under priate fee schedule for such services. these rules shall not be a member of the Con- (P.B. 1978-1997, Sec. 25.) necticut bar, provided, however, that a foreign legal consultant shall be considered an affiliate Sec. 2-23. Roll of Attorneys of the bar subject to the same conditions and (a) The statewide bar counsel shall forward to requirements as are applicable to an active or the clerk for Hartford county for certification a roll inactive member of the bar under the court's rules of the attorneys of the state and the said clerk governing the bar of the state of Connecticut, inso- shall keep said roll. The clerk for any other county far as such conditions and requirements may be in which an attorney is admitted shall forthwith consistent with the provisions of these rules. certify such action, with the date and the residence (b) A foreign legal consultant licensed under of the attorney, to the clerk for Hartford county, these rules shall, upon being so licensed, take the statewide bar counsel and the administrative the following oath before this court, unless granted director of the bar examining committee. permission to take the oath in absentia: (b) The clerk for any county in which an attorney , do solemnly swear (or affirm) ``I, is suspended, disbarred, resigned, placed in an that as a foreign legal consultant with respect to inactive status, reinstated, or otherwise formally , licensed by this court, I the laws of and publicly disciplined by the court shall forthwith will conduct myself uprightly and according to the certify such action with the date, the residence of laws of the State of Connecticut and the rules of the attorney and a certified copy of the court order the court.'' to the statewide bar counsel and to the clerk for (P.B. 1978-1997, Sec. 24F.) Hartford county, and shall notify them of the death of any attorney in his or her county of which such Sec. 2-22. Disposition of Fees for Admis- clerk knows. sion to the Bar (c) The clerk for Hartford county shall forthwith (a) All fees paid under the preceding sections notify the clerks of the Superior Court and the of these rules shall be transmitted to the treasurer clerk of the United States District Court for the of the bar examining committee. Such fees, District of Connecticut, at New Haven, of all sus- together with any interest earned thereon, shall pensions, disbarments, resignations, placements be applied to the payment of the necessary and in inactive status, retirements, revocations of reasonable expenses incurred by the bar examin- retirements, or reinstatements. ing committee, the standing committees on rec- (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 be turned over from time to time to the executive counsel written notice of all disciplinary actions secretary of the Judicial Branch for deposit as imposed by the courts of another state, the District court revenue in the general fund of the state of Columbia, or the Commonwealth of Puerto of Connecticut. Rico, or of any United States court, within thirty (b) The bar examining committee, when neces- days of the order directing the disciplinary action. sary, shall contract with individuals to serve as (P.B. 1978-1997, Sec. 26B.) 127 Copyrighted by the Secretary of the State of the State of Connecticut 

135 SUPERIOR COURT–GENERAL PROVISIONS Sec. 2-26 Sec. 2-26. Notice by Attorney of Change in lawyer changes his or her address or addresses Address or location or identification number of any such trust account in which the funds of more than one An attorney shall send prompt written notice of client are kept. The registration forms filed pur- a change in mailing and street address to the suant to this subsection and pursuant to Section Statewide Grievance Committee on a registration 2-26 shall not be public; however, all information form approved by the statewide bar counsel and obtained by the Statewide Grievance Commit- to the clerks of the courts where the attorney has tee from these forms shall be public, except the entered an appearance. (P.B. 1978-1997, Sec. 27.) following: trust account identification numbers; the lawyer's home address; the lawyer's office e- Sec. 2-27. Clients' Funds; Lawyer Regis- mail address; and the lawyer's birth date. Unless tration otherwise ordered by the court, all nonpublic infor- (Amended June 29, 2007, to take effect Jan.1, 2008.) mation obtained from these forms shall be avail- (a) Consistent with the requirement of Rule 1.15 able only to the Statewide Grievance Committee of the Rules of Professional Conduct, each lawyer and its counsel, the reviewing committees, the or law firm shall maintain, separate from the law- grievance panels and their counsel, the bar exam- yer's or the firm's personal funds, one or more ining committee, the standing committee on rec- accounts accurately reflecting the status of funds ommendations for admission to the bar, disci- handled by the lawyer or firm as fiduciary or attor- plinary counsel, the client security fund committee ney, and shall not use such funds for any unautho- and its counsel, a judge of the Superior Court, a rized purpose. judge of the United States District Court for the (b) Each lawyer or law firm maintaining one or District of Connecticut, any grievance committee more trust accounts as defined in Rule 1.15 of or other disciplinary authority of the United States the Rules of Professional Conduct and Section 2- District Court for the District of Connecticut or, with 28 (b) shall keep records of the maintenance and the consent of the lawyer, to any other person. In disposition of all funds of clients or of third persons addition, the trust account identification numbers held by the lawyer or firm in a fiduciary capacity on the registration forms filed pursuant to Section from the time of receipt to the time of final distribu- 2-26 and this section shall be available to the tion. Each lawyer or law firm shall retain the organization designated by the judges of the records required by Rule 1.15 of the Rules of Superior Court to administer the IOLTA program Professional Conduct for a period of seven years pursuant to Rule 1.15 of the Rules of Professional after termination of the representation. Conduct. The registration requirements of this sub- (c) Such books of account and statements of section shall not apply to judges of the Supreme, reconciliation, and any other records required to Appellate or Superior Courts, judge trial referees, be maintained pursuant to Rule 1.15 of the Rules family support magistrates, federal judges, federal of Professional Conduct, shall be made available magistrate judges, federal administrative law upon request of the Statewide Grievance Commit- judges or federal bankruptcy judges. tee or its counsel, or the disciplinary counsel for (e) The Statewide Grievance Committee or its review, examination or audit upon receipt of notice counsel may conduct random inspections and by the Statewide Grievance Committee of an audits of accounts maintained pursuant to Rule overdraft notice as provided by Section 2-28 (f). 1.15 of the Rules of Professional Conduct to Upon the filing of a grievance complaint or a find- determine whether such accounts are in compli- ing of probable cause, such records shall be made ance with the rule and this section. If any random available upon request of the Statewide Griev- inspection or audit performed under this subsec- ance Committee, its counsel or the disciplinary tion discloses an apparent violation of this section counsel for review or audit. or the Rules of Professional Conduct, the matter (d) Each lawyer shall register with the State- may be referred to a grievance panel for further wide Grievance Committee, on a form devised by investigation or to the disciplinary counsel for pre- the committee, the address of the lawyer's office sentment to the Superior Court. Any lawyer whose or offices maintained for the practice of law, the accounts are selected for inspection or audit lawyer's office e-mail address and business tele- under this section shall fully cooperate with the phone number, the name and address of every inspection or audit, which cooperation shall not financial institution with which the lawyer main- be construed to be a violation of Rule 1.6 (a) of tains any account in which the funds of more than the Rules of Professional Conduct. Any records, one client are kept and the identification number documents or information obtained or produced of any such account. Such registrations will be made on an annual basis and at such time as the pursuant to a random inspection or audit shall 128 Copyrighted by the Secretary of the State of the State of Connecticut 

136 SUPERIOR COURT–GENERAL PROVISIONS Sec. 2-27A remain confidential unless and until a present- judges, federal administrative law judges or fed- ment is initiated by the disciplinary counsel alleg- eral bankruptcy judges; ing a violation of Rule 1.15 of the Rules of (2) Attorneys who are disbarred, resigned pur- Professional Conduct or of this section, or proba- suant to Section 2-52, on inactive status pursuant ble cause is found by the grievance panel, the to Section 2-56 et seq., or retired pursuant to Statewide Grievance Committee or a reviewing Sections 2-55 or 2-55A; committee. Contemporaneously with the com- (3) Attorneys who are serving on active duty in mencement of a presentment or the filing of a the armed forces of the United States for more grievance complaint, notice shall be given in writ- than six months in such year; ing by the Statewide Grievance Committee to any (4) Attorneys for the calendar year in which they client or third person whose identity may be pub- are admitted; licly disclosed through the disclosure of records (5) Attorneys who earn less than $1000 in com- obtained or produced in accordance with this sub- pensation for the provision of legal services in section. Thereafter, public disclosure of such such year; records shall be subject to the client or third per- (6) Attorneys who, for good cause shown, have son having thirty days from the issuance of the been granted temporary or permanent exempt notice to seek a court order restricting publication status by the Statewide Grievance Committee. of any such records disclosing confidential infor- (b) Attorneys may satisfy the required hours of mation. During the thirty day period, or the pen- continuing legal education: dency of any such motion, any document filed (1) By attending legal education courses pro- with the court or as part of a grievance record vided by any local, state or special interest bar shall refer to such clients or third persons by association in this state or regional or national bar pseudonyms or with appropriate redactions, associations recognized in this state or another unless otherwise ordered by the court. state or territory of the United States or the District (f) Violation of this section shall constitute mis- of Columbia (hereinafter referred to as ``bar asso- conduct. ciation''); any private or government legal (P.B. 1978-1997, Sec. 27A.) (Amended June 25, 2001, to employer; any court of this or any other state or take effect Jan. 1, 2002; amended June 24, 2002, to take territory of the United States or the District of effect July 1, 2003; May 14, 2003, effective date changed to Columbia; any organization whose program or Oct. 1, 2003; Sept. 30, 2003, effective date changed to Jan. course has been reviewed and approved by any 1, 2004; amended June 26, 2006, to take effect Jan. 1, 2007, and with respect to subsection (e), July 1, 2007; amended bar association or organization that has been June 29, 2007, to take effect Jan. 1, 2008; amended June 30, established in any state or territory of the United 2008, to take effect Jan. 1, 2009; amended June 20, 2011, States or the District of Columbia to certify and to take effect Jan. 1, 2012; amended June 15, 2018, to take approve continuing legal education courses; and effect Jan. 1, 2019.) any other nonprofit or for-profit legal education HISTORY–2019: In subsection (d), what is now the fifth providers, including law schools and other appro- sentence was added. COMMENTARY–2019: The change to this section makes priate continuing legal education providers, and IOLTA trust account information available to the organization including courses remotely presented by video designated by the judges of the Superior Court to administer conference, webcasts, webinars, or the like by the IOLTA program. This change will improve the ability to said providers. ensure compliance with Rule 1.15 regarding IOLTA accounts. (2) By self-study of appropriate programs or Sec. 2-27A. Minimum Continuing Legal Edu- courses directly related to substantive or proce- cation dural law or related topics, including professional responsibility, legal ethics, or law office manage- (a) On an annual basis, each attorney admitted ment and prepared by those continuing legal edu- in Connecticut shall certify, on the registration cation providers in subsection (b) (1). Said self- form required by Section 2-27 (d), that the attorney study may include viewing and listening to all man- has completed in the last calendar year no less ner of communication, including, but not limited than twelve credit hours of appropriate continuing to, video or audio recordings or taking online legal legal education, at least two hours of which shall courses. The selection of self-study courses or be in ethics/professionalism. The ethics and pro- programs shall be consistent with the objective of fessionalism components may be integrated with this rule, which is to maintain and enhance the other courses. This rule shall apply to all attorneys skill level, knowledge, ethics and competence of except the following: the attorney and shall comply with the minimum (1) Judges and senior judges of the Supreme, quality standards set forth in subsection (c) (6). Appellate or Superior Courts, judge trial referees, (3) By publishing articles in legal publications family support magistrates, family support magis- that have as their primary goal the enhancement trate referees, federal judges, federal magistrate 129 Copyrighted by the Secretary of the State of the State of Connecticut 

137 SUPERIOR COURT–GENERAL PROVISIONS Sec. 2-27A continuing legal education requirement to be of competence in the legal profession, including, applied to the following year's continuing legal without limitation, substantive and procedural law, education requirement. ethics, law practice management and profes- sionalism. (6) To be eligible for continuing legal education credit, the course or activity must: (A) have signifi- (4) By teaching legal seminars and courses, cant intellectual or practical content designed to including the participation on panel discussions increase or maintain the attorney's professional as a speaker or moderator. competence and skills as a lawyer; (B) constitute (5) By serving as a full-time faculty member an organized program of learning dealing with at a law school accredited by the American Bar matters directly related to legal subjects and the Association or approved by the state bar examin- legal profession; and (C) be conducted by an indi- ing committee, in which case, such attorney will vidual or group qualified by practical or aca- be credited with meeting the minimum continuing demic experience. legal education requirements set forth herein. (d) Attorneys shall retain records to prove com- (6) By serving as a part-time or adjunct faculty pliance with this rule for a period of seven years. member at a law school accredited by the Ameri- can Bar Association or approved by the state bar (e) Violation of this section shall constitute mis- examining committee, in which case, such attor- conduct. ney will be credited with meeting the minimum (f) Unless it is determined that the violation of continuing legal education requirements set forth this section was wilful, a noncompliant attorney herein at the rate of one hour for each hour of must be given at least sixty days to comply with classroom instruction and one hour for each two this section before he or she is subject to any dis- hours of preparation. cipline. (7) By serving as a judge or coach for a moot (g) A Minimum Continuing Legal Education court or mock trial course or competition that is Commission (``commission'') shall be established part of the curriculum at or sanctioned by a law by the Judicial Branch and shall be composed school accredited by the American Bar Associa- of four Superior Court judges and four attorneys tion or approved by the state bar examining com- admitted to practice in this state, all of whom shall mittee. be appointed by the chief justice of the Supreme (c) Credit computation: Court or his or her designee and who shall serve (1) Credit for any of the above activities shall without compensation. The charge of the commis- be based on the actual instruction time, which sion will be to provide advice regarding the appli- may include lecture, panel discussion, and ques- cation and interpretation of this rule and to assist tion and answer periods. Credit for the activity with its implementation including, but not limited listed in subsection (b) (7) shall be based upon to, the development of a list of frequently asked the actual judging or coaching time, up to four questions and other documents to assist the hours for each activity per year. Self-study credit members of the bar to meet the requirements of shall be based on the reading time or running time this rule. of the selected materials or program. (Adopted June 24, 2016, to take effect Jan. 1, 2017; amended June 15, 2018, to take effect Jan. 1, 2019.) (2) Credit for attorneys preparing for and pre- HISTORY–2019: In subsection (b), in both subdivisions senting legal seminars, courses or programs shall (5) and (6), ``or approved by the state bar examining commit- be based on one hour of credit for each two hours tee,'' was added following ``American Bar Association.'' Also of preparation. A maximum of six hours of credit in subdivision (6), ``and one hour for each two hours of prepara- may be credited for preparation of a single pro- tion'' was added following ``instruction.'' In addition, what is gram. Credit for presentation shall be on an hour now subdivision (7) was added to subsection (b). for hour basis. Credit may not be earned more In subsection (c) (1), what is now the second sentence was added. In addition, prior to 2019, the final sentence of than once for the same course given during a subsection (c) (2) read: ``Credit may not be earned more than calendar year. once for the same course given during a twelve month period.'' (3) Credit for the writing and publication of arti- COMMENTARY–2019: The changes to this section were cles shall be based on the actual drafting time submitted by the Minimum Continuing Legal Education Com- required. Each article may be counted only one mission and expand or clarify the manner by which attorneys time for credit. may satisfy the required hours of continuing legal education. COMMENTARY–2017: It is the intention of this rule to (4) Continuing legal education courses ordered provide attorneys with relevant and useful continuing legal pursuant to Section 2-37 (a) (5) or any court order education covering the broadest spectrum of substantive, pro- of discipline shall not count as credit toward an cedural, ethical and professional subject matter at the lowest attorney's obligation under this section. cost reasonably feasible and with the least amount of supervi- (5) Attorneys may carry forward no more than sion, structure and reporting requirements, which will aid in two credit hours in excess of the current annual the development, enhancement and maintenance of the legal 130  Copyrighted by the Secretary of the State of the State of Connecticut

138 SUPERIOR COURT–GENERAL PROVISIONS Sec. 2-28 knowledge and skills of practicing attorneys and will facilitate accounts. Funds held in trust include funds held the delivery of competent legal services to the public. in any fiduciary capacity in connection with a rep- The rule also permits an attorney to design his or her own resentation in Connecticut, whether as trustee, course of study. The law is constantly evolving and attorneys, agent, guardian, executor or otherwise. Where like all other professionals, are expected to keep abreast of an attorney fiduciary has the right to draw by a changes in the profession and the law if they are to provide properly payable instrument on such trust account competent representation. Subsection (a) provides that Connecticut attorneys must in which the funds of more than one client are complete twelve credit hours of continuing legal education per kept, such account shall be maintained only in calendar year. Subsection (a) also lists those Connecticut financial institutions approved by the Statewide attorneys, who are exempt from compliance, including, among Grievance Committee. No such trust account in others: judges, senior judges, attorneys serving in the military, which the funds of more than one client are kept new attorneys during the year in which they are admitted to shall be maintained in any financial institution in practice, attorneys who earn less than $1000 in compensation for the provision of legal services in the subject year, and Connecticut which does not file the agreement those who obtain an exempt status for good cause shown. required by this section. Violation of this subsec- The subsection also provides an exemption for attorneys who tion shall constitute misconduct. are disbarred, resigned, on inactive status due to disability, (c) Attorneys regularly maintaining funds in a or are retired. The exemption for attorneys who earn less than fiduciary capacity shall register any account in $1000 in compensation in a particular year is not intended to which the funds of more than one client are kept apply to attorneys who claim that they were not paid as a result of billed fees to a client. All compensation received for with the Statewide Grievance Committee in the provision of legal services, whether the result of billed fees accordance with Section 2-27 (d). or otherwise, must be counted. There is no exemption for (d) A financial institution shall be approved as attorneys who are suspended or on administrative suspension. a depository for attorney trust accounts only if it Subsection (d) requires an attorney to maintain adequate files with the Statewide Grievance Committee an records of compliance. For continuing legal education courses, agreement, in a form provided by the committee, a certificate of attendance shall be sufficient proof of compli- ance. For self-study, a contemporaneous log identifying and to report to the committee the fact that an instru- describing the course listened to or watched and listing the ment has been presented against an attorney trust date and time the course was taken, as well as a copy of the account containing insufficient funds, irrespective syllabus or outline of the course materials, if available, and, of whether or not the instrument is honored. No when appropriate, a certificate from the course provider, shall report shall be required if funds in an amount be sufficient proof of compliance. For any other form of continu- sufficient to cover the deficiency in the trust ing legal education, a file including a log of the time spent and account are deposited within one business day drafts of the prepared material shall provide sufficient proof of compliance. of the presentation of the instrument. No report 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 sess, 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 ited in an account and available to be drawn upon business days from the date of such presentation, but not yet deemed by the financial institution to any instrument presented against insufficient have been collected. funds on any trust funds account unless funds in an amount sufficient to cover the deficiency in the (b) Attorneys shall deposit all funds held in any account are deposited within one business day fiduciary capacity in accounts clearly identified as of the presentation of the instrument. The report ``trust,'' ``client funds'' or ``escrow'' accounts, shall be accompanied by a copy of the instrument. referred to herein as ``trust accounts,'' and shall 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 131 Copyrighted by the Secretary of the State of the State of Connecticut 

139 SUPERIOR COURT–GENERAL PROVISIONS Sec. 2-28 to investigate overdraft notifications and deter- The filing shall consist of the following: mine that no misconduct has occurred or that no (1) A copy of the advertisement or communica- further action is warranted. Any determination that tion in the form or forms in which it is to be dissem- misconduct may have occurred and a grievance inated (e.g., videotapes, DVDs, audiotapes, complaint should be initiated, unless such com- compact discs, print media, photographs of out- plaint is premised upon the failure of an attorney door advertising); to file an explanation of an overdraft, shall be (2) A transcript, if the advertisement or commu- made by the Statewide Grievance Committee. nication is in video or audio format; (h) Upon receipt of notification of an overdraft, (3) A list of domain names used by the attorney the Statewide Grievance Committee, its counsel primarily to offer legal services, which shall be or disciplinary counsel may request that the attor- updated quarterly; ney produce such books of account and state- (4) A sample envelope in which the written com- ments of reconciliation, and any other records munication will be enclosed, if the communication required to be maintained pursuant to Section 2- is to be mailed; 27 (b) for review, examination or audit. Failure of (5) A statement listing all media in which the the attorney to respond to inquiries of the State- advertisement or communication will appear, the wide Grievance Committee, its counsel, or disci- anticipated frequency of use of the advertisement plinary counsel, or to produce the requested or communication in each medium in which it will books of account and statements of reconciliation appear, and the anticipated time period during or other records shall be grounds for disciplinary which the advertisement or communication will counsel to file an application for an interim sus- be used. pension in accordance with the provisions of Sec- (b) The filing requirements of subsection (a) do tion 2-42. not extend to any of the following materials: (i) Every attorney practicing or admitted to prac- (1) An advertisement in the public media that tice in Connecticut shall, as a condition thereof, contains only the information, in whole or in part, be conclusively presumed to have authorized the contained in Rule 7.2 (i) of the Rules of Profes- reporting and production requirements of this sec- sional Conduct, provided the information is not tion. Where an attorney qualifies as executor of false or misleading; a will or as trustee or successor fiduciary, the (2) An advertisement in a telephone directory; attorney fiduciary shall have a reasonable time (3) A listing or entry in a regularly published after qualification to bring preexisting trust law list; accounts into compliance with the provisions of (4) An announcement card stating new or this section. changed associations, new offices, or similar (P.B. 1978-1997, Sec. 27A.1.) (Amended June 24, 2002, changes relating to an attorney or firm, or a tomb- to take effect July 1, 2003; May 14, 2003, effective date stone professional card; changed to Oct. 1, 2003; Sept. 30, 2003, effective date (5) A communication sent only to: changed to Jan. 1, 2004; amended June 26, 2006, to take (A) Existing or former clients; effect Jan. 1, 2007.) (B) Other attorneys or professionals; business Sec. 2-28A. Attorney Advertising; Manda- organizations including trade groups; not-for- tory Filing profit organizations; governmental bodies and/or (C) Members of a not-for-profit organization that (a) Any attorney who advertises services to the meets the following conditions: the primary pur- public through any media, electronic or otherwise, poses of the organization do not include the or through written or recorded communication pur- rendition of legal services; the recommending, suant to Rule 7.2 of the Rules of Professional furnishing, paying for or educating persons Conduct shall file a copy of each such advertise- regarding legal services is incidental and reason- ment or communication with the Statewide Griev- ably related to the primary purposes of the organi- ance Committee either prior to or concurrently zation; the organization does not derive a financial with the attorney's first dissemination of the adver- benefit from the rendition of legal services by an tisement or written or recorded communication, attorney; and the person for whom the legal ser- except as otherwise provided in subsection (b) vices are rendered, and not the organization, is herein. The materials shall be filed in a format recognized as the client of the attorney who is prescribed by the Statewide Grievance Commit- recommended, furnished, or paid for by the orga- tee, which may require them to be filed electroni- nization. cally. Any such submission in a foreign language must include an accurate English language trans- (6) Communication that is requested by a pro- lation. spective client. 132 Copyrighted by the Secretary of the State of the State of Connecticut 

140 SUPERIOR COURT–GENERAL PROVISIONS Sec. 2-28B (7) The contents of an attorney's Internet web- and/ or the Disciplinary Counsel's Office pursuant site that appears under any of the domain names to this section shall not be public. Nothing in this submitted pursuant to subdivision (3) of subsec- rule shall prohibit the use or consideration of such tion (a). records in any subsequent disciplinary or client security fund proceeding and such records shall (c) If requested by the Statewide Grievance be available in such proceedings to a judge of the Committee, an attorney shall promptly submit Superior Court or to the standing committee on information to substantiate statements or repre- recommendations for admission to the bar, to dis- sentations made or implied in any advertisement ciplinary counsel, to the statewide bar counsel or in the public media and/or written or recorded assistant bar counsel, or, with the consent of the communications. respondent, to any other person, unless otherwise (d) The statewide bar counsel shall review ordered by the court. advertisements and communications filed pursu- (h) Violation of subsections (a) or (c) shall con- ant to this section that have been selected for such stitute misconduct. review on a random basis. If after such review the (Adopted June 26, 2006, to take effect July, 1, 2007; statewide bar counsel determines that an adver- amended June 21, 2010, to take effect Jan. 1, 2011.) tisement or communication does not comply with TECHNICAL CHANGE: Subparagraphs in subsection (b) the Rules of Professional Conduct, the statewide (5) are now designated with capital letters. bar counsel shall in writing advise the attorney responsible for the advertisement or communica- Sec. 2-28B. –Advisory Opinions tion of the noncompliance and shall attempt to (a) An attorney who desires to secure an resolve the matter with such attorney. If the matter advance advisory opinion concerning compliance is not resolved to the satisfaction of the statewide with the Rules of Professional Conduct of a con- bar counsel, he or she shall forward the advertise- templated advertisement or communication may ment or communication and a statement describ- submit to the Statewide Grievance Committee, ing the attempt to resolve the matter to the not less than 30 days prior to the date of first Statewide Grievance Committee for review. If, dissemination, the material specified in Section after reviewing the advertisement or communica- 2-28A (a) accompanied by a fee established by tion, the Statewide Grievance Committee deter- the chief court administrator. It shall not be neces- mines that it violates the Rules of Professional sary to submit a videotape or DVD if the videotape Conduct, it shall forward a copy of its file to the or DVD has not then been prepared and the pro- disciplinary counsel and direct the disciplinary duction script submitted reflects in detail and counsel to file a presentment against the attorney accurately the actions, events, scenes, and back- in the Superior Court. ground sounds that will be depicted or contained (e) The procedure set forth in subsection (d) on such videotapes or DVDs, when prepared, as shall apply only to advertisements and communi- well as the narrative transcript of the verbal and cations that are reviewed as part of the random printed portions of such advertisement. review process. If an advertisement or communi- (b) An advisory opinion shall be issued, without cation comes to the attention of the statewide bar a hearing, by the Statewide Grievance Committee counsel other than through that process, it shall or by a reviewing committee assigned by the be handled pursuant to the grievance procedure Statewide Grievance Committee. Such reviewing that is set forth in Section 2-29 et seq. committee shall consist of at least three members (f) The materials required to be filed by this of the Statewide Grievance Committee, at least section shall be retained by the Statewide Griev- one-third of whom are not attorneys. ance Committee for a period of one year from the (c) An advisory opinion issued by the Statewide date of their filing, unless, at the expiration of Grievance Committee or a reviewing committee the one year period, there is pending before the finding noncompliance with the Rules of Profes- Statewide Grievance Committee, a reviewing sional Conduct is not binding in a disciplinary pro- committee, or the court a proceeding concerning ceeding, but a finding of compliance is binding in such materials, in which case the materials that favor of the submitting attorney in a disciplinary are the subject of the proceeding shall be retained proceeding if the representations, statements, until the expiration of the proceeding or for such materials, facts and written assurances received other period as may be prescribed by the State- in connection therewith are not false or mis- wide 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 ance Committee or reviewing committee shall 133 Copyrighted by the Secretary of the State of the State of Connecticut 

141 SUPERIOR COURT–GENERAL PROVISIONS Sec. 2-28B issue its advisory opinion within 45 days of the any other person, unless otherwise ordered by filing of the request. Thereafter, the Statewide the court. (Adopted June 26, 2006, to take effect July 1, 2007.) Grievance Committee or reviewing committee shall issue its advisory opinion within 30 days of Sec. 2-29. Grievance Panels the filing of the request. For purposes of this sec- (a) The judges of the Superior Court shall tion, an advisory opinion is issued on the date notice of the opinion is transmitted to the attorney appoint one or more grievance panels in each who requested it pursuant to subsection (a) judicial district, each consisting of two members herein. of the bar who do not maintain an office for the (d) If requested by the Statewide Grievance practice of law in such judicial district and one Committee or a reviewing committee, the attorney nonattorney who resides in such judicial district, seeking an advisory opinion shall promptly submit and shall designate as an alternate member a information to substantiate statements or repre- member of the bar who does not maintain an sentations made or implied in such attorney's office for the practice of law in such judicial district. advertisement. The time period set forth in sub- Terms shall commence on July 1. Appointments section (c) herein shall be tolled from the date of shall be for terms of three years. No person may the committee's request to the date the requested serve as a member and/or as an alternate mem- information is filed with the committee. ber for more than two consecutive three year (e) If an advisory opinion is not issued by the terms, but may be reappointed after a lapse of Statewide Grievance Committee or a reviewing one year. The appointment of any member or committee within the time prescribed in this sec- alternate member may be revoked or suspended tion, the advertisement or communication for by the judges or by the executive committee of which the opinion was sought shall be deemed the Superior Court. In connection with such revo- to be in compliance with the Rules of Profes- cation or suspension, the judges or the executive sional Conduct. committee shall appoint a qualified individual to (f) If, after receiving an advisory opinion finding fill the vacancy for the balance of the term or for that an advertisement or communication violates any other appropriate period. In the event that a the Rules of Professional Conduct, the attorney vacancy arises on a panel before the end of a disseminates such advertisement or communica- term by reasons other than revocation or suspen- tion, the Statewide Grievance Committee, upon sion, the executive committee of the Superior receiving notice of such dissemination, shall for- Court shall appoint an attorney or nonattorney, ward a copy of its file concerning the matter to depending on the position vacated, who meets the disciplinary counsel and direct the disciplinary the appropriate condition set forth above to fill the counsel to file a presentment against the attorney vacancy for the balance of the term. in the Superior Court. (b) Consideration for appointment to these posi- (g) Except for advisory opinions, all records tions shall be given to those candidates recom- maintained by the Statewide Grievance Commit- mended to the appointing authority by the tee pursuant to this section shall not be public. administrative judges. Advisory opinions issued pursuant to this section (c) In the event that more than one panel has shall not be public for a period of 30 days from been appointed to serve a particular judicial dis- the date of their issuance. During that 30 day trict, the executive committee of the Superior period the advisory opinion shall be available only Court shall establish the jurisdiction of each to the attorney who requested it pursuant to sub- such panel. section (a), to the Statewide Grievance Commit- (d) An attorney who maintains an office for the tee or its counsel, to reviewing committees, to practice of law in the same judicial district as a grievance panels, to disciplinary counsel, to a respondent may not participate as a member of judge of the Superior Court, and, with the consent a grievance panel concerning a complaint against of the attorney who requested the opinion, to any that respondent. other person. Nothing in this rule shall prohibit (e) In addition to any other powers and duties the use or consideration of such records in any set forth in this chapter, each panel shall: subsequent disciplinary or client security fund pro- (1) On its own motion or on complaint of any ceeding and such records shall be available in person, inquire into and investigate offenses such proceedings to a judge of the Superior Court whether or not occurring in the actual presence or to the standing committee on recommendations of the court involving the character, integrity, pro- for admission to the bar, to disciplinary counsel, fessional standing and conduct of members of the to the statewide bar counsel or assistant bar coun- sel, or, with the consent of the respondent, to bar in this state. 134 Copyrighted by the Secretary of the State of the State of Connecticut 

142 SUPERIOR COURT–GENERAL PROVISIONS Sec. 2-32 (2) Compel any person by subpoena to appear with the complainants and assist them in under- standing the grievance process set forth in these before it to testify in relation to any matter deemed rules and to answer questions complainants may by the panel to be relevant to any inquiry or investi- have concerning that process. gation it is conducting and to produce before it (2) To investigate all complaints received by the for examination any books or papers which, in its grievance panel from the statewide bar counsel judgment, may be relevant to such inquiry or involving alleged misconduct of an attorney sub- investigation. ject to the jurisdiction of the Superior Court. (3) Utilize a court reporter or court recording (3) To assist the grievance panels in carrying monitor employed by the Judicial Branch to record out their duties under this chapter. any testimony taken before it. (4) When determined to be necessary by the (f) The grievance panel may, upon the vote of a Statewide Grievance Committee, to assist majority of its members, require that a disciplinary reviewing committees of the Statewide Grievance counsel pursue the matter before the grievance Committee in conducting hearings before said panel on the issue of probable cause. reviewing committees. (P.B. 1978-1997, Sec. 27B.) (Amended June 24, 2002, to take effect July 1, 2003; May 14, 2003, effective date changed (5) If the grievance panel has dismissed the to Oct. 1, 2003; Sept. 30, 2003, effective date changed to Jan. complaint, to assist the complainant in under- 1, 2004.) standing the reasons for the dismissal. (P.B. 1978-1997, Sec. 27E.) (Amended June 24, 2002, to Sec. 2-30. Grievance Counsel for Panels take effect July 1, 2003; May 14, 2003, effective date changed and Investigators to Oct. 1, 2003; Sept. 30, 2003, effective date changed to Jan. 1, 2004.) (a) The judges of the Superior Court shall appoint, as set forth below, attorneys to serve Sec. 2-32. Filing Complaints against Attor- either on a part-time or full-time basis as grievance neys; Action; Time Limitation counsel for grievance panels, and shall appoint (a) Any person, including disciplinary counsel, one or more investigators either on a full-time or or a grievance panel on its own motion, may file part-time basis. The investigators so appointed a written complaint, executed under penalties of shall serve the Statewide Grievance Committee, false statement, alleging attorney misconduct the reviewing committees and the grievance pan- whether or not such alleged misconduct occurred els and shall be under the supervision of the state- in the actual presence of the court. Complaints wide bar counsel. These appointments shall be against attorneys shall be filed with the statewide for a term of one year commencing July 1. In bar counsel. Within seven days of the receipt of the event that a vacancy arises in any of these a complaint, the statewide bar counsel shall positions before the end of a term, the executive review the complaint and process it in accordance committee of the Superior Court shall appoint a with subdivisions (1), (2) or (3) of this subsection qualified individual to fill the vacancy for the bal- as follows: ance of the term. Compensation for these posi- (1) forward the complaint to a grievance panel tions shall be paid by the Judicial Branch. Such in the judicial district in which the respondent appointees may be placed on the Judicial Branch maintains his or her principal office or residence, payroll or be paid on a contractual basis. provided that, if the respondent does not maintain (b) Consideration for appointment to the posi- such an address in this state, the statewide bar tion of grievance counsel for a grievance panel counsel shall forward the complaint to any griev- shall be given to those candidates recommended ance panel and notify the complainant and the to the appointing authority by the resident judges respondent, by certified mail with return receipt in the judicial district or districts to which the or with electronic delivery confirmation, of the appointment is to be made. panel to which the complaint was sent. The notifi- (c) The executive committee of the Superior cation to the respondent shall be accompanied Court shall determine the number of grievance by a copy of the complaint. The respondent shall counsel to serve one or more grievance panels. respond within thirty days of the date notification (P.B. 1978-1997, Sec. 27D.) is mailed to the respondent unless for good cause shown such time is extended by the grievance Sec. 2-31. Powers and Duties of Grievance panel. The response shall be sent to the grievance Counsel panel to which the complaint has been referred. Grievance counsel shall have the following The failure to file a timely response shall constitute powers and duties: misconduct unless the respondent establishes (1) Upon referral of the complaint to the griev- that the failure to respond timely was for good ance panel, to confer with and, if possible, meet cause shown; 135 Copyrighted by the Secretary of the State of the State of Connecticut 

143 SUPERIOR COURT–GENERAL PROVISIONS Sec. 2-32 (I) the complaint names only a law firm or other (2) refer the complaint to the chair of the State- entity and not any individual attorney, unless dis- wide Grievance Committee or an attorney desig- missal would result in gross injustice. If the com- nee of the chair and to a nonattorney member of plaint names a law firm or other entity as well as the committee, and the statewide bar counsel in an individual attorney or attorneys, the complaint conjunction with the chair or attorney designee shall be dismissed only as against the law firm and the nonattorney member shall, if deemed or entity; appropriate, dismiss the complaint on one or more (J) the complaint alleges misconduct occurring of the following grounds: in another jurisdiction in which the attorney is also (A) the complaint only alleges a fee dispute and admitted and in which the attorney maintains an not a clearly excessive or improper fee; office to practice law, and it would be more practi- (B) the complaint does not allege facts which, cable for the matter to be determined in the other if true, would constitute a violation of any provision jurisdiction. If a complaint is dismissed pursuant of the applicable rules governing attorney to this subdivision, it shall be without prejudice conduct; and the matter shall be referred by the statewide (C) the complaint does not contain sufficient bar counsel to the jurisdiction in which the conduct specific allegations on which to conduct an investi- is alleged to have occurred. gation; (3) If a complaint alleges only a fee dispute (D) the complaint is duplicative of a previously within the meaning of subsection (a) (2) (A) of this adjudicated complaint; section, the statewide bar counsel in conjunction (E) the complaint alleges that the last act or with the chairperson or attorney designee and the omission constituting the alleged misconduct nonattorney member may stay further proceed- occurred more than six years prior to the date on ings on the complaint on such terms and condi- which the complaint was filed; tions as deemed appropriate, including referring the parties to fee arbitration. The record and result (i) Notwithstanding the period of limitation set of any such fee arbitration shall be filed with the forth in this subparagraph, an allegation of mis- statewide bar counsel and shall be dispositive of conduct that would constitute a violation of Rule the complaint. A party who refuses to utilize the 1.15, 8.1 or 8.4 (2) through (6) of the Rules of no cost fee arbitration service provided by the Professional Conduct may still be considered as Connecticut Bar Association shall pay the cost of long as a written complaint is filed within one year the arbitration. of the discovery of such alleged misconduct. (b) The statewide bar counsel, chair or attorney (ii) Each period of limitation in this subpara- designee and nonattorney member shall have graph is tolled during any period in which: (1) the fourteen days from the date the complaint was alleged misconduct remains undiscovered due to filed to determine whether to dismiss the com- active concealment; (2) the alleged misconduct plaint. If after review by the statewide bar counsel, 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 136 Copyrighted by the Secretary of the State of the State of Connecticut 

144 SUPERIOR COURT–GENERAL PROVISIONS Sec. 2-33 counsel who shall forward it to a reviewing com- that probable cause exists that the respondent is mittee for decision on the appeal. The reviewing guilty of misconduct, (B) a copy of the complaint committee shall review the appeal and render a and response, (C) a transcript of any testimony decision thereon within sixty days of the filing of heard by the panel, (D) a copy of any investigatory the appeal. The reviewing committee shall either file and copies of any documents, transcripts or affirm the dismissal of the complaint or order the other written materials which were available to the complaint forwarded to a grievance panel for panel. These materials shall constitute the panel's investigation in accordance with subsections (f) record in the case. (2) If the panel determines that through (j) of this section. The decision of the no probable cause exists that the respondent is reviewing committee shall be in writing and mailed guilty of misconduct, it shall dismiss the complaint to the complainant. The decision of the reviewing unless there is an allegation in the complaint that committee shall be final. the respondent committed a crime. Such dis- missal shall be final and there shall be no review (d) The statewide bar counsel shall keep a of the matter by the Statewide Grievance Commit- record of all complaints filed. The complainant tee, but the panel shall file with the Statewide and the respondent shall notify the statewide bar Grievance Committee a copy of its decision dis- counsel of any change of address or telephone missing the complaint and the materials set forth number during the pendency of the proceedings in subsection (i) (1) (B), (C) and (D). In cases in on the complaint. which there is an allegation in the complaint that (e) If for good cause a grievance panel declines, the respondent committed a crime, the panel shall or is unable pursuant to Section 2-29 (d), to inves- file with the Statewide Grievance Committee and tigate a complaint, it shall forthwith return the com- with disciplinary counsel its written determination plaint to the statewide bar counsel to be referred that no probable cause exists and the materials by him or her immediately to another panel. Notifi- set forth in subsection (i) (1) (B), (C) and (D). cation of such referral shall be given by the state- These materials shall constitute the panel's record wide bar counsel to the complainant and the in the case. respondent by certified mail with return receipt or (j) The panel may file a motion for extension of with electronic delivery confirmation. time not to exceed thirty days with the Statewide (f) The grievance panel, with the assistance of Grievance Committee which may grant the motion the grievance counsel assigned to it, shall investi- only upon a finding of good cause. If the panel gate each complaint to determine whether proba- does not complete its action on a complaint within ble cause exists that the attorney is guilty of the time provided in this section, the Statewide misconduct. The grievance panel may, upon the Grievance Committee shall inquire into the delay vote of a majority of its members, require that a and shall order that the panel take action on the disciplinary counsel pursue the matter before the complaint forthwith, or order that the complaint be grievance panel on the issue of probable cause. forwarded to and heard by another panel or a (g) Investigations and proceedings of the griev- reviewing committee designated by the Statewide ance panel shall be confidential unless the attor- Grievance Committee. ney under investigation requests that such (k) The panel shall notify the complainant, the investigation and proceedings be public. respondent, and the Statewide Grievance Com- (h) On the request of the respondent and for mittee of its determination. The determination good cause shown, or on its own motion, the griev- shall be a matter of public record if the panel ance panel may conduct a hearing on the com- determines that probable cause exists that the plaint. The complainant and respondent shall be respondent is guilty of misconduct. entitled to be present at any proceedings on the (P.B. 1978-1997, Sec. 27F.) (Amended June 29, 1998, to complaint at which testimony is given and to have take effect Jan. 1, 1999; amended June 28, 1999, to take counsel present, provided, however, that they effect Jan. 1, 2000; amended June 24, 2002, to take effect 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; Sept. 30, 2003, effective date of two latest amendments panel. changed to Jan. 1, 2004; amended June 21, 2004, to take (i) The panel shall, within 110 days from the effect Jan. 1, 2005; amended June 20, 2005, to take effect date the complaint was referred to it, unless such Jan. 1, 2006; amended June 30, 2008, to take effect Jan. 1, time is extended pursuant to subsection (j), do 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 Sec. 2-33. Statewide Grievance Committee guilty of misconduct, it shall file the following with 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 137 Copyrighted by the Secretary of the State of the State of Connecticut 

145 SUPERIOR COURT–GENERAL PROVISIONS Sec. 2-33 known as the ``Statewide Grievance Committee.'' panel for investigation when such disclosure is At least seven shall not be attorneys and the deemed by the committee to be in the public remainder shall be members of the bar of this interest. (P.B. 1978-1997, Sec. 27G.) state. The judges shall designate one member as chair and another as vice-chair to act in the Sec. 2-34. Statewide Bar Counsel absence or disability of the chair. (b) All members shall serve for a term of three (a) The judges of the Superior Court shall years commencing on July 1. Except as otherwise appoint an attorney to act as statewide bar coun- provided herein, no person shall serve as a mem- sel, and such additional attorneys to act as assis- ber for more than two consecutive three year tant bar counsel as are necessary, for a term of terms, excluding any appointments for less than one year commencing July 1. In the event that a a full term; a member may be reappointed after vacancy arises in any such position before the a lapse of one year. If the term of a member end of a term, the executive committee of the who is on a reviewing committee expires while a Superior Court shall appoint an attorney to fill the complaint is pending before that committee, the vacancy for the balance of the term. Compensa- judges or the executive committee may extend tion for these positions shall be paid by the Judicial the term of such member to such time as the Branch. Such individuals shall be in the legal ser- reviewing committee has completed its action on vices division of the Office of the Chief Court that complaint. In the event of such an extension Administrator and shall perform such other duties the total number of Statewide Grievance Commit- as may be assigned to them in that capacity. tee members may exceed twenty-one. The (b) In addition to any other powers and duties appointment of any member may be revoked or set forth in this chapter, the statewide bar counsel suspended by the judges or by the executive com- or an assistant bar counsel shall: mittee of the Superior Court. In connection with (1) Report to the national disciplinary data bank such revocation or suspension, the judges or the such requested information as is officially reported executive committee shall appoint a qualified indi- to the statewide bar counsel concerning attorneys vidual to fill the vacancy for the remainder of the who have resigned pursuant to Section 2-52, or term or for any other appropriate period. In the whose unethical conduct has resulted in disciplin- event that a vacancy arises in this position before ary action by the court or by the Statewide Griev- the end of a term by reasons other than revocation ance Committee, or who have been placed on or suspension, the executive committee of the inactive status pursuant to Sections 2-56 through Superior Court shall fill the vacancy for the bal- 2-62. ance of the term or for any other appropriate (2) Receive and maintain information forwarded period. Unless otherwise provided in this chapter, to the statewide bar counsel by the national disci- the committee must have at least a quorum pre- sent to act, and a quorum shall be eleven. The plinary data bank. committee shall act by a vote of a majority of those (3) Receive and maintain records forwarded to present and voting, provided that a minimum of the statewide bar counsel by the clerks of court six votes for a particular action is necessary for pursuant to Sections 2-23 and 2-52 and by com- the committee to act. Members present but not plainants pursuant to Section 2-32. voting due to disqualification, abstention, silence (4) For a fee established by the chief court or a refusal to vote, shall be counted for purposes administrator, certify the status of individuals who of establishing a quorum, but not counted in calcu- are or were members of the bar of this state at lating a majority of those present and voting. the request of bar admission authorities of other (c) In addition to any other powers and duties jurisdictions or at the request of a member of the set forth in this chapter, the Statewide Grievance bar of this state with respect to such member's Committee shall: status. In certifying the status of an individual, no (1) Institute complaints involving violations of information shall be provided to the requesting General Statutes ß 51-88. entity, other than public information, without a (2) Adopt rules to carry out its duties under this waiver from that individual. chapter which are not inconsistent with these (5) Assist the Statewide Grievance Committee rules. and the reviewing committees in carrying out their (3) Adopt rules for grievance panels to carry duties under this chapter. out their duties under this chapter which are not (P.B. 1978-1997, Sec. 27H.) (Amended June 24, 2002, to inconsistent with these rules. take effect July 1, 2003; May 14, 2003, effective date changed (4) In its discretion, disclose that it or the state- to Oct. 1, 2003; Sept. 30, 2003, effective date changed to Jan. wide bar counsel has referred a complaint to a 1, 2004; amended June 22, 2009, to take effect Jan. 1, 2010.) 138 Copyrighted by the Secretary of the State of the State of Connecticut 

146 SUPERIOR COURT–GENERAL PROVISIONS Sec. 2-35 Sec. 2-34A. Disciplinary Counsel (6) In his or her discretion, recommend disposi- tions to the Statewide Grievance Committee or (a) There shall be a chief disciplinary counsel the reviewing committee after the hearing on a and such disciplinary counsel and staff as are complaint is concluded. necessary. The chief disciplinary counsel and the (7) At the request of the Statewide Grievance disciplinary counsel shall be appointed by the Committee or a reviewing committee, prepare and judges of the Superior Court for a term of one file complaints initiating presentment proceedings year commencing July 1, except that initial in the Superior Court, whether or not the alleged appointments shall be from such date as the misconduct occurred in the actual presence of the judges determine through the following June 30. court, and prosecute same. In the event that a vacancy arises in any of these positions before the end of a term, the executive (8) At the request of a grievance panel made committee of the Superior Court may appoint a pursuant to Section 2-29, pursue the matter qualified individual to fill the vacancy for the bal- before the grievance panel on the issue of proba- ance of the term. The chief disciplinary counsel ble cause. and disciplinary counsel shall be assigned to the (9) Investigate and prosecute complaints Office of the Chief Court Administrator for admin- involving the violation by any person of General istrative purposes and shall not engage in the Statutes ß 51-88. private practice of law. The term ``disciplinary (Adopted June 24, 2002, to take effect July 1, 2003; May counsel'' as used in the rules for the Superior 14, 2003, effective date changed to Oct. 1, 2003, and amended on an interim basis, pursuant to the provisions of Section 1- Court shall mean the chief disciplinary counsel or 9 (c), to take effect Oct. 1, 2003, and amendment adopted any disciplinary counsel. June 30, 2003, to take effect Oct. 1, 2003; Sept. 30, 2003, (b) In addition to any other powers and duties effective date of adopted rule and amendment changed to set forth in this chapter, disciplinary counsel shall: Jan. 1, 2004; amended June 21, 2004, to take effect Jan. 1, (1) Investigate each complaint which has been 2005; amended June 15, 2012, to take effect Jan. 1, 2013.) forwarded, after a determination that probable Sec. 2-35. Action by Statewide Grievance cause exists that the respondent is guilty of mis- Committee or Reviewing Committee conduct, by a grievance panel to the Statewide Grievance Committee for review pursuant to Sec- (a) Upon receipt of the record from a grievance tion 2-32 (i) and pursue such matter before the panel, the Statewide Grievance Committee may Statewide Grievance Committee or reviewing assign the case to a reviewing committee which committee. When, after a determination of no shall consist of at least three members of the probable cause by a grievance panel, a complaint Statewide Grievance Committee, at least one is forwarded to the Statewide Grievance Commit- third of whom are not attorneys. The Statewide tee because it contains an allegation that the Grievance Committee may, in its discretion, reas- respondent committed a crime, and the Statewide sign the case to a different reviewing committee. Grievance Committee or a reviewing committee The committee shall regularly rotate membership determines that a hearing shall be held concern- on reviewing committees and assignments of ing the complaint pursuant to Section 2-35 (c), complaints 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 respondent's attorney, subject to the approval of the reviewing committee shall have the power to the Statewide Grievance Committee or a issue a subpoena to compel any person to appear reviewing 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 convened pursuant to these rules. or the reviewing committee shall hold a hearing 139 Copyrighted by the Secretary of the State of the State of Connecticut 

147 SUPERIOR COURT–GENERAL PROVISIONS Sec. 2-35 on the complaint. If the grievance panel deter- at all hearings held by the reviewing committee. mined that probable cause does not exist, but filed Unless waived by the disciplinary counsel and the the matter with the Statewide Grievance Commit- respondent, the remaining member of the tee because the complaint alleges that a crime reviewing committee shall obtain and review the has been committed, the Statewide Grievance transcript of each such hearing and shall partici- Committee or the reviewing committee shall pate in the committee's determination. All hear- review the determination of no probable cause, ings following a determination of probable cause take evidence if it deems it appropriate and, if it shall be public and on the record. determines that probable cause does exist, shall (h) The complainant and respondent shall be take the following action: (1) if the Statewide entitled to be present at all hearings and other Grievance Committee reviewed the grievance proceedings on the complaint at which testimony panel's determination, it shall hold a hearing con- is given and to have counsel present. At all hear- cerning the complaint or assign the matter to a ings, the respondent shall have the right to be reviewing committee to hold the hearing; or (2) if heard in the respondent's own defense and by a reviewing committee reviewed the grievance witnesses and counsel. The disciplinary counsel panel's determination, it shall hold a hearing con- shall pursue the matter before the Statewide cerning the complaint or refer the matter to the Grievance Committee or reviewing committee. Statewide Grievance Committee which shall The disciplinary counsel and the respondent shall assign it to another reviewing committee to hold be entitled to examine or cross-examine wit- the hearing. nesses. At the conclusion of the evidentiary phase (d) Disciplinary counsel may add additional alle- of a hearing, the complainant, the disciplinary gations of misconduct to the grievance panel's counsel and the respondent shall have the oppor- determination that probable cause exists in the tunity to make a statement, either individually or following circumstances: through counsel. The Statewide Grievance Com- (1) Prior to the hearing before the Statewide mittee or reviewing committee may request oral Grievance Committee or the reviewing commit- argument. tee, disciplinary counsel may add additional alle- (i) Within ninety days of the date the grievance gations of misconduct arising from the record of panel filed its determination with the Statewide the grievance complaint or its investigation of Grievance Committee pursuant to Section 2-32 the complaint. (i), the reviewing committee shall render a final (2) Following commencement of the hearing written decision dismissing the complaint, impos- before the Statewide Grievance Committee or the ing sanctions and conditions as authorized by reviewing committee, disciplinary counsel may Section 2-37 or directing the disciplinary counsel only add additional allegations of misconduct for to file a presentment against the respondent in good cause shown and with the consent of the the Superior Court and file it with the Statewide respondent and the Statewide Grievance Com- Grievance Committee. Where there is a final deci- mittee or the reviewing committee. Additional alle- sion dismissing the complaint, the reviewing com- gations of misconduct may not be added after the mittee may give notice in a written summary order hearing has concluded. to be followed by a full written decision. The (e) If disciplinary counsel determines that addi- reviewing committee's record in the case shall tional allegations of misconduct exist, it shall issue consist of a copy of all evidence it received or a written notice to the respondent and the State- considered, including a transcript of any testimony wide Grievance Committee, which shall include, heard by it, and its decision. The record shall also but not be limited to, the following: (1) a description be sent to the Statewide Grievance Committee. of the factual allegation or allegations that were The reviewing committee shall forward a copy of considered in rendering the determination; and the final decision to the complainant, the disciplin- (2) for each such factual allegation, an identifica- ary counsel, the respondent, and the grievance tion of the specific provision or provisions of the panel to which the complaint was forwarded. The applicable rules governing attorney conduct con- decision shall be a matter of public record if there sidered in rendering the determination. was a determination by a grievance panel, a (f) The respondent shall be entitled to a period reviewing committee or the Statewide Grievance of not less than thirty days before being required Committee that there was probable cause that the to appear at a hearing to defend against any addi- respondent was guilty of misconduct. The tional charges of misconduct filed by the disciplin- reviewing committee may file a motion for exten- ary counsel. sion of time not to exceed thirty days with the (g) At least two of the same members of a Statewide Grievance Committee which shall grant reviewing committee shall be physically present the motion only upon a showing of good cause. 140 Copyrighted by the Secretary of the State of the State of Connecticut 

148 SUPERIOR COURT–GENERAL PROVISIONS Sec. 2-36 If the reviewing committee does not complete its shall have the authority to dismiss the complaint action on a complaint within the time provided in within the time period set forth in subsection (e) this section, the Statewide Grievance Committee of this section without review by the Statewide shall, on motion of the complainant or the respon- Grievance Committee. The reviewing committee dent or on its own motion, inquire into the delay shall file its decision dismissing the complaint with and determine the appropriate course of action. the Statewide Grievance Committee along with Enforcement of the final decision, including the the record of the matter and shall send a copy of publication of the notice of a reprimand pursuant the decision to the complainant, the respondent, to Section 2-54, shall be stayed for thirty days and the grievance panel to which the complaint from the date of the issuance to the parties of the was assigned. final decision. In the event the respondent timely (m) If the Statewide Grievance Committee does submits to the Statewide Grievance Committee not assign a complaint to a reviewing committee, a request for review of the final decision of the it shall have one hundred and twenty days from reviewing committee, such stay shall remain in the date the panel's determination was filed with full force and effect pursuant to Section 2-38 (b). it to render a decision dismissing the complaint, (j) If the reviewing committee finds probable imposing sanctions and conditions as authorized cause to believe the respondent has violated the by Section 2-37 or directing the disciplinary coun- criminal law of this state, it shall report its findings sel to file a presentment against the respondent. to the chief state's attorney. The decision shall be a matter of public record. (k) Within thirty days of the issuance to the The failure of a reviewing committee to complete parties of the final decision by the reviewing com- its action on a complaint within the period of time mittee, the respondent may submit to the State- provided in this section shall not be cause for wide Grievance Committee a request for review dismissal of the complaint. If the Statewide Griev- of the decision. Any request for review submitted ance Committee finds probable cause to believe under this section must specify the basis for the that the respondent has violated the criminal law request including, but not limited to, a claim or of this state, it shall report its findings to the chief claims that the reviewing committee's findings, state's attorney. inferences, conclusions or decision is or are: (1) (P.B. 1978-1997, Sec. 27J.) (Amended June 28, 1999, to take effect Jan. 1, 2000; amended June 24, 2002, to take in violation of constitutional, rules of practice or effect July 1, 2003; May 14, 2003, effective date changed to statutory provisions; (2) in excess of the authority Oct. 1, 2003; Sept. 30, 2003, effective date changed to Jan. of the reviewing committee; (3) made upon unlaw- 1, 2004; amended June 26, 2006, to take effect Jan. 1, 2007; ful procedure; (4) affected by other error of law; (5) amended June 29, 2007, to take effect Jan. 1, 2008; amended clearly erroneous in view of the reliable, probative, June 30, 2008, to take effect Jan. 1, 2009; amended June 15, and substantial evidence on the whole record; 2012, to take effect Jan. 1, 2013.) or (6) arbitrary or capricious or characterized by Sec. 2-36. Action by Statewide Grievance abuse of discretion or clearly unwarranted exer- Committee on Request for Review cise of discretion and the specific basis for such claim or claims. For grievance complaints filed on Within sixty days of the expiration of the thirty or after January 1, 2004, the respondent shall day period for the filing of a request for review 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 respondent in the Superior Court or referring the (i) (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 cause by the Statewide Grievance Committee or oral argument. The Statewide Grievance Commit- a reviewing committee, the reviewing committee tee shall forward a copy of its decision to the 141 Copyrighted by the Secretary of the State of the State of Connecticut 

149 SUPERIOR COURT–GENERAL PROVISIONS Sec. 2-36 complainant, the disciplinary counsel, the respon- Sec. 2-38. Appeal from Decision of State- wide Grievance Committee or Reviewing dent, the reviewing committee and the grievance Committee Imposing Sanctions or Con- panel which investigated the complaint. The deci- ditions sion shall be a matter of public record. A decision of the Statewide Grievance Committee shall be (Amended June 30, 2008, to take effect Jan. 1, 2009.) issued only if the respondent has timely filed a (a) A respondent may appeal to the Superior request for review under Section 2-35 (k). Court a decision by the Statewide Grievance (P.B. 1978-1997, Sec. 27M.) (Amended June 24, 2002, to Committee or a reviewing committee imposing take effect July 1, 2003; May 14, 2003, effective date changed sanctions or conditions against the respondent, to Oct. 1, 2003; Sept. 30, 2003, effective date changed to Jan. in accordance with Section 2-37 (a). A respondent 1, 2004; amended June 26, 2006, to take effect Jan. 1, 2007.) may not appeal a decision by a reviewing commit- tee imposing sanctions or conditions against the Sec. 2-37. Sanctions and Conditions Which respondent if the respondent has not timely May Be Imposed by Committees requested a review of the decision by the State- (a) A reviewing committee or the Statewide wide Grievance Committee under Section 2-35 Grievance Committee may impose one or more (k). Within thirty days from the issuance, pursuant of the following sanctions and conditions in to Section 2-36, of the decision of the Statewide accordance with the provisions of Sections 2-35 Grievance Committee, the respondent shall: (1) and 2-36: file the appeal with the clerk of the Superior Court (1) reprimand; for the judicial district of Hartford and (2) mail a (2) restitution; copy of the appeal by certified mail, return receipt (3) assessment of costs; requested or with electronic delivery confirmation, (4) an order that the respondent return a client's to the Office of the Statewide Bar Counsel as file to the client; agent for the Statewide Grievance Committee and (5) a requirement that the respondent attend to the Office of the Chief Disciplinary Counsel. continuing legal education courses, at his or her (b) Enforcement of a final decision imposing own expense, regarding one or more areas of sanctions or conditions against the respondent substantive law or law office management; pursuant to Section 2-35 (i) or Section 2-35 (m), (6) an order to submit to fee arbitration; including the publication of the notice of a repri- mand in accordance with Section 2-54, shall be (7) in any grievance complaint where there has stayed for thirty days from the issuance to the been a finding of a violation of Rule 1.15 of the parties of such decision. If within that period the Rules of Professional Conduct or Practice Book respondent files with the Statewide Grievance Section 2-27, an order to submit to periodic audits Committee a request for review of the reviewing and supervision of the attorney's trust accounts committee's decision, the stay shall remain in to ensure compliance with the provisions of Sec- effect for thirty days from the issuance by the tion 2-27 and the related Rules of Professional Statewide Grievance Committee of its final deci- Conduct. Any alleged misconduct discovered as sion pursuant to Section 2-36. If the respondent the result of such audit shall be alleged in a sepa- timely commences an appeal pursuant to subsec- rate grievance complaint filed pursuant to these tion (a) of this section, such stay shall remain rules; in full force and effect until the conclusion of all (8) with the respondent's consent, a require- proceedings, including all appeals, relating to the ment that the respondent undertake treatment, at decision imposing sanctions or conditions against his or her own expense, for medical, psychological the respondent. If at the conclusion of all proceed- or psychiatric conditions or for problems of alcohol ings, the decision imposing sanctions or condi- or substance abuse. tions against the respondent is rescinded, the (b) In connection with subsection (a) (6), a party complaint shall be deemed dismissed as of the who refuses to utilize the no cost fee arbitration date of the decision imposing sanctions or condi- service provided by the Connecticut Bar Associa- tions against the respondent. An application to tion shall pay the cost of the arbitration. terminate the stay may be made to the court and (c) Failure of the respondent to comply with any shall be granted if the court is of the opinion that sanction or condition imposed by the Statewide the appeal is taken only for delay or that the due Grievance Committee or a reviewing committee administration of justice requires that the stay may be grounds for presentment before the Supe- be terminated. rior Court. (c) Within thirty days after the service of the (P.B. 1978-1997, Sec. 27M.1.) (Amended June 28, 1999, appeal, or within such further time as may be to take effect Jan. 1, 2000; amended June 15, 2012, to take effect Jan. 1, 2013.) allowed by the court, the statewide bar counsel 142 Copyrighted by the Secretary of the State of the State of Connecticut 

150 SUPERIOR COURT–GENERAL PROVISIONS Sec. 2-39 shall transmit to the reviewing court a certified extent, that costs are allowed in judgments ren- copy of the entire record of the proceeding dered by the Superior Court. No costs shall be appealed from, which shall include the grievance taxed against the Statewide Grievance Commit- panel's record in the case, as defined in Section tee, except that the court may, in its discretion, 2-32 (i), and a copy of the Statewide Grievance award to the respondent reasonable fees and Committee's record or the reviewing committee's expenses if the court determines that the action record in the case, which shall include a transcript of the committee was undertaken without any of any testimony heard by it or by a reviewing substantial justification. ``Reasonable fees and committee which is required by rule to be on the expenses'' means any expenses not in excess record, any decision by the reviewing committee of $7500 which the court finds were reasonably in the case, any requests filed pursuant to Section incurred in opposing the committee's action, 2-35 (k) of this section, and a copy of the State- including court costs, expenses incurred in admin- wide Grievance Committee's decision on the istrative proceedings, attorney's fees, witness request for review. By stipulation of all parties fees of all necessary witnesses, and such other to such appeal proceedings, the record may be expenses as were reasonably incurred. (P.B. 1978-1997, Sec. 27N.) (Amended June 29, 1998, to shortened. The court may require or permit subse- take effect Sept. 1, 1999; amended June 28, 1999, to take quent corrections or additions to the record. effect Jan. 1, 2000; amended June 24, 2002, to take effect (d) The appeal shall be conducted by the court July 1, 2003; May 14, 2003, effective date changed to Oct. 1, without a jury and shall be confined to the record. 2003; amended June 30, 2003, to take effect Oct. 1, 2003; If alleged irregularities in procedure before the Sept. 30, 2003, effective date of two prior amendments changed to Jan. 1, 2004; amended June 29, 2007, to take Statewide Grievance Committee or reviewing effect Jan. 1, 2008; amended June 30, 2008, to take effect committee are not shown in the record, proof lim- Jan. 1, 2009; amended June 14, 2013, to take effect Jan. 1, ited thereto may be taken in the court. The court, 2014; amended June 13, 2014, to take effect Jan. 1, 2015.) upon request, shall hear oral argument. (e) The respondent shall file a brief within thirty Sec. 2-39. Reciprocal Discipline days after the filing of the record by the statewide (a) Upon being informed that a lawyer admitted bar counsel. The disciplinary counsel shall file his to the Connecticut bar has resigned, been dis- or her brief within thirty days of the filing of the barred, suspended or otherwise disciplined, or respondent's brief. Unless permission is given by placed on inactive disability status in another juris- the court for good cause shown, briefs shall not diction, and that said discipline or inactive disabil- exceed thirty-five pages. ity status has not been stayed, the disciplinary (f) Upon appeal, the court shall not substitute counsel shall obtain a certified copy of the order its judgment for that of the Statewide Grievance and file it with the Superior Court for the judicial Committee or reviewing committee as to the district wherein the lawyer maintains an office for weight of the evidence on questions of fact. The the practice of law in this state, except that, if the court shall affirm the decision of the committee lawyer has no such office, the disciplinary counsel unless the court finds that substantial rights of the shall file the certified copy of the order from the respondent have been prejudiced because the other jurisdiction with the Superior Court for the committee's findings, inferences, conclusions, or judicial district of Hartford. No entry fee shall be decisions are: (1) in violation of constitutional pro- required for proceedings hereunder. visions, rules of practice or statutory provisions; (b) Upon receipt of a certified copy of the order, (2) in excess of the authority of the committee; the court shall forthwith cause to be served upon (3) made upon unlawful procedure; (4) affected the lawyer a copy of the order from the other by other error of law; (5) clearly erroneous in view jurisdiction and an order directing the lawyer to of the reliable, probative, and substantial evidence file within thirty days of service, with proof of ser- on the whole record; or (6) arbitrary or capricious vice upon the disciplinary counsel, an answer or characterized by abuse of discretion or clearly admitting or denying the action in the other juris- unwarranted exercise of discretion. If the court diction and setting forth, if any, reasons why com- finds such prejudice, it shall sustain the appeal mensurate action in this state would be and, if appropriate, rescind the action of the State- unwarranted. Such certified copy will constitute wide Grievance Committee or take such other prima facie evidence that the order of the other action as may be necessary. For purposes of fur- jurisdiction entered and that the findings con- ther appeal, the action taken by the Superior Court tained therein are true. hereunder is a final judgment. (c) Upon the expiration of the thirty day period (g) In all appeals taken under this section, costs the court shall assign the matter for a hearing. may be taxed in favor of the Statewide Grievance After hearing, the court shall take commensurate action unless it is found that any defense set forth Committee in the same manner, and to the same 143 Copyrighted by the Secretary of the State of the State of Connecticut 

151 SUPERIOR COURT–GENERAL PROVISIONS Sec. 2-39 in the answer has been established by clear and his or her finding of guilt required by this section convincing evidence. shall constitute misconduct. (d) Notwithstanding the above, a reciprocal dis- (e) Upon receipt of proof of the finding of guilt, cipline action need not be filed if the conduct giving the disciplinary counsel shall determine whether rise to discipline in another jurisdiction has already the crime for which the attorney was found guilty been the subject of a formal review by the court is a serious crime, as defined herein. If so, disci- or Statewide Grievance Committee. plinary counsel shall, pursuant to Section 2-47, (P.B. 1978-1997, Sec. 28A.) (Amended June 29, 1998, to file a presentment against the attorney predicated take effect Sept. 1, 1998; amended August 24, 2001, to take upon the finding of guilt. A certified copy of the effect Jan. 1, 2002; amended June 24, 2002, to take effect finding of guilt shall be conclusive evidence of July 1, 2003; May 14, 2003, effective date changed to Oct. 1, the commission of that crime in any disciplinary 2003; Sept. 30, 2003, effective date changed to Jan. 1, 2004.) proceeding based upon the finding of guilt. No entry fee shall be required for proceedings Sec. 2-40. Discipline of Attorneys Found hereunder. Guilty of Serious Crimes in Connecticut (f) A presentment filed pursuant to this section (Amended June 13, 2014, to take effect Oct. 1, 2014.) shall be heard, where practical, by the judge who (a) The term ``serious crime,'' as used herein, presided at the proceeding in which the attorney shall mean any felony, any larceny, any crime was found guilty. A hearing on the presentment where the attorney was or will be sentenced to a complaint shall address the issue of the nature term of incarceration, or any other crime that and extent of the final discipline to be imposed reflects adversely on the lawyer's honesty, trust- and shall be held within sixty days of the filing of worthiness, or fitness as a lawyer in other the presentment. respects, or any crime, a necessary element of (g) Immediately upon receipt of proof of the which, as determined by the statutory or common- finding of guilt of an attorney of a serious crime, law definition of the crime, involves interference as defined herein, the disciplinary counsel may with the administration of justice, false swearing, also apply to the court for an order of interim misrepresentation, fraud, deceit, bribery, extor- suspension. If the attorney was or will be sen- tion, misappropriation, theft, wilful failure to file tenced to a term of incarceration, disciplinary tax returns, violations involving criminal drug counsel shall seek a suspension during the term offenses, or any attempt, conspiracy or solicitation of incarceration. The court may, in its discretion, of another to commit a ``serious crime.'' enter an order immediately placing the attorney (b) The terms ``found guilty'' and ``finding of on interim suspension pending final disposition guilt,'' as used herein, refer to the disposition of of a presentment filed pursuant to this section. any charge of a serious crime as herein defined Thereafter, for good cause shown, the court may, resulting from either a plea of guilty or nolo conten- in the interests of justice, set aside or modify the dere, or from a verdict after trial, and regardless interim suspension. of the pendency of any appeal. (h) At the presentment hearing, the attorney (c) The clerk of the Superior Court in which an shall have the right to counsel, to be heard in his attorney is found guilty of any crime shall transmit or her own defense and to present evidence and 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 Com- the court shall enter an order disbarring the attor- mittee, by certified mail, return receipt requested, ney for a minimum of twelve years pursuant to or 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 attorney's failure to send timely written notice of to secure the attorney's clients' funds accounts. 144 Copyrighted by the Secretary of the State of the State of Connecticut 

152 SUPERIOR COURT–GENERAL PROVISIONS Sec. 2-41 (j) If an attorney disciplined solely under the return receipt requested, or with electronic deliv- provisions of this section demonstrates to the ery confirmation, within ten days of the date of court that the underlying finding of guilt was later the finding of guilt. The written notice shall include vacated or reversed, the court shall vacate any the name and address of the court where the disciplinary order entered pursuant to the finding finding of guilt was made, the date of the finding of guilt, and the specific section of the applicable of guilt, and place the attorney on active status. criminal, penal, or statutory code upon which the The vacating of such disciplinary order shall not automatically terminate any other disciplinary pro- finding of guilt was predicated. An attorney's fail- ceeding then pending against the attorney. ure to send timely written notice of the finding of guilt required by this section shall constitute mis- (k) Immunity from prosecution granted to an conduct. attorney is not a bar to disciplinary proceedings, (e) Upon receipt of the written notice of the unless otherwise ordered by the court. The grant- ing of a pretrial diversion program to an attorney finding of guilt in another jurisdiction, the disciplin- charged with a serious crime, as defined herein, ary counsel shall determine whether the crime for which the attorney was found guilty is a ``serious is not a bar to disciplinary proceedings, unless crime,'' as defined herein. If so, disciplinary coun- otherwise ordered by the court that granted the program to the attorney. sel shall obtain a certified copy of the finding of (P.B. 1978-1997, Sec. 28B.) (Amended June 24, 2002, to guilt, which shall be conclusive evidence of the take effect July 1, 2003; May 14, 2003, effective date changed commission of that crime in any disciplinary pro- to Oct. 1, 2003; Sept. 30, 2003, effective date changed to Jan. ceeding based upon the finding of guilt. Upon 1, 2004; amended June 26, 2006, to take effect Jan. 1, 2007; receipt of the certified copy of the finding of guilt, amended June 13, 2014, to take effect Oct. 1, 2014.) the disciplinary counsel shall, pursuant to Section Sec. 2-41. Discipline of Attorneys Found 2-47, file a presentment against the attorney pred- Guilty of Serious Crimes in Another Juris- icated upon the finding of guilt. No entry fee shall diction be required for proceedings hereunder. (f) A presentment filed pursuant to this section (Amended June 13, 2014, to take effect Oct. 1, 2014.) shall be filed in the judicial district where the attor- (a) The term ``serious crime,'' as used herein, ney maintains an office for the practice of law in shall mean any felony, any larceny, or any crime this state. If the attorney has no office for the where the attorney was or will be sentenced to a practice of law in this state, the disciplinary coun- term of incarceration, or any other crime that reflects adversely on the lawyer's honesty, trust- sel shall file the presentment in the Superior Court worthiness, or fitness as a lawyer in other for the judicial district of Hartford. A hearing on respects, or any crime, a necessary element of the presentment complaint shall address the issue which, as determined by the statutory or common- of the nature and extent of the final discipline to law definition of the crime, involves interference be imposed, and shall be held within sixty days with the administration of justice, false swearing, of the filing of the presentment. misrepresentation, fraud, deceit, bribery, extor- (g) The disciplinary counsel may also apply to tion, misappropriation, theft, wilful failure to file the court for an order of interim suspension, which tax returns, violations involving criminal drug application shall contain a certified copy of the 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 145 Copyrighted by the Secretary of the State of the State of Connecticut 

153 SUPERIOR COURT–GENERAL PROVISIONS Sec. 2-41 as the court deems appropriate. If the finding of that the lawyer poses a substantial threat of irrepa- guilt was based on the lawyer's misappropriation rable harm to his or her clients or to prospective of clients' funds or other property held in trust, the clients, enter an order of interim suspension, or court shall enter an order disbarring the attorney may order such other interim action as deemed for a minimum of twelve years pursuant to Sec- appropriate. Thereafter, upon good cause shown, tions 2-47A and 2-53 (g). the court may, in the interest of justice, set aside or modify the interim suspension or other order (i) Whenever the court enters an order sus- entered pursuant hereto. Whenever the court pending or disbarring an attorney pursuant to a enters an interim suspension order pursuant presentment filed under this section, the court hereto, the court may appoint a trustee, pursuant may appoint a trustee, pursuant to Section 2-64, to Section 2-64, to protect the clients' and the to protect the interests of the attorney's clients and suspended attorney's interests. to secure the attorney's clients' funds accounts. (c) No entry fee shall be required for proceed- (j) If an attorney disciplined solely under the ings hereunder. Any hearings necessitated by the provisions of this section demonstrates to the proceedings may, in the discretion of the court, court that the attorney's finding of guilt was later be held in chambers. vacated or reversed, the court shall vacate any (P.B. 1978-1997, Sec. 28C.) (Amended June 24, 2002, to disciplinary order entered pursuant to this section. take effect July 1, 2003; May 14, 2003, effective date changed The vacating of such disciplinary order shall not to Oct. 1, 2003; Sept. 30, 2003, effective date changed to Jan. automatically terminate any other disciplinary pro- 1, 2004; amended June 26, 2006, to take effect Jan. 1, 2007.) ceeding then pending against the attorney. Sec. 2-43. Notice by Attorney of Alleged Mis- (k) Immunity from prosecution granted to an use of Clients' Funds and Garnishments of attorney is not a bar to disciplinary proceedings, Lawyers' Trust Accounts unless otherwise ordered by the court. The grant- ing of a pretrial diversion program to an attorney (a) When any complaint, counterclaim, cross charged with a serious crime, as defined herein, complaint, special defense or other pleading in is not a bar to disciplinary proceedings, unless a judicial or administrative proceeding alleges a otherwise ordered by the court that granted the lawyer's misuse of funds handled by the lawyer in his or her capacity as a lawyer or a fiduciary, program to the attorney. (P.B. 1978-1997, Sec. 28B.1.) (Amended June 29, 1998, the person signing the pleading shall mail a copy to take effect Sept. 1, 1998; amended June 24, 2002, to take thereof to the statewide bar counsel. effect July 1, 2003; May 14, 2003, effective date changed to (b) In any case where a lawyer's trust account, Oct. 1, 2003; Sept. 30, 2003, effective date changed to Jan. as defined in Section 2-28 (b), is garnisheed, or 1, 2004; amended June 26, 2006, to take effect Jan. 1, 2007; otherwise liened, the party who sought the gar- amended June 14, 2013, to take effect Jan. 1, 2014; amended nishment or lien shall mail a copy of the garnishee June 13, 2014, to take effect Oct. 1, 2014.) process or writ of attachment to the statewide Sec. 2-42. Conduct Constituting Threat of bar counsel. Harm to Clients (P.B. 1978-1997, Sec. 28D.) (a) If there is a disciplinary proceeding pending Sec. 2-44. Power of Superior Court To Disci- against a lawyer, or if there has been a notice pline Attorneys and To Restrain Unautho- of overdraft in accordance with the provisions of rized Practice Section 2-28 (f) and the grievance panel, the The Superior Court may, for just cause, sus- reviewing committee, the Statewide Grievance pend or disbar attorneys and may, for just cause, Committee or the disciplinary counsel believes punish or restrain any person engaged in the that the lawyer poses a substantial threat of irrepa- unauthorized practice of law. rable harm to his or her clients or to prospective (P.B. 1978-1997, Sec. 29.) clients, or that there has been an unexplained Sec. 2-44A. Definition of the Practice of Law overdraft in the lawyer's trust funds account, the panel or committee shall so advise the disciplinary (a) General Definition: The practice of law is counsel. The disciplinary counsel shall, upon ministering to the legal needs of another person being so advised or upon his or her own belief, and applying legal principles and judgment to the apply to the court for an order of interim suspen- circumstances or objectives of that person. This sion. The disciplinary counsel shall provide the includes, but is not limited to: lawyer with notice that an application for interim (1) Holding oneself out in any manner as an suspension has been filed and that a hearing will attorney, lawyer, counselor, advisor or in any be held on such application. other capacity which directly or indirectly repre- (b) The court, after hearing, pending final dispo- sents that such person is either (a) qualified or capable of performing or (b) is engaged in the sition of the disciplinary proceeding, may, if it finds 146 Copyrighted by the Secretary of the State of the State of Connecticut 

154 SUPERIOR COURT–GENERAL PROVISIONS Sec. 2-44A (1) Selling legal document forms previously business or activity of performing any act consti- approved by a Connecticut lawyer in any format. tuting the practice of law as herein defined. (2) Acting as a lay representative authorized by (2) Giving advice or counsel to persons con- administrative agencies or in administrative hear- cerning or with respect to their legal rights or ings solely before such agency or hearing where: responsibilities or with regard to any matter involv- ing the application of legal principles to rights, (A) Such services are confined to representa- duties, obligations or liabilities. tion before such forum or other conduct reason- ably ancillary to such representation; and (3) Drafting any legal document or agreement involving or affecting the legal rights of a person. (B) Such conduct is authorized by statute, or the special court, department or agency has (4) Representing any person in a court, or in a adopted a rule expressly permitting and regulating formal administrative adjudicative proceeding or such practice. other formal dispute resolution process or in any (3) Serving in a neutral capacity as a mediator, administrative adjudicative proceeding in which arbitrator, conciliator or facilitator. legal pleadings are filed or a record is established as the basis for judicial review. (4) Participating in labor negotiations, arbitra- tions, or conciliations arising under collective bar- (5) Giving advice or counsel to any person, or gaining rights or agreements. representing or purporting to represent the inter- est of any person, in a transaction in which an (5) Providing clerical assistance to another to interest in property is transferred where the advice complete a form provided by a court for the protec- or counsel, or the representation or purported rep- tion from abuse, harassment and violence when resentation, involves (a) the preparation, evalua- no fee is charged to do so. tion, or interpretation of documents related to such (6) Acting as a legislative lobbyist. transaction or to implement such transaction or (7) Serving in a neutral capacity as a clerk or (b) the evaluation or interpretation of procedures a court employee providing information to the to implement such transaction, where such trans- public. action, documents, or procedures affect the legal (8) Performing activities which are preempted rights, obligations, liabilities or interests of such by federal law. person, and (9) Performing statutorily authorized services (6) Engaging in any other act which may indi- as a real estate agent or broker licensed by the cate an occurrence of the authorized practice of state of Connecticut. law in the state of Connecticut as established by (10) Preparing tax returns and performing any case law, statute, ruling or other authority. other statutorily authorized services as a certified ``Documents'' includes, but is not limited to, con- public accountant, enrolled IRS agent, public tracts, deeds, easements, mortgages, notes, accountant, public bookkeeper, or tax preparer. releases, satisfactions, leases, options, articles (11) Performing such other activities as the of incorporation and other corporate documents, courts of Connecticut have determined do not articles of organization and other limited liability constitute the unlicensed or unauthorized practice company documents, partnership agreements, of law. affidavits, prenuptial agreements, wills, trusts, (12) Undertaking self-representation, or practic- family settlement agreements, powers of attorney, ing law authorized by a limited license to practice. notes and like or similar instruments; and plead- (c) Nonlawyer Assistance: Nothing in this rule ings and any other papers incident to legal actions shall affect the ability of nonlawyer assistants to and special proceedings. act under the supervision of a lawyer in compli- The term ``person'' includes a natural person, ance with Rule 5.3 of the Rules of Professional corporation, company, partnership, firm, associa- Conduct. tion, organization, society, labor union, business (d) General Information: Nothing in this rule trust, trust, financial institution, governmental unit shall affect the ability of a person or entity to pro- and any other group, organization or entity of any vide information of a general nature about the law nature, unless the context otherwise dictates. and legal procedures to members of the public. The term ``Connecticut lawyer'' means a natural (e) Governmental Agencies: Nothing in this rule person who has been duly admitted to practice shall affect the ability of a governmental agency law in this state and whose privilege to do so is to carry out its responsibilities as provided by law. then current and in good standing as an active (f) Professional Standards: Nothing in this rule member of the bar of this state. shall be taken to define or affect standards for civil liability or professional responsibility. (b) Exceptions. Whether or not it constitutes the practice of law, the following activities by any (g) Unauthorized Practice: If a person who is person are permitted: not authorized to practice law is engaged in the 147 Copyrighted by the Secretary of the State of the State of Connecticut 

155 SUPERIOR COURT–GENERAL PROVISIONS Sec. 2-44A practice of law, that person shall be subject to the of suspension and reinstate the attorney. The pro- civil and criminal penalties of this jurisdiction. visions of Section 2-53 shall not apply to suspen- (Adopted June 29, 2007, to take effect Jan. 1, 2008.) sions under this section. (f) The clerk shall notify the statewide bar coun- Sec. 2-45. –Cause Occurring in Presence sel of any suspensions and reinstatements of Court ordered pursuant to this section. If such cause occurs in the actual presence of (P.B. 1978-1997, Sec. 30A.) the court, the order may be summary, and without Sec. 2-47. Presentments and Unauthorized complaint or hearing; but a record shall be made Practice of Law Petitions of such order, reciting the ground thereof. Without limiting the inherent powers of the court, if attorney (a) Presentment of attorneys for misconduct, misconduct occurs in the actual presence of the whether or not the misconduct occurred in the court, the Statewide Grievance Committee and actual presence of the court, shall be made by the grievance panels shall defer to the court if the written complaint of the disciplinary counsel. Ser- court chooses to exercise its jurisdiction. vice of the complaint shall be made as in civil (P.B. 1978-1997, Sec. 30.) actions. Any interim proceedings to the contrary notwithstanding, a hearing on the merits of the Sec. 2-46. Suspension of Attorneys Who complaint shall be held within sixty days of the Violate Support Orders date the complaint was filed with the court. At (a) Except as otherwise provided in this section, such hearing, the respondent shall have the right the procedures of General Statutes ßß 46b-220 to be heard in his or her own defense and by through 46b-223 shall be followed with regard to witnesses and counsel. After such hearing the the suspension from the practice of law of attor- court shall render a judgment dismissing the com- neys who are found to be delinquent child sup- plaint or imposing discipline as follows: reprimand, port obligors. suspension for a period of time, disbarment or (b) A judge, upon finding that an attorney admit- such other discipline as the court deems appro- ted to the bar in this state is a delinquent child priate. This may include conditions to be fulfilled support obligor as defined in General Statutes by the attorney before he or she may apply for ß 46b-220 (a), may, pursuant to General Statutes readmission or reinstatement. Unless otherwise ß 46b-220 (b), issue a suspension order concern- ordered by the court, such complaints shall be ing that attorney. prosecuted by the disciplinary counsel or an attor- (c) If the attorney obligor fails to comply with ney appointed pursuant to Section 2-48. the conditions of the suspension order within thirty (b) The sole issue to be determined in a disci- days of its issuance, the Department of Social plinary proceeding predicated upon conviction of Services, a support enforcement officer, the attor- a felony, any larceny or crime for which the lawyer ney for the obligee or the obligee, as provided in is sentenced to a term of incarceration or for which the suspension order, shall file with the clerk of a suspended period of incarceration is imposed the Superior Court which issued the suspension shall be the extent of the final discipline to be order an affidavit stating that the conditions of the imposed. suspension order have not been met, and shall (c) A petition to restrain any person from engag- serve the attorney obligor with a copy of such ing in the unauthorized practice of law not affidavit in accordance with Sections 10-12 occurring in the actual presence of the court may through 10-17. The affidavit shall be filed within be made by written complaint to the Superior forty-five days of the expiration of the thirty day Court in the judicial district where such violation period. occurs. When offenses have been committed by (d) Upon receipt of the affidavit, the clerk shall the same person in more than one judicial district, forthwith bring the suspension order and the affi- presentment for all offenses may be made in any davit to a judge of the Superior Court for review. one of such judicial districts. Such complaint may If the judge determines that pursuant to the provi- be prosecuted by the state's attorney, by the disci- sions of General Statutes ß 46b-220 the attorney plinary counsel, or by any member of the bar by obligor should be suspended, the judge shall sus- direction of the court. Upon the filing of such com- pend the attorney obligor from the practice of law, plaint, a rule to show cause shall issue to the effective immediately. defendant, who may make any proper answer (e) A suspended attorney who has complied within twenty days from the return of the rule and with the conditions of the suspension order con- who shall have the right to be heard as soon as cerning reinstatement, shall file a motion with the practicable, and upon such hearing the court shall court to vacate the suspension. Upon proof of such compliance, the court shall vacate the order make such lawful orders as it may deem just. 148 Copyrighted by the Secretary of the State of the State of Connecticut 

156 SUPERIOR COURT–GENERAL PROVISIONS Sec. 2-47B (e) No entry fee shall be required for the filing Such complaints shall be proceeded with as of any complaint pursuant to this section. civil actions. (P.B. 1978-1997, Sec. 31.) (Amended June 24, 2002, to (d) (1) If a determination is made by the State- take effect July 1, 2003; May 14, 2003, effective date changed wide Grievance Committee or a reviewing com- to Oct. 1, 2003; Sept. 30, 2003, effective date changed to Jan. mittee that a respondent is guilty of misconduct 1, 2004; amended June 21, 2004, to take effect Jan. 1, 2005; and such misconduct does not otherwise warrant amended June 20, 2005, to take effect Jan. 1, 2006; amended June 26, 2006, to take effect Jan. 1, 2007.) a presentment to the Superior Court, but the respondent has been disciplined pursuant to Sec. 2-47A. Disbarment of Attorney for Mis- these rules by the Statewide Grievance Commit- appropriation of Funds tee, a reviewing committee or the court at least In any disciplinary proceeding where there has three times pursuant to complaints filed within the been a finding by a judge of the Superior Court five year period preceding the date of the filing of that a lawyer has knowingly misappropriated a the grievance complaint that gave rise to such client's funds or other property held in trust, the finding of misconduct in the instant case, the discipline for such conduct shall be disbarment Statewide Grievance Committee or the reviewing for a minimum of twelve years. committee shall direct the disciplinary counsel to (Adopted June 26, 2006, to take effect Jan. 1, 2007; file a presentment against the respondent in the amended June 13, 2014, to take effect Jan. 1, 2015.) Superior Court. Service of the matter shall be Sec. 2-47B. Restrictions on the Activities of made as in civil actions. The Statewide Grievance Deactivated Attorneys Committee or the reviewing committee shall file (a) As used in this section: with the court the record in the matter and a copy (1) A ``deactivated attorney'' is an attorney who of the prior discipline issued against the respon- is currently disbarred, suspended, resigned, or on dent within such five year period. The sole issue to inactive status. be determined by the court upon the presentment (2) A ``supervising attorney'' is an attorney: shall be the appropriate action to take as a result (A) who has been approved by the court as a of the nature of the misconduct in the instant case supervising attorney for a deactivated attorney in and the cumulative discipline issued concerning accordance with subsection (e) of this section; the respondent within such five year period. Such (B) who is in good standing with the bar of action shall be in the form of a judgment dismiss- this state; ing the complaint or imposing discipline as follows: (C) who was not affiliated with the deactivated reprimand, suspension for a period of time, disbar- attorney as an employer, employee, partner, inde- ment or such other discipline as the court deems pendent contractor or in any other employment appropriate. This may include conditions to be relationship at the time of the deactivation; and fulfilled by the respondent before he or she may (D) who did not serve as an attorney pursuant apply for readmission or reinstatement. This sub- to Section 2-64 in connection with the disbarment, section shall apply to all findings of misconduct suspension, resignation or placement on inactive issued from the day of enactment forward and the status of the deactivated attorney. determination of presentment shall consider all (3) A ``law-related activity'' is: discipline pursuant to complaints filed within the (A) engaging in the practice of law as defined five year period preceding the date of the filing of by Section 2-44A; the grievance complaint that gave rise to the find- (B) representing a client in any legal matter, ing of misconduct even if they predate the effec- including discovery matters; tive date of these rules. (C) negotiating or transacting any matter for, or (2) If the respondent has appealed the issuance on behalf of, a client with third parties, or having of a finding of misconduct made by the Statewide any contact with third parties regarding such Grievance Committee or the reviewing commit- negotiation or transaction; tee, the court shall first adjudicate and decide (D) receiving, disbursing or exercising any con- that appeal in accordance with the procedures set trol over clients' funds or other property held in forth in subsections (d) through (f) of Section 2- trust and related accounts; 38. In the event the court denies the respondent's (E) using the titles ``attorney'' or ``lawyer,'' or appeal of the finding of misconduct, the court shall the designations ``Esq.,'' or ``J.D.'' to describe one- then adjudicate the presentment brought under self; or this section. In no event shall the court review the (F) communicating with clients and third parties merits of the matters for which the prior repri- regarding matters that are the subject of represen- tation by the supervising attorney or his or her firm. mands were issued against the respondent. 149 Copyrighted by the Secretary of the State of the State of Connecticut 

157 Sec. 2-47B SUPERIOR COURT–GENERAL PROVISIONS (4) ``Employ'' means to engage the services of where the deactivation proceeding was held shall assign the matter to another judge. another, including employees, agents, indepen- dent contractors and consultants, regardless of (f) The court shall schedule the application for whether any compensation is paid. a hearing to determine the following: (1) whether the deactivated attorney should be (b) (1) No deactivated attorney shall be permit- permitted to perform the activities permitted ted to engage in any law-related activities or to herein; be employed as a paralegal or legal assistant (2) whether the attorney will be appointed to unless expressly permitted by the court as pro- serve as the supervising attorney for the deacti- vided in this section. vated attorney; and (2) The court may expressly permit, by written (3) whether any additional monitoring, condi- order, a deactivated attorney to perform any of tions, or restrictions are necessary. the following activities, under the supervision of (g) If the relationship between the supervising a supervising attorney, as provided herein: attorney and the deactivated attorney terminates, (A) performing legal work of a preparatory the supervising attorney shall send written notice nature, such as conducting legal research, to the court within fifteen days of the termination assembling data and other necessary information, of the relationship. A copy of the written notice and drafting transactional documents, pleadings, shall be served on the Office of the Chief Disciplin- briefs, and other similar documents; and ary Counsel. (B) providing clerical assistance to the supervis- (h) Violation of this section by the deactivated ing attorney. attorney or the supervising attorney shall consti- (c) No attorney who knows or should have tute a violation of Rule 8.4 (4) of the Rules of known that an attorney's license has been deacti- Professional Conduct. vated, shall employ the deactivated attorney to (i) In any application for reinstatement, the engage in any law-related activities or to act as supervising attorney and a deactivated attorney a paralegal or legal assistant, without the permis- under the supervision of a supervising attorney sion of the court, as provided in this section. pursuant to this section shall certify that he or she (d) A deactivated attorney shall not engage in has complied with the requirements of this section law-related activities or be employed as a parale- during the period of suspension, disbarment, res- gal or legal assistant on behalf of any client pre- ignation, or inactive status. viously represented by the deactivated attorney or (Adopted June 12, 2015, to take effect Jan. 1, 2016.) for whom the deactivated attorney had previously Sec. 2-48. Designee To Prosecute Pre- provided any legal services in the ten year period sentments prior to deactivation. During the period of employ- ment of the deactivated attorney, the supervising The executive committee of the Superior Court attorney or his or her firm shall not assume repre- may choose one or more members of the bar of sentation of any matter on behalf of any client this state to prosecute presentments. The chief previously represented by the deactivated attor- court administrator may also contract with mem- ney or for whom the deactivated attorney had bers of the bar of this state to prosecute present- previously provided any legal services in the ten ments, actions for reciprocal discipline, actions for year period prior to deactivation. interim suspension and disciplinary proceedings predicated on the conviction of an attorney of a (e) (1) An attorney desiring to become a super- felony or other crime set out in Section 2-40. vising attorney shall file a written application on (P.B. 1978-1997, Sec. 31A.) (Amended June 24, 2002, to a form approved by the Office of the Chief take effect July 1, 2003; May 14, 2003, effective date changed Court Administrator. to Oct. 1, 2003; Sept. 30, 2003, effective date changed to Jan. (2) The application shall be filed with the court 1, 2004.) in the docket number of the matter in which the deactivated attorney was suspended, disbarred, Sec. 2-49. Restitution placed on inactive status or resigned. A copy of Whenever restitution has been made the panel the application shall be served by the applicant or committee investigating the attorney's conduct on the Office of the Chief Disciplinary Counsel. shall nevertheless determine if further proceed- (3) An application filed under this section shall ings are necessary. If it is found that further pro- be assigned to the same judge who presided over are ceedings such unnecessary, deemed the matter in which the deactivated attorney decision shall be reviewed by the Statewide Griev- resigned or was disbarred, suspended, or placed ance Committee in accordance with the provi- on inactive status. If that judge is no longer avail- sions of this chapter. (P.B. 1978-1997, Sec. 31B.) able, the administrative judge in the judicial district 150  Copyrighted by the Secretary of the State of the State of Connecticut

158 SUPERIOR COURT–GENERAL PROVISIONS Sec. 2-52 Sec. 2-50. Records of Statewide Grievance (d) Unless otherwise ordered by the court, all Committee, Reviewing Committee and records that are not public shall be available only Grievance Panel to the Statewide Grievance Committee and its counsel, the reviewing committees, the grievance (Amended June 26, 2006, to take effect Jan. 1, 2007.) panels and their counsel, the bar examining com- (a) The Statewide Grievance Committee shall mittee, the standing committee on recommenda- maintain the record of each grievance proceeding. tions for admission to the bar, disciplinary counsel, The record in a grievance proceeding shall consist the client security fund committee and its counsel, of the following: a judge of the Superior Court, a judge of the United (1) The grievance panel's record as set forth in States District Court for the District of Connecticut, Section 2-32 (i); any grievance committee or other disciplinary (2) The reviewing committee's record as set authority of the United States District Court for the forth in Section 2-35 (e); District of Connecticut or, with the consent of the (3) The Statewide Grievance Committee's respondent, to any other person. Such records record; may be used or considered in any subsequent (4) Any probable cause determinations issued disciplinary or client security fund proceeding per- by the Statewide Grievance Committee or a taining to the respondent. reviewing committee; (e) Any respondent who was the subject of a (5) Transcripts of hearings held before the complaint in which the respondent was misidenti- Statewide Grievance Committee or a reviewing fied and the complaint was dismissed shall be committee; deemed to have never been subject to disciplinary (6) The reviewing committee's proposed proceedings with respect to that complaint and decision; may so swear under oath. Records of such griev- (7) Any statement submitted to the Statewide ance complaints shall not be public. Grievance Committee concerning a proposed (f) For purposes of this section, all grievance decision; complaints that were pending before a grievance (8) The Statewide Grievance Committee's panel on July 1, 1986, shall be deemed to have final decision; been filed on that date. (9) The reviewing committee's final decision; (P.B. 1978-1997, Sec. 32.) (Amended June 24, 2002, to take effect July 1, 2003; May 14, 2003, effective date changed (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; reviewing committee's decision; and amended June 29, 2007, to take effect Jan. 1, 2008; amended (11) The Statewide Grievance Committee's June 30, 2008, to take effect Jan. 1, 2009.) decision on the request for review. Sec. 2-51. Costs and Expenses (b) The following records of the Statewide Costs may be taxed against the respondent in Grievance 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 Commit- Sec. 2-52. Resignation and Waiver of Attor- tee or by a reviewing committee without a finding ney Facing Disciplinary Investigation of 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 proce- (4) All records of complaints dismissed pursu- dure provided herein, permit an attorney to submit ant to Section 2-32 (a) (2) and (c). his or her resignation from the bar with or without (c) All records enumerated in subsection (a) the waiver of right to apply for readmission to pertaining to grievance complaints that have been the bar at any time in the future if the attorney's filed on or after July 1, 1986, in which probable conduct is the subject of an investigation or pro- cause has been found that the attorney is guilty ceeding by a grievance panel, a reviewing com- of misconduct shall be public, whether or not the mittee, the Statewide Grievance Committee, the complaint is subsequently dismissed. disciplinary counsel or the court. 151 Copyrighted by the Secretary of the State of the State of Connecticut 

159 SUPERIOR COURT–GENERAL PROVISIONS Sec. 2-52 (b) Concurrently with the written resignation, shall have the right to participate in the hearing the attorney shall submit an affidavit stating the required by this subsection. following: (e) Acceptance by the court of an attorney's (1) that he or she desires to resign and that the resignation from the bar without the waiver of the resignation is knowingly and voluntarily submit- right to apply for readmission to the bar at any ted, the attorney is not being subjected to coercion time in the future shall not be a bar to any other or duress, and is fully aware of the consequences disciplinary proceedings based on conduct of submitting the resignation; occurring before or after the acceptance of the (2) the attorney is aware that there is currently attorney's resignation. pending an investigation or proceeding concern- (P.B. 1978-1997, Sec. 35.) (Amended June 24, 2002, to take effect July 1, 2003; May 14, 2003, effective date changed ing allegations that he or she has been guilty of to Oct. 1, 2003; Sept. 30, 2003, effective date changed to Jan. misconduct, the nature of which shall be specifi- 1, 2004; amended June 20, 2005, to take effect Jan. 1, 2006; cally set forth in the affidavit; amended June 29, 2007, to take effect Jan. 1, 2008; amended (3) either (A) that the material facts of the allega- June 15, 2012, to take effect Jan. 1, 2013; amended June 15, tions of misconduct are true, or (B) if the attorney 2018, to take effect Jan. 1, 2019.) denies some or all of the material facts of the HISTORY–2019: In the second sentence of subsection allegations of misconduct, that the attorney (d), ``and'' was deleted following ``state's attorney,'' and ``, and one copy to all complainants whose grievance complaints filed acknowledges that there is sufficient evidence to against the attorney in Connecticut resulted in the submission'' prove such material facts of the allegations of was added following ``the bar.'' In addition, what is now the misconduct by clear and convincing evidence; fourth sentence was added to that subsection. (4) the attorney waives the right to a hearing COMMENTARY–2019: The changes to this section on the merits of the allegations of misconduct, as require that one copy of any resignation submitted in accord- provided by these rules, and acknowledges that ance with this section be sent to, among other individuals the court will enter a finding that he or she has and committees, all complainants whose grievance complaints engaged in the misconduct specified in the affida- filed against the attorney in Connecticut resulted in the submis- sion of the resignation. With the exception of the statewide vit concurrently with the acceptance of the resig- bar counsel and disciplinary counsel, no person or entity who, nation. pursuant to this subsection, receives a copy of a resignation (c) If the written resignation is accompanied by shall have the right to participate in the hearing required by a waiver of the right to apply for readmission to this subsection. the bar, the affidavit required in (b) shall also state that the attorney desires to resign and waive his Sec. 2-53. Reinstatement after Suspension, or her right to apply for readmission to the bar at Disbarment or Resignation any time in the future. (a) An attorney who has been suspended from (d) Any resignation submitted in accordance the practice of law in this state for a period of with this section shall be in writing, signed by the one year or more shall be required to apply for attorney, and filed in sextuplicate with the clerk reinstatement in accordance with this section, of the Superior Court in the judicial district in which unless the court that imposed the discipline the attorney resides, or if the attorney is not a expressly provided in its order that such applica- resident of this state, with the clerk of the Superior tion is not required. An attorney who has been Court in Hartford. The clerk shall forthwith send suspended for less than one year need not file one copy to the grievance panel, one copy to the an application for reinstatement pursuant to this statewide bar counsel, one copy to disciplinary section, unless otherwise ordered by the court at counsel, one copy to the state's attorney, one the time the discipline was imposed. copy to the standing committee on recommenda- (b) An attorney who was disbarred or resigned tions for admission to the bar, and one copy to shall be required to apply for reinstatement pursu- all complainants whose grievance complaints filed ant to this section, but shall not be eligible to do against the attorney in Connecticut resulted in the so until after five years from the effective date submission. Such resignation shall not become of disbarment or acceptance by the court of the effective until accepted by the court after a hear- resignation, unless the court that imposed the dis- ing, at which the court has accepted a report by cipline expressly provided a shorter period of dis- the Statewide Grievance Committee, made a find- barment or resignation in its order. No attorney ing of misconduct based upon the respondent's who has resigned from the bar and waived the affidavit, and made a finding that the resignation privilege of applying for readmission or reinstate- is knowingly and voluntarily made. With the ment to the bar at any future time shall be eligible exception of the statewide bar counsel and disci- to apply for readmission or reinstatement to the plinary counsel, no person or entity who, pursuant to this subsection, receives a copy of a resignation bar under this rule. 152 Copyrighted by the Secretary of the State of the State of Connecticut 

160 SUPERIOR COURT–GENERAL PROVISIONS Sec. 2-53 (g) The clerk of the Superior Court shall give (c) In no event shall an application for reinstate- ment by an attorney disbarred pursuant to the notice of the pendency of the application to the provisions of Section 2-47A be considered until state's attorney of that court's judicial district, the after twelve years from the effective date of the grievance counsel to the grievance panel whose disbarment. No such application may be granted jurisdiction includes that judicial district court loca- unless the attorney provides satisfactory evidence tion, the Statewide Grievance Committee, the that full restitution has been made of all sums Office of the Chief Disciplinary Counsel, the client found to be knowingly misappropriated, including, security fund committee, the attorney or attorneys but not limited to, restitution to the client security appointed by the court pursuant to Section 2-64, fund for all claims paid resulting from the attor- and to all complainants whose complaints against ney's dishonest misconduct. the attorney resulted in the discipline for which the (d) Unless otherwise ordered by the court, an attorney was disbarred or suspended or resigned. application for reinstatement shall not be filed The clerk shall also promptly publish notice on until: the Judicial Branch website, in the Connecticut (1) The applicant is in compliance with Sections Law Journal, and in a newspaper with substantial 2-27 (d), 2-70 and 2-80; distribution in the judicial district where the appli- (2) The applicant is no longer the subject of any cation was filed. pending disciplinary proceedings or investi- (h) Within sixty days of the referral from the chief gations; justice to a standing committee, the Statewide (3) The applicant has passed the Multistate Pro- Grievance Committee and the Office of the Chief fessional Responsibility Examination (MPRE) not Disciplinary Counsel shall file a report with the more than six months prior to the filing of the appli- standing committee, which report may include cation; additional relevant information, commentary in the (4) The applicant has successfully completed information provided in the application and recom- any criminal sentence including, but not limited mendations on whether the applicant should be to, a sentence of incarceration, probation, parole, reinstated. Both the Statewide Grievance Com- supervised release, or period of sex offender reg- mittee and the Office of the Chief Disciplinary istration and has fully complied with any orders Counsel may file an appearance and participate regarding conditions, restitution, criminal penal- in any investigation into the application and at any ties or fines; hearing before the standing committee, and at (5) The applicant has fully complied with all any court proceeding thereon. All filings by the conditions imposed pursuant to the order of disci- Statewide Grievance Committee and the Office pline. If an applicant asserts that a certain disci- of the Chief Disciplinary Counsel and any other plinary condition is impossible to fulfill, he or she party shall be served and certified to all other must apply to the court that ordered the condition parties pursuant to Section 10-12. for relief from that condition prior to filing an appli- (i) The standing committee shall investigate the cation for reinstatement; application, hold hearings pertaining thereto and (6) The bar examining committee has received render a report with its recommendations to the an application fee. The fee shall be established court. The standing committee shall give written by the chief court administrator and shall be notice of all hearings to the applicant, the state's expended in the manner provided by Section 2- attorney of the court's judicial district, the griev- 22 of these rules. ance counsel to the grievance panel whose juris- (e) An application for reinstatement shall be diction includes that judicial district location where filed with the clerk of the Superior Court in the the application was filed, the Statewide Grievance jurisdiction that issued the discipline. The applica- Committee, the Office of the Chief Disciplinary tion shall be filed under oath and on a form Counsel, the client security fund committee, the approved by the Office of the Chief Court Adminis- attorney or attorneys appointed by the court pur- trator. The application shall be accompanied by suant to Section 2-64, and to all complainants proof of payment of the application fee to the bar whose complaints against the attorney resulted examining committee. in the discipline for which the attorney was dis- (f) The application shall be referred by the clerk barred or suspended or resigned. The standing of the Superior Court where it is filed to the chief committee shall also publish all hearing notices 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 as the applicant. was filed. 153 Copyrighted by the Secretary of the State of the State of Connecticut 

161 SUPERIOR COURT–GENERAL PROVISIONS Sec. 2-53 effective date changed to Oct. 1, 2003; Sept. 30, 2003, effec- (j) The standing committee shall take all testi- tive date changed to Jan. 1, 2004; amended June 26, 2006, mony at its hearings under oath and shall include to take effect Jan. 1, 2007; amended June 21, 2010, to take in its report subordinate findings of facts and con- effect Jan. 1, 2011; amended June 15, 2012, to take effect clusions as well as its recommendation. The Jan. 1, 2013; amended June 14, 2013, to take effect Jan. standing committee shall have a record made of 1, 2014.) its proceedings which shall include a copy of the Sec. 2-54. Publication of Notice of Repri- application for reinstatement, any reports filed by mand, Suspension, Disbarment, Resigna- the Statewide Grievance Committee and Office tion, Placement on Inactive Status or of the Chief Disciplinary Counsel, a copy of the Reinstatement record of the applicant's disciplinary history, a transcript of its hearings thereon, any exhibits (a) Notice of the final action transferring an received by the standing committee, any other attorney to inactive status or reprimanding, sus- documents considered by the standing committee pending, or disbarring an attorney from practice in making its recommendations, and copies of all in this state shall be published once in the Con- notices provided by the standing committee in necticut Law Journal by the authority accepting accordance with this section. Record materials or approving such action. Notice of a reprimand containing personal identifying information or by the Statewide Grievance Committee or by a medical information may, in the discretion of the reviewing committee shall not be published until standing committee, be redacted, or open for the expiration of any stay pursuant to Sections 2- inspection only to the applicant and other persons 35 (e) and 2-38. having a proper interest therein and upon order of (b) Notice of the resignation or reinstatement the court. The standing committee shall complete after suspension, disbarment, resignation or work on the application within 180 days of referral placement on inactive status of an attorney shall from the chief justice. It is the applicant's burden be published once in the Connecticut Law Journal to demonstrate by clear and convincing evidence by the authority accepting or approving such that he or she possesses good moral character action. and fitness to practice law as defined by Section (P.B. 1978-1997, Sec. 36A.) (Amended June 28, 1999, to take effect Jan. 1, 2000.) 2-5A. (k) Upon completion of its investigation, the Sec. 2-55. Retirement of Attorney–Right standing committee shall file its recommendation of Revocation in writing together with a copy of the record with (Amended June 14, 2013, to take effect Jan. 1, 2014.) the clerk of the Superior Court. The report shall (a) An attorney who is admitted to the bar in recommend that the application be granted, the state of Connecticut and is not the subject of granted with conditions, or denied. The standing any pending disciplinary investigation may submit committee's report shall be served and certified a written request on a form approved by the Office to all other parties pursuant to Section 10-12. of the Chief Court Administrator to the statewide ( l ) The court shall thereupon inform the chief bar counsel for retirement under this section. justice of the pending application and recommen- Upon receipt of the request, the statewide bar dation, and the chief justice shall designate two counsel shall review it and, if it is found that the other judges of the Superior Court to sit with the attorney is eligible for retirement under this sec- judge presiding at the session. The applicant, the tion, shall grant the request and notify the attorney Statewide Grievance Committee, the Office of the and the clerk for the judicial district of Hartford. Chief Disciplinary Counsel and the standing com- Retirement shall not constitute removal from the mittee shall have an opportunity to appear and bar or the roll of attorneys, but it shall be noted be heard at any hearing. The three judge panel, on the roll of attorneys kept by the clerk for the or a majority of them, shall determine whether the judicial district of Hartford. If the request is application should be granted. granted, the attorney shall no longer be eligible (m) If the application for reinstatement is to practice law as an attorney admitted in the state denied, the reasons therefor shall be stated on of Connecticut, except as provided in subsection the record or put in writing. Unless otherwise (e) of this section. ordered by the court, the attorney may not reapply (b) An attorney who has retired pursuant to this for reinstatement for a period of at least one year section shall thereafter be exempt from payment following the denial. of the client security fund fee set forth in Section (P.B. 1978-1997, Sec. 36.) (Amended Nov. 17, 1999, on 2-70 (a), but must continue to comply with the an interim basis, to take effect Jan. 1, 2000, and amendment registration requirements set forth in Sections 2- adopted June 26, 2000, to take effect Jan. 1, 2001; amended June 24, 2002, to take effect July 1, 2003; May 14, 2003, 26 and 2-27 (d). 154 Copyrighted by the Secretary of the State of the State of Connecticut 

162 SUPERIOR COURT–GENERAL PROVISIONS Sec. 2-58 Sec. 2-56. Inactive Status of Attorney (c) An attorney who has retired pursuant to this section and thereafter wishes to revoke the retire- During the time an order placing an attorney on ment and be eligible to practice law again in the inactive status is in effect, such attorney shall be state of Connecticut may do so at any time by precluded from practicing law. No entry fee shall sending written notice to the clerk for the judicial be required for proceedings pursuant to this sec- district of Hartford and the statewide bar counsel. tion and Sections 2-57 through 2-62. Any hearings necessitated by the proceedings may, in the dis- (d) Retirement pursuant to this section shall not cretion of the court, be held in chambers, and be a bar to the initiation, investigation and pursuit records and papers filed in connection therewith of disciplinary complaints filed on or subsequent shall be open for inspection only to persons having to the date of retirement. a proper interest therein and upon order of the (e) An attorney who has retired pursuant to this court. The court shall, in exercising discretion, section may engage in uncompensated services weigh the public policy in favor of open proceed- to clients under the supervision of an organized ings, as well as the duty to protect the public, legal aid society, a state or local bar association against the attorney's right to medical and mental project, or a court-affiliated pro bono program. health privacy and ability to pursue a livelihood. (P.B. 1978-1997, Sec. 37.) (Amended Nov. 17, 1999, on (P.B. 1978-1997, Sec. 39.) (Amended June 24, 2002, to an interim basis pursuant to Section 1-9 (c), to take effect Jan. take effect July 1, 2003; May 14, 2003, effective date changed 1, 2000, and amendment adopted June 26, 2000, to take effect to Oct. 1, 2003; Sept. 30, 2003, effective date changed to Jan. Jan. 1, 2001; amended June 14, 2013, to take effect Jan. 1, 2004.) 1, 2014.) Sec. 2-57. –Prior Judicial Determination of Sec. 2-55A. Retirement of Attorney–Per- Incompetency or Involuntary Commitment manent In the event an attorney is by a court of compe- (a) An attorney who is admitted to the bar in tent jurisdiction (1) declared to be incapable of the state of Connecticut and is not the subject of managing his or her affairs or (2) committed invol- any pending disciplinary investigation may submit untarily to a mental hospital for drug dependency, a written request on a form approved by the Office mental illness, or the addictive, intemperate, or of the Chief Court Administrator to the statewide excessive use of alcohol, the Superior Court, upon bar counsel for permanent retirement under this notice from a grievance panel, a reviewing com- section. Upon receipt of the request, the statewide mittee, the Statewide Grievance Committee or a bar counsel shall review it and, if it is found that state's attorney and upon proof of the fact of inca- the attorney is eligible for retirement under this pacity to engage in the practice of law, shall enter section, shall grant the request and notify the an order placing such attorney upon inactive sta- attorney and the clerk for the judicial district of tus, effective immediately, for an indefinite period Hartford. Retirement shall not constitute removal and until further order of the court. A copy of such from the bar or the roll of attorneys, but it shall order shall be served, in such manner as the court shall direct, upon such attorney, the attorney's be noted on the roll of attorneys kept by the clerk conservator if any, and the director of any mental for the judicial district of Hartford. If granted, the hospital in which the attorney may reside. attorney shall no longer be eligible to practice law (P.B. 1978-1997, Sec. 40.) as an attorney admitted in the state of Con- necticut. Prior Determination of Sec. 2-58. –No (b) An attorney who has retired pursuant to this Incompetency or Involuntary Commitment section shall thereafter be exempt from the regis- (a) Whenever a grievance panel, a reviewing tration requirements set forth in Sections 2-26 and committee, the Statewide Grievance Committee 2-27 (d) and from payment of the client security or the disciplinary counsel shall have reason to fund fee set forth in Section 2-70 (a). believe that an attorney is incapacitated from con- (c) An attorney who has retired pursuant to this tinuing to practice law by reason of mental infirmity section and thereafter wishes to be eligible to or illness or because of drug dependency or addic- practice law again in the state of Connecticut must tion to alcohol, such panel, committee or counsel, apply for admission to the bar pursuant to Sec- shall petition the court to determine whether the tions 2-8 or 2-13. attorney is so incapacitated and the court may (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- nation of the attorney by such qualified medical of disciplinary complaints filed on or subsequent expert or experts as the court shall designate, at to the date of retirement. the expense of the Judicial Branch. If, upon due (Adopted June 14, 2013, to take effect Jan. 1, 2014.) 155  Copyrighted by the Secretary of the State of the State of Connecticut

163 SUPERIOR COURT–GENERAL PROVISIONS Sec. 2-58 proper, including the determination whether the consideration of the matter, the court is satisfied and concludes that the attorney is incapacitated attorney's disability has been removed, and from continuing to practice law, it shall enter an including direction of an examination of the attor- ney by such qualified medical expert or experts order placing the attorney in an inactive status on as the court shall designate. The court shall direct the ground of such disability for an indefinite that the expense of such an examination be paid period and until the further order of the court, and any pending disciplinary proceedings against the either by the attorney or by the Judicial Branch. (b) Where an attorney has been placed on inac- attorney shall be held in abeyance. tive status by an order in accordance with the (b) The court may provide for such notice to the provisions of Section 2-57 and thereafter, in pro- respondent attorney of proceedings in the matter ceedings duly taken, has been judicially declared as is deemed proper and advisable and shall to be competent, the court may dispense with appoint an attorney, at the expense of the Judicial further evidence that his or her disability has been Branch, to represent any respondent who is with- out adequate representation. removed and may direct his or her return to active (P.B. 1978-1997, Sec. 41.) (Amended June 24, 2002, to status upon such terms as are deemed proper take effect July 1, 2003; May 14, 2003, effective date changed and advisable. to Oct. 1, 2003; Sept. 30, 2003, effective date changed to Jan. (P.B. 1978-1997, Sec. 44.) 1, 2004.) Sec. 2-61. –Burden of Proof in Inactive Sta- Sec. 2-59. –Disability Claimed during tus Proceedings Course of Disciplinary Proceeding In a proceeding seeking an order to place an If, during the course of a disciplinary proceed- attorney on inactive status, the burden of proof ing, the respondent contends that he or she is shall rest with the petitioner. In a proceeding seek- suffering, by reason of mental infirmity or illness, ing an order terminating inactive status, the bur- or because of drug dependency or addiction to den of proof shall rest with the inactive attorney. alcohol, from a disability which makes it impos- (P.B. 1978-1997, Sec. 45.) sisle for the respondent adequately to defend him- Sec. 2-62. –Waiver of Doctor-Patient Privi- self or herself, the court thereupon shall, in a lege upon Application for Reinstatement proceeding instituted in substantial accordance with the provisions of Section 2-58, enter an order The filing of an application for reinstatement by placing the respondent on inactive status until a an attorney on inactive status shall be deemed to determination is made of the respondent's capac- constitute a waiver of any doctor-patient privilege ity to defend himself or herself. Notice of the insti- existing between the attorney and any psychia- tution of inactive status proceedings shall be trist, psychologist, physician or hospital who or provided to the statewide bar counsel. If the court which has examined or treated the attorney during determines that the respondent is not incapaci- the period of disability. The attorney shall be tated from practicing law, it shall take such action required to disclose the name of every psychia- as it deems proper and advisable, including a trist, psychologist, physician and hospital by direction for the resumption of the disciplinary pro- whom or at which the attorney has been examined ceeding against the respondent. or treated since being placed on inactive status (P.B. 1978-1997, Sec. 42.) (Amended June 24, 2002, to and shall furnish to the court written consent to take effect July 1, 2003; May 14, 2003, effective date changed each to divulge such information and records as to Oct. 1, 2003; Sept. 30, 2003, effective date changed to Jan. are requested by court-appointed medical experts 1, 2004.) or by the clerk of the court. (P.B. 1978-1997, Sec. 46.) Sec. 2-60. –Reinstatement upon Termina- tion of Disability Sec. 2-63. Definition of Respondent (a) Any attorney placed upon inactive status When used in Sections 2-29 through 2-62 the under the provisions of these rules shall be enti- word ``respondent'' shall mean the attorney tled to apply for reinstatement, without the pay- against whom a grievance complaint or present- ment of an entry fee, at such intervals as the court ment has been filed or a person who is alleged may direct in the order placing the attorney on to have been engaged in the unauthorized prac- inactive status or any modification thereof. Such tice of law pursuant to General Statutes ß 51-88. application shall be granted by the court upon a (P.B. 1978-1997, Sec. 46A.) showing by clear and convincing evidence that Sec. 2-64. Appointment of Attorney To Pro- the attorney's disability has been removed and tect Clients' and Attorney's Interests the attorney is fit to resume the practice of law. (a) Whenever an attorney is placed upon inac- Upon such application, the court may take or tive status, suspended, disbarred, or resigns, the direct such action as it deems necessary or 156 Copyrighted by the Secretary of the State of the State of Connecticut 

164 SUPERIOR COURT–GENERAL PROVISIONS Sec. 2-66 court, upon such notice to him or her as the court to active status, such files as the appointed attor- may direct, shall appoint an attorney or attorneys ney may have received, and the appointed attor- to inventory the files of the inactive, suspended, ney and partners and associates shall not disbarred or resigned attorney and to take such represent any person who was a client of the action as seems indicated to protect the interests reinstated or readmitted attorney, or who was a of the attorney's clients. The court may also client of an attorney returned to active status, on appoint an attorney to protect the interests of the or before the date when he or she was placed attorney placed on inactive status, suspended, upon inactive status, suspended, disbarred or disbarred or resigned with respect to such files, resigned, unless the court which entered the order when the attorney is not otherwise represented directing reinstatement, readmission, or return to and the court deems that such representation is active status shall order otherwise after written necessary. If the discipline imposed is not effec- request to the court by the client whose interest tive immediately as a result of an appeal or stay, is involved. (P.B. 1978-1997, Sec. 46B.) (Amended June 24, 2002, to the court, after the hearing and consideration of take effect July 1, 2003; May 1, 2003, effective date changed the merits of the appeal or reason for the stay, may to Oct. 1, 2003; Sept. 30, 2003, effective date changed to Jan. issue interim orders to protect the public during 1, 2004.) the pendency of the appeal period or stay, until the discipline order becomes effective. In case of Sec. 2-65. Good Standing of Attorney an attorney's death, the court may appoint an An attorney is in good standing in this state if attorney where no partner, executor or other the attorney has been admitted to the bar of this responsible party capable of conducting the state, has registered with the Statewide Griev- deceased attorney's affairs is known to exist or ance Committee in compliance with Section 2-27 willing to assume the responsibility. (d), has complied with Section 2-70, and is not (b) Any attorney so appointed by the court shall under suspension, on inactive status, disbarred, not be permitted to disclose any information con- or resigned from the bar. tained in any file so inventoried without the con- (P.B. 1978-1997, Sec. 46C.) (Amended June 22, 2009, to sent of the client to whom such file relates except take effect Jan. 1, 2010.) as is necessary to carry out the order of the court Sec. 2-66. Practice by Court Officials which appointed the attorney to make such (a) No lawyer who is a judge of the Supreme inventory. Court, Appellate Court or Superior Court shall (c) Not less frequently than once each year and practice law in any state or federal court. at such time as the attorney may be returned (b) The chief public defender, the deputy chief to active status, reinstated or readmitted to the public defender, public defenders, assistant public practice of law or when the attorney appointed to defenders, deputy assistant public defenders, the protect clients' interests has finished rendering chief state's attorney, the deputy chief state's services to those clients, the appointed attorney attorney, state's attorneys, assistant state's attor- shall file with the court, for its examination and neys and deputy assistant state's attorneys who approval, a report showing fees earned from the have been appointed on a full-time basis will clients of the attorney, necessary disbursements, devote their full time to the duties of their offices, and the amount requested by the appointed attor- will not engage in the private practice of law, either ney as a fee for services rendered, to be paid out civil or criminal, and will not be connected in any of the funds received. Any attorney so appointed way with any attorney or law firm engaged in the by the court for the inactive, suspended, dis- private practice of law. barred, resigned or deceased attorney may also be reimbursed for his or her services from any (c) No state's attorney or assistant state's attor- amount found to be due to the inactive, sus- ney, no partner or associate of a law firm of which pended, disbarred, resigned or deceased attorney any of the aforementioned court officials is a part- for services rendered to such clients. All attorney's ner or associate, shall appear as counsel in any 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. 157 Copyrighted by the Secretary of the State of the State of Connecticut 

165 SUPERIOR COURT–GENERAL PROVISIONS Sec. 2-66 (e) No chief public defender, deputy chief public of the fund to any claimant, attorney or organiza- defender, public defender, assistant public tion, and all reimbursements therefrom shall be a defender or deputy assistant public defender shall matter of grace and not of right. (Adopted June 29, 1998, to take effect Jan. 1, 1999; appear in behalf of the state in any criminal case. amended May 3, 2005, to take effect May 17, 2005; amended (P.B. 1978-1997, Sec. 47.) June 23, 2017, to take effect Jan. 1, 2018.) Sec. 2-67. Payment of Attorneys by Bank Sec. 2-68A. –Crisis Intervention and Refer- and Trust Companies ral Assistance (a) No attorney shall directly or indirectly receive (a) The chief court administrator may enter into payment from any bank or trust company for legal any contracts and take such other action as may services rendered to others in the preparation of be reasonably necessary to provide for crisis inter- wills, codicils or drafts of such instruments or for vention and referral assistance to attorneys admit- advising others as to legal rights under existing ted to the practice of law in this state who suffer or proposed instruments of that character. from alcohol or other substance abuse problems (b) The violation of this section by an attorney or gambling problems, or who have behavioral may be cause for grievance proceedings. health problems. (P.B. 1978-1997, Sec. 48.) (b) The crisis intervention and referral assis- Sec. 2-68. Client Security Fund Established tance shall be provided with the assistance of an (a) A client security fund is hereby established advisory committee appointed by the chief court to promote public confidence in the judicial system administrator that shall include one or more and the integrity of the legal profession by reim- behavioral health professionals. bursing clients, to the extent provided for by these (Adopted May 3, 2005, to take effect May 17, 2005.) rules, for losses resulting from the dishonest con- Sec. 2-69. –Definition Dishonest of duct of attorneys practicing law in this state in Conduct the course of the attorney-client relationship, by (a) As used in Sections 2-68 through 2-81, inclu- providing crisis intervention and referral assis- sive, ``dishonest conduct'' means wrongful acts tance to attorneys admitted to the practice of law committed by an attorney, in an attorney-client in this state who suffer from alcohol or other sub- relationship or in a fiduciary capacity arising out stance abuse problems or gambling problems, of an attorney-client relationship, in the nature of or who have behavioral health problems, and by theft or embezzlement of money or the wrongful making grants-in-aid to the organization adminis- taking or conversion of money, property, or other tering the program for the use of interest earned on lawyers' clients' funds accounts pursuant to things of value, including, but not limited to refusal General Statute ß 51-81c, for the purpose of fund- to refund unearned fees received in advance as ing the delivery of legal services to the poor. required by Rule 1.16 (d) of the Rules of Profes- (b) It is the obligation of all attorneys admitted sional Conduct. to the practice of law in this state to participate in (b) ``Dishonest conduct'' does not include such the collective effort to reimburse clients who have wrongful acts committed in connection with the lost money or property as the result of the unethi- provision of investment services to the claimant cal and dishonest conduct of other attorneys, to by the attorney. (Adopted June 29, 1998, to take effect Jan. 1, 1999.) provide crisis intervention and referral assistance to attorneys admitted to the practice of law in this Sec. 2-70. –Client Security Fund Fee state who suffer from alcohol or other substance (a) The judges of the Superior Court shall abuse problems or gambling problems, or who assess an annual fee in an amount adequate for have behavioral health problems, and to fund the the proper payment of claims, the provision of delivery of legal services to the poor. crisis intervention and referral assistance, and for (c) The client security fund is provided as a making grants-in-aid for the purpose of funding public service to persons using the legal services the delivery of legal services to the poor under of attorneys practicing in this state and as a means these rules and the costs of administering the of providing crisis intervention and referral assis- client security fund. Such fee, which shall be $75, tance to impaired attorneys, and grants-in-aid for shall be paid by each attorney admitted to the the purpose of funding the delivery of legal ser- practice of law in this state and each judge, judge vices to the poor. All moneys and assets of the trial referee, state referee, family support magis- fund shall constitute a trust. trate, family support referee and workers' com- (d) The establishment, administration and oper- pensation commissioner in this state. Notwith- ation of the fund shall not impose or create any obligation, expectation of recovery from or liability standing the above, an attorney who is disbarred, 158 Copyrighted by the Secretary of the State of the State of Connecticut 

166 SUPERIOR COURT–GENERAL PROVISIONS Sec. 2-72 retired, resigned, or serving on active duty with (3) the claim is presented within four years of the armed forces of the United States for more the time when the claimant discovered or first than six months in such year shall be exempt from reasonably should have discovered the dishonest payment of the fee, and an attorney who does acts and the resulting losses or the claim was not engage in the practice of law as an occupation pending before the Connecticut Bar Association's and receives less than $1000 in legal fees or other client security fund committee as of the effective compensation for services involving the practice date of this rule. of law during the calendar year shall be obligated (c) Except as provided by subsection (d) of this to pay one half of such fee. No attorney who is section, the following losses shall not be eligible disbarred, retired or resigned shall be reinstated for reimbursement: pursuant to Sections 2-53 or 2-55 until such time (1) losses incurred by spouses, children, par- as the attorney has paid the fee due for the year ents, grandparents, siblings, partners, associates in which the attorney retired, resigned or was dis- and employees of the attorney causing the losses; barred. (2) losses covered by any bond, surety (b) An attorney or family support referee who agreement, or insurance contract to the extent fails to pay the client security fund fee in accord- covered thereby, including any loss to which any ance with this section shall be administratively bonding agent, surety or insurer is subrogated, to suspended from the practice of law in this state the extent of that subrogated interest; pursuant to Section 2-79 of these rules until such (3) losses incurred by any financial institution payment, along with a reinstatement fee of $75, which are recoverable under a ``banker's blanket has been made. An attorney or family support bond'' or similar commonly available insurance or referee who is under suspension for another rea- surety contract; son at the time he or she fails to pay the fee, shall (4) losses incurred by any business entity con- be the subject of an additional suspension which trolled by the attorney, any person or entity shall continue until the fee and reinstatement fee described in subdivisions (c) (1), (2), or (3) herein; are paid. (5) losses incurred by any governmental entity (c) A judge, judge trial referee, state referee, or agency. family support magistrate or workers' compensa- (d) In cases of extreme hardship or special and tion commissioner who fails to pay the client secu- unusual circumstances, the client security fund rity fund fee in accordance with this section shall committee may, in its discretion, consider a claim be referred to the Judicial Review Council. eligible for reimbursement which would otherwise (Adopted June 29, 1998, to take effect Jan. 1, 1999; be excluded under these rules. amended June 28, 1999, to take effect Jan. 1, 2000; amended (e) In cases where it appears that there will be Nov. 17, 1999, on an interim basis pursuant to Section 1-9 (c), to take effect Jan. 1, 2000, and amendment adopted June unjust enrichment, or the claimant unreasonably 26, 2000, to take effect Jan. 1, 2001; amended June 21, 2004, or knowingly contributed to the loss, the client to take effect July 13, 2004; amended May 3, 2005, to take security fund committee may, in its discretion, effect May 17, 2005; amended June 20, 2005, to take effect deny the claim. Jan. 1, 2006; amended June 15, 2012, to take effect Jan. 1, (Adopted June 29, 1998, to take effect Jan. 1, 1999.) 2013; amended June 23, 2017, to take effect Jan. 1, 2018.) Sec. 2-72. –Client Security Fund Com- Sec. 2-71. –Eligible Claims mittee (a) A claim for reimbursement of a loss must be (a) There is hereby established a client security based upon the dishonest conduct of an attorney fund committee which shall consist of fifteen mem- who, in connection with the defalcation upon bers who shall be appointed by the chief justice. which the claim is based, was a member of the Nine of the members shall be attorneys, three Connecticut bar and engaged in the practice of shall not be attorneys and three shall be individu- law in this state. als who serve in one of the following capacities: (b) The claim shall not be eligible for reimburse- Superior Court judge, judge trial referee, Appel- ment unless: late Court judge, Supreme Court justice, family (1) the attorney was acting as an attorney or support magistrate, family support referee or fiduciary in the matter in which the loss arose; workers' compensation commissioner. Members (2) the attorney has died, been adjudged inca- shall be appointed for terms of three years, pro- pable, not competent or insane, been disbarred vided, however, that of the members first or suspended from the practice of law in Connecti- appointed, five shall serve for one year, five for cut, been placed on probation or inactive status two years and five for three years. No person shall by a Connecticut court, resigned from the Con- serve as a member for more than two consecutive necticut bar, or become the judgment debtor of the claimant with respect to such claim; and three year terms, excluding any appointments for 159 Copyrighted by the Secretary of the State of the State of Connecticut 

167 SUPERIOR COURT–GENERAL PROVISIONS Sec. 2-72 (f) Pay to the chief court administrator for the less than a full term, but a member may be reap- provision of crisis intervention and referral assis- pointed after a lapse of one year. The appointment tance to attorneys admitted to the practice of law of any member may be revoked or suspended by in this state who suffer from alcohol or other sub- the chief justice. In connection with such revoca- stance abuse problems or gambling problems, or tion or suspension, the chief justice shall appoint who have behavioral health problems, any a qualified individual to fill the vacancy for the amounts required pursuant to Section 2-77. remainder of the term or for any other appropriate (g) Pay to the chief court administrator for mak- period. In the event that a vacancy arises in this ing grants-in-aid to the organization administering position before the end of a term by reason other the program for the use of interest earned on than revocation or suspension, the chief justice lawyers' clients' funds accounts pursuant to Gen- shall fill the vacancy for the balance of the term eral Statutes ß 51-81c, for the purpose of funding or for any other appropriate period. the delivery of legal services to the poor, any (b) The client security fund committee shall amounts required pursuant to Section 2-77. elect from among its members a chair and a vice- (h) Perform all other acts necessary or proper chair who shall serve for a period of one year. for the fulfillment of the purposes and effective (c) Seven members of the client security fund administration of the fund. committee shall constitute a quorum at its meet- (Adopted June 29, 1998, to take effect Jan. 1, 1999; ings. The chair may assign individual members amended May 3, 2005, to take effect May 17, 2005; amended June 23, 2017, to take effect Jan. 1, 2018.) of the committee to investigate and report on claims to the committee. Sec. 2-74. –Regulations of Client Security (d) Members shall serve without compensation, Fund Committee but shall be reimbursed for their necessary and The client security fund committee shall have reasonable expenses incurred in the discharge of the power and authority to implement these rules their duties. by regulations relevant to and not inconsistent (e) The client security fund committee shall with these rules. Such regulations may be operate under the supervision of the Superior adopted at any regular meeting of the client secu- Court judges and report on its activities to the rity fund committee or at any special meeting executive committee of the Superior Court on at called for that purpose. The regulations shall be least a quarterly basis. effective sixty days after publication in one issue (Adopted June 29, 1998, to take effect Jan. 1, 1999.) of the Connecticut Law Journal and shall at all times be subject to amendment or revision by the Sec. 2-73. –Powers and Duties of Client committee. A copy shall be provided to the chief Security Fund Committee justice, the chief court administrator, and the exec- In addition to any other powers and duties set utive committee of the Superior Court. forth in Sections 2-68 through 2-81, the client (Adopted June 29, 1998, to take effect Jan. 1, 1999; amended June 20, 2011, to take effect Jan. 1, 2012.) security fund committee shall: (a) Publicize its activities to the public and bar, Sec. 2-75. –Processing Claims including filing with the chief justice and the execu- (a) Upon receipt of a claim the client security tive committee of the Superior Court an annual fund committee shall cause an appropriate inves- report on the claims made and processed and the tigation to be conducted and shall cause the attor- amounts disbursed. ney who is the subject of the claim or the attorney's (b) Receive, investigate and evaluate claims representative to be notified by certified mail for reimbursement. within ten days of the filing of such claim. The (c) Determine in its judgment whether reim- attorney or his or her representative shall have bursement should be made and the amount of twenty days from the date the notice was mailed such reimbursement. to file a response with the client security fund (d) Prosecute claims for restitution against committee. Before processing a claim, the client attorneys whose conduct has resulted in dis- security fund committee may require the claimant bursements. to pursue other remedies he or she may have. (e) Employ such persons and contract with any (b) The client security fund committee shall public or private entity as may be reasonably nec- promptly notify the Statewide Grievance Commit- essary to provide for its efficient and effective tee of each claim and shall request the grievance operations, which shall include, but not be limited committee to furnish it with a report of its investiga- to, the investigation of claims and the prosecution tion, if any, on the matter. The Statewide Griev- ance Committee shall allow the client security of claims for restitution against attorneys. 160 Copyrighted by the Secretary of the State of the State of Connecticut 

168 SUPERIOR COURT–GENERAL PROVISIONS Sec. 2-77 fund committee access to its records during an claimant, the attorney whose conduct produced investigation of a claim. The client security fund the claim and the amount of the reimbursement. committee shall evaluate whether the investiga- However, the client security fund committee may tion is complete and determine whether it should provide access to relevant information regarding conduct additional investigation or await the pen- such claims to the Statewide Grievance Com- dency of any disciplinary investigation or proceed- mittee, grievance panels, to law enforcement ing involving the same act or conduct as is alleged agencies, to the Office of the Chief Disciplinary in the claim. Counsel, and to a judge of the Superior Court. The client security fund committee may also disclose (c) The client security fund committee may, to such information to any attorney retained or the extent permitted by law, request and receive employed by the committee to protect the inter- from the state's attorneys and from the Superior ests of the client security fund or the committee Court information relative to the client security in any state or federal action in which the interests fund committee's investigation, processing and of the committee or the fund may be at issue, determination of claims. and may disclose such information as may be (d) A certified copy of an order disciplining an necessary to protect the rights of the committee in attorney for the same dishonest act or conduct any action or proceeding in which the committee's alleged in a claim, or a final trial court judgment right to receive restitution pursuant to Sections 2- imposing civil or criminal liability therefor, shall be 80 or 2-81 is at issue. The client security fund evidence that the attorney committed such dis- committee may also provide statistical information honest act or conduct. regarding claims which does not disclose the (e) The client security fund committee may names of claimants and attorneys until a disburse- require that a claimant, the subject attorney or ment is authorized. any other person give testimony relative to a claim (b) All information given or received in connec- and may designate one or more members to tion with the provision of crisis intervention and receive the testimony and render a report thereon referral assistance under these rules shall be sub- to the committee. ject to the provisions of General Statutes ß 51- (f) The client security fund committee shall, on 81d (f). the basis of the record, make its determination in (Adopted June 29, 1998, to take effect Jan. 1, 1999; its sole and absolute discretion as to the validity amended May 3, 2005, to take effect May 17, 2005; amended of claims. A determination shall require an affirma- June 26, 2006, to take effect Jan. 1, 2007.) tive vote of at least seven members. Sec. 2-77. –Review of Status of Fund (g) Based upon the claims approved for reim- bursement, the claims being processed and the The client security fund committee shall periodi- amounts available in the client security fund, the cally analyze the status of the fund, the approved client security fund committee shall determine in claims and the pending claims, the cost to the its sole and absolute discretion the amount, the fund of providing crisis intervention and referral order and the manner of the payment to be made assistance to attorneys, and the cost to the fund on the approved claim. of funding the delivery of legal services to the poor, to ensure the integrity of the fund for its (h) Reimbursements shall not include interest, intended purposes. Based upon the analysis and expenses, or attorney's fees in processing the recommendation of the client security fund com- claim, and may be paid in a lump sum or in mittee, the judges of the Superior Court may installments. increase or decrease the amount of the client (i) The client security fund committee shall notify security fund fee and the Superior Court executive the claimant and the subject attorney of its deter- committee may fix a maximum amount on reim- mination, which shall be final and not be subject bursements payable from the fund. to review by any court. The amount paid from the fund in any calendar (j) The approval or disapproval of a claim shall year to the chief court administrator for the provi- not be pertinent in any disciplinary proceeding. sion of crisis intervention and referral assistance (Adopted June 29, 1998, to take effect Jan. 1, 1999.) to attorneys shall not exceed 15.9 percent of the Sec. 2-76. –Confidentiality amount received by the fund from payments of (a) Claims, proceedings and reports involving the client security fund fee in the prior calendar claims for reimbursement for losses caused by year. If less than the 15.9 percent maximum the dishonest conduct of attorneys are confiden- amount is paid from the fund in any calendar year tial until the client security fund committee autho- for the provision of crisis intervention and referral rizes a disbursement to the claimant, at which assistance to attorneys, the remaining amount time the committee may disclose the name of the may not be carried over and added to the amount 161 Copyrighted by the Secretary of the State of the State of Connecticut 

169 SUPERIOR COURT–GENERAL PROVISIONS Sec. 2-77 failure to pay the client security fund fee shall not that may be paid from the fund for that purpose be considered discipline, but an attorney who is in any other year. placed on administrative suspension for such fail- By April 1 of each year, the client security fund ure shall be ineligible to practice law as an attor- committee shall recommend to the chief court ney admitted to practice in this state, and shall administrator the amount of funds available to be not be considered in good standing pursuant to paid for making grants-in-aid for the purpose of Section 2-65 of these rules until such time as the funding the delivery of legal services to the poor. fee and reinstatement fee are paid. An attorney The chief court administrator shall review the rec- aggrieved by an order placing the attorney on ommendation of the client security fund commit- administrative suspension for failing to pay the tee and any other relevant information and client security fund fee may make an application determine and advise the client security fund com- to the Superior Court to have the order vacated, mittee of the amount of funds to be used for mak- by filing the application with the Superior Court ing grants-in-aid for the purpose of funding the for the Hartford Judicial District within thirty days delivery of legal services to the poor. (Adopted June 29, 1998, to take effect Jan. 1, 1999; of the date that the order is published, and mailing amended May 3, 2005, to take effect May 17, 2005; amended a copy of the same by certified mail, return receipt June 23, 2017, to take effect Jan. 1, 2018.) requested, to the office of the client security fund committee. The application shall set forth the rea- Sec. 2-78. –Attorney's Fee for Prosecut- sons why the application should be granted. The ing Claim court shall schedule a hearing on the application, No attorney shall accept any fee for prosecuting which shall be limited to whether good cause a claim on behalf of a claimant, except where exists to vacate the suspension order. specifically approved by the client security fund (b) If a judge, judge trial referee, state referee, committee for payment out of the award. family support magistrate or workers' compensa- (Adopted June 29, 1998, to take effect Jan. 1, 1999.) tion commissioner has not paid the client security fund fee, the Office of the Chief Court Administra- Sec. 2-79. –Enforcement of Payment of Fee tor shall send a notice to such person that he or (a) The client security fund committee shall she will be referred to the Judicial Review Council send a notice to each attorney who has not paid unless within sixty days from the date of such the client security fund fee pursuant to Section 2- notice the Office of the Chief Court Administrator 70 of these rules that the attorney's license to receives from such person proof that he or she practice law in this state may be administratively has either paid the fee or is exempt from such suspended unless within sixty days from the date payment. If the Office of the Chief Court Adminis- of such notice the client security fund committee trator does not receive such proof within the time receives from such attorney proof that he or she required, it shall refer such person to the Judicial has either paid the fee or is exempt from such Review Council. payment. If the client security fund committee (c) Family support referees shall be subject to does not receive such proof within the time the provisions of subsection (a) herein until such required, it shall cause a second notice to be sent time as they come within the jurisdiction of the to the attorney advising the attorney that he or Judicial Review Council, when they will be subject she will be referred to the Superior Court for an to the provisions of subsection (b). administrative suspension of the attorney's (d) The notices required by this section shall license to practice law in this state unless within be sent by certified mail, return receipt requested thirty days from the date of the notice proof of the or with electronic delivery confirmation to the last payment of the fee or exemption is received. The address registered by the attorney pursuant to client security fund committee shall submit to the Section 2-26 and Section 2-27 (d), and to the clerk of the Superior Court for the Hartford Judicial home address of the judge, judge trial referee, District a list of attorneys who did not provide proof state referee, family support magistrate, family of payment or exemption within thirty days after support referee or workers' compensation com- the date of the second notice. Upon order of the missioner. court, the attorneys so listed and referred to the (Adopted June 29, 1998, to take effect Jan. 1, 1999; clerk shall be deemed administratively suspended amended June 20, 2005, to take effect Jan. 1, 2006; amended from the practice of law in this state until such June 15, 2012, to take effect Jan. 1, 2013.) time as payment of the fee and the reinstatement Sec. 2-80. –Restitution by Attorney fee assessed pursuant to Section 2-70 is made, which suspension shall be effective upon publica- An attorney whose dishonest conduct has tion of the list in the Connecticut Law Journal. resulted in reimbursement to a claimant shall make restitution to the fund including interest and An administrative suspension of an attorney for 162 Copyrighted by the Secretary of the State of the State of Connecticut 

170 SUPERIOR COURT–GENERAL PROVISIONS Sec. 2-82 the expense incurred by the fund in processing the shall place their agreement in writing and submit claim. An attorney's failure to make satisfactory it, together with the complaint, the record in the arrangements for restitution shall be cause for matter, and the respondent's underlying admis- suspension, disbarment, or denial of an applica- sion of misconduct, for approval as follows: (i) by tion for reinstatement. the court, in all matters involving possible suspen- (Adopted June 29, 1998, to take effect Jan. 1, 1999.) sion or disbarment, or possible imposition of a period of probation or other sanctions beyond the Sec. 2-81. –Restitution and Subrogation authority of the Statewide Grievance Committee, (a) An attorney whose dishonest conduct as set forth in Section 2-37; or (ii) by a reviewing results in reimbursement to a claimant shall be committee of the Statewide Grievance Commit- liable to the fund for restitution; and the client tee, in all other matters. If, after a hearing, the security fund committee may bring such action as admission of misconduct is accepted and the pro- it deems advisable to enforce such obligation. posed disposition is approved by the court or the (b) As a condition of reimbursement, a claimant reviewing committee, the matter shall be disposed shall be required to provide the fund with a pro of in the manner agreed to. If any resulting admis- tanto transfer of the claimant's rights against the sion of misconduct or proposed disposition is attorney, the attorney's legal representative, rejected by the court or the reviewing committee, estate or assigns; and of the claimant's rights the admission of misconduct and proposed dispo- against any third party or entity who may be liable sition shall be withdrawn, shall not be made public, for the claimant's loss. and shall not be used against the respondent in (c) Upon commencement of an action by the any subsequent proceedings. In that event, the client security fund committee as subrogee or matter shall be referred for further proceedings to assignee of a claim, it shall advise the claimant, a different judicial authority or reviewing commit- who may then join in such action to recover the tee, as appropriate. claimant's unreimbursed losses. (c) If disciplinary counsel and the respondent (d) In the event that the claimant commences are unable to agree to a proposed disposition an action to recover unreimbursed losses against of the matter, the respondent may nonetheless the attorney or another entity who may be liable tender an admission of misconduct, which shall be for the claimant's loss, the claimant shall be in accordance with subsection (a) of this section. required to notify the client security fund commit- If such an admission of misconduct without pro- tee of such action. posed disposition is tendered, disciplinary coun- (e) The claimant shall be required to agree to sel shall cause it to be forwarded, together with cooperate in all efforts that the client security fund the complaint and the record in the matter, for committee undertakes to achieve restitution for consideration, possible acceptance and disposi- the fund. tion as follows: (i) by the court, in all matters involv- (Adopted June 29, 1998, to take effect Jan. 1, 1999.) ing possible suspension or disbarment, or Sec. 2-82. Admission of Misconduct; Disci- possible imposition of a period of probation or pline by Consent other sanctions beyond the authority of the State- wide Grievance Committee, as set forth in Section (a) The disciplinary counsel to whom a com- 2-37; or (ii) by a reviewing committee of the State- plaint is forwarded after a finding that probable wide Grievance Committee, in all other matters. cause exists that the respondent is guilty of mis- If, after a hearing, the admission of misconduct conduct may negotiate a proposed disposition of is accepted by the court or the reviewing commit- the complaint with the respondent or, if the tee, the matter shall be disposed of and any respondent is represented by an attorney, with resulting imposition of discipline shall be made the respondent's attorney. Such a proposed dis- public in the manner prescribed by these rules. If position shall be based upon the respondent's the admission of misconduct is rejected by the admission of misconduct, which shall consist of court or the reviewing committee, it shall be with- either (1) an admission by the respondent that the drawn, shall not be made public, and shall not be material facts alleged in the complaint, or a portion used against the respondent in any subsequent thereof describing one or more acts of misconduct proceedings. In that event, the matter shall be to which the admission relates, are true, or (2) if referred for further proceedings to a different judi- the respondent denies some or all of such material cial authority or reviewing committee, as appro- facts, an acknowledgment by the respondent that priate. there is sufficient evidence to prove such material (d) A respondent who tenders an admission of facts by clear and convincing evidence. misconduct and, if applicable, enters with disci- (b) If disciplinary counsel and the respondent agree to a proposed disposition of the matter, they plinary counsel into a proposed disposition of the 163 Copyrighted by the Secretary of the State of the State of Connecticut 

171 SUPERIOR COURT–GENERAL PROVISIONS Sec. 2-82 matter, shall present to the court or the reviewing applicable, and the imposition of any discipline, committee an affidavit stating the following: the complainant will be given the right to com- ment thereon. (1) That the admission of misconduct and, if (g) In any disciplinary proceeding where the applicable, the proposed disposition are freely respondent already has other disciplinary matters and voluntarily submitted; that the respondent is pending before a court, either pursuant to an order not making the admission of misconduct and, if of interim suspension under Section 2-42, or pur- applicable, the proposed disposition, as a result suant to a presentment filed under Sections 2-35, of any threats or other coercion or duress, or any 2-40, 2-41 or 2-47, the respondent and disciplin- promises or other inducements not set forth in the ary counsel may agree to a presentment. The proposed disposition; that the respondent is fully respondent and disciplinary counsel shall stipu- aware of the consequences of such submissions; late that the order of presentment is requested (2) That the respondent is aware that there is for the purpose of consolidating all pending disci- presently pending a complaint, in connection with plinary matters before the court. which probable cause has been found that the (Adopted June 24, 2002, to take effect July 1, 2003; May respondent committed the following acts of mis- 14, 2003, effective date changed to Oct. 1, 2003; Sept. 30, conduct: (list specific acts); and 2003, effective date changed to Jan. 1, 2004; amended June (3) Either (A) that the respondent admits that 26, 2006, to take effect Jan. 1, 2007.) the material facts alleged in the complaint, or in TECHNICAL CHANGE: Subparagraphs in subsection (d) (3) are now designated with capital letters. that portion thereof to which the respondent's admission relates, are true, or (B) if the respon- Sec. 2-83. Effective Dates dent denies some or all of such material facts, (a) The revisions to this chapter which are effec- that the respondent acknowledges that there is tive January 1, 2004, shall apply to all grievance sufficient evidence to prove such material facts complaints filed on or after that date, unless other- by clear and convincing evidence. wise provided in these rules. (e) The disciplinary counsel may recommend (b) The rules in effect on December 31, 2003, dismissal of acts of misconduct alleged in the shall govern all grievance complaints filed on or complaint that are not admitted by the respondent. before that date. The respondent's admission of some acts of mis- (Adopted June 24, 2002, to take effect July 1, 2003; May 14, 2003, effective date changed to Oct. 1, 2003, and amended conduct shall not foreclose the disciplinary coun- on an interim basis, pursuant to the provisions of Section 1- sel from pursuing discipline based upon other acts 9 (c), to take effect Oct. 1, 2003, and amendment adopted of misconduct alleged in the complaint. June 30, 2003, to take effect Oct. 1, 2003; Sept. 30, 2003, (f) Prior to acceptance by the court or the effective date changed to Jan. 1, 2004, and amended on an reviewing committee of the admission of miscon- interim basis, pursuant to the provisions of Section 1-9 (c), to take effect Jan. 1, 2004.) duct, the proposed disposition of the matter, if 164 Copyrighted by the Secretary of the State of the State of Connecticut 

172 SUPERIOR COURT–GENERAL PROVISIONS Sec. 3-3 CHAPTER 3 APPEARANCES Sec. Sec. 3-11. Appearance for Several Parties 3-1. Appearance for Plaintiff on Writ or Complaint in Civil 3-12. Change in Name, Composition or Membership of a and Family Cases Firm or Professional Corporation 3-2. Time To File Appearance When Creditor May Appear and Defend 3-13. Form and Signing of Appearance 3-3. Legal Interns 3-14. 3-4. Filing Appearance –Supervision of Legal Interns 3-15. Service of Appearances on Other Parties 3-5. –Requirements and Limitations 3-16. Appearances for Bail or Detention Hearing Only 3-6. 3-17. –Activities of Legal Intern Consequence of Filing Appearance 3-7. 3-18. –Certification of Intern Appearance for Represented Party 3-8. –Legal Internship Committee [Repealed] 3-19. Withdrawal of Appearance; Duration of Appearance 3-9. 3-20. –Unauthorized Practice Motion To Withdraw Appearance 3-10. –Out-of-State Interns 3-21. For previous Histories and Commentaries see the editions of the Practice Book corresponding to the years of the previous amendments. Sec. 3-1. Appearance for Plaintiff on Writ or (b) An appearance in a criminal case or in a juvenile matter should be filed promptly but may Complaint in Civil and Family Cases be filed at any stage of the proceeding. When a writ has been signed by an attorney at (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. (b) Each limited appearance pursuant to Sec- Sec. 3-2. Time To File Appearance 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 165 Copyrighted by the Secretary of the State of the State of Connecticut 

173 SUPERIOR COURT–GENERAL PROVISIONS Sec. 3-3 available for service of process only for those mat- Sec. 3-5. Service of Appearances on Other Parties ters described on the limited appearance. All 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 apply to appearances entered pursuant to Section instead of the attorney who filed the limited 3-1. appearance, unless otherwise ordered by court. (See Secs. 64 (c), 630, 1056.1, P.B. 1978-1997.) (P.B. (c) This section does not apply to appearances 1998.) (Amended June 20, 2011, to take effect Jan. 1, 2012.) entered pursuant to Section 3-1. (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 effect Jan. 1, 2011; amended June 20, 2011, to take effect (a) An attorney, prior to the entering of an Jan. 1, 2012; amended June 14, 2013, to take effect Oct. 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 such an appearance, that attorney shall be enti- (a) Whenever an appearance is filed in any civil tled to confer with the prosecuting authority in or family action, including appearances filed in connection with the bail hearing. addition to or in place of another appearance, a (b) An attorney may enter an appearance in a copy shall be mailed or delivered to all counsel delinquency proceeding for the sole purpose of and self-represented parties of record. representing the respondent at any detention (b) Whenever an appearance is filed in sum- hearing; such appearance shall be in writing and mary process actions, including appearances filed styled ``for the purpose of detention hearing only.'' in addition to or in place of another appearance, (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. (See also Secs. 630, 631, 1056.1, P.B. 1978-1997.) sented parties of record. (P.B. 1998.) (d) Whenever an appearance is filed in criminal cases, including appearances filed in addition to Sec. 3-8. Appearance for Represented Party or in place of another appearance, the attorney (a) Whenever an attorney files an appearance for the defendant shall mail or deliver a copy of for a party, or the party files an appearance for the appearance to the prosecuting authority. himself or herself, and there is already an appear- (P.B. 1978-1997, Sec. 64 (c); see also Secs. 630, 1056.1.) ance of an attorney or party on file for that party, (P.B. 1998.) (Amended June 20, 2011, to take effect Jan. 1, the attorney or party filing the new appearance 2012; amended June 15, 2012, to take effect Jan. 1, 2013; shall state thereon whether such appearance is amended June 13, 2014, to take effect Jan. 1, 2015.) 166 Copyrighted by the Secretary of the State of the State of Connecticut 

174 SUPERIOR COURT–GENERAL PROVISIONS Sec. 3-9 same party or parties has been entered. An appli- in place of or in addition to the appearance or cation for withdrawal in accordance with this sub- appearances already on file. section shall state that such an appearance has (b) An attorney is permitted to file an appear- been entered and that such party or parties are ance limited to a specific event or proceeding in being represented by such other counsel at the any family or civil case. If an event or proceeding time of the application. Such an application may in a matter in which a limited appearance has be granted by the clerk as of course, if such an been filed has been continued to a later date, for appearance by other counsel has been entered. any reason, it is not deemed completed unless (c) In addition to the grounds set forth in subsec- otherwise ordered by the court. Except with leave tions (a), (b), and (d), a lawyer who represents a of court, a limited appearance may not be filed to party or parties on a limited basis in accordance address a specific issue or to represent the client with Section 3-8 (b) and has completed his or her at or for a portion of a hearing. A limited appear- representation as defined in the limited appear- ance may not be limited to a particular length of ance, shall file a certificate of completion of limited time or the exhaustion of a fee. Whenever an appearance on Judicial Branch form JD-CL-122. attorney files a limited appearance for a party, the The certificate shall constitute a full withdrawal of limited appearance shall be filed in addition to any a limited appearance. Copies of the certificate self-represented appearance that the party may must be served in accordance with Sections 10- have already filed with the court. Upon the filing 12 through 10-17 on the client, and all attorneys of the limited appearance, the client may not file or and self-represented parties of record. serve pleadings, discovery requests or otherwise (d) All appearances of counsel shall be deemed represent himself or herself in connection with to have been withdrawn 180 days after the entry the proceeding or event that is the subject of the of judgment in any action seeking a dissolution limited appearance. An attorney shall not file a of marriage or civil union, annulment, or legal sep- limited appearance for a party when filing a new aration, provided no appeal shall have been action or during the pendency of an action if there taken. In the event of an appeal or the filing of a is no appearance on file for that party, unless the motion to open a judgment within such 180 days, party for whom the limited appearance is being all appearances of counsel shall be deemed to filed files an appearance in addition to the attor- have been withdrawn after final judgment on such ney's limited appearance at the same time. A lim- appeal or motion or within 180 days after the entry ited appearance may not be filed on behalf of a of the original judgment, whichever is later. Noth- firm or corporation. A limited appearance may not ing herein shall preclude or prevent any attorney be filed in criminal or juvenile cases. from filing a motion to withdraw with leave of the (c) The provisions of this section regarding par- court during that period subsequent to the entry of ties filing appearances for themselves do not judgment. In the absence of a specific withdrawal, apply to criminal cases. counsel will continue of record for all postjudg- (P.B. 1978-1997, Sec. 65.) (Amended June 15, 2012, to ment purposes until 180 days have elapsed from take effect Jan. 1, 2013; amended June 14, 2013, to take the entry of judgment or, in the event an appeal effect Oct. 1, 2013; amended June 12, 2015, to take effect or a motion to open a judgment is filed within such Jan. 1, 2016.) 180 day period, until final judgment on that appeal or determination of that motion, whichever is later. Sec. 3-9. Withdrawal of Appearance; Dura- (e) Except as provided in subsections (a), (b), tion of Appearance (c) and (d), no attorney shall withdraw his or her (a) An attorney or party whose appearance has appearance after it has been entered upon the been filed shall be deemed to have withdrawn record of the court without the leave of the court. such appearance upon the filing of a new appear- (f) All appearances in juvenile matters shall be ance that is stated to be in place of the appear- deemed to continue during the period of delin- ance on file in accordance with Section 3-8. quency probation, family with service needs Appropriate entries shall be made in the court supervision, or any commitment to the Commis- file. An attorney or party whose appearance is sioner of the Department of Children and Families deemed to have been withdrawn may file an or protective supervision. An attorney appointed appearance for the limited purpose of filing an by the chief public defender to represent a parent objection to the in place of appearance at any in a pending neglect or uncared for proceeding time. shall continue to represent the parent for any sub- (b) An attorney may withdraw his or her appear- sequent petition to terminate parental rights if the ance for a party or parties in any action after the attorney remains under contract to the Office of appearance of other counsel representing the the Chief Public Defender to represent parties in 167 Copyrighted by the Secretary of the State of the State of Connecticut 

175 SUPERIOR COURT–GENERAL PROVISIONS Sec. 3-9 child protection matters, the parent appears at an appearance on his or her own behalf with the the first hearing on the termination petition and court and be further advised that if none is done, qualifies for appointed counsel, unless the attor- there may be no further notice of proceeding and ney files a motion to withdraw pursuant to Section the court may act. 3-10 that is granted by the judicial authority or the (d) In addition to the above, each motion to parent requests a new attorney. The attorney shall withdraw appearance and each notice to the party represent the client in connection with appeals, or parties who are the subject of the motion shall subject to Section 35a-20, and with motions for state whether the case has been assigned for pre- review of permanency plans, revocations or post- trial or trial and, if so, the date so assigned. judgment motions and shall have access to any (e) The attorney's appearance for the party shall documents filed in court. The attorney for the child be deemed to have been withdrawn upon the shall continue to represent the child in all proceed- granting of the motion without the necessity of ings relating to the child, including termination of filing a withdrawal of appearance. (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.) take effect Jan. 1, 2007; amended June 30, 2008, to take effect Jan. 1, 2009; amended June 21, 2010, to take effect Sec. 3-11. Appearance for Several Parties Jan. 1, 2011; amended June 15, 2012, to take effect Jan. 1, 2013; amended June 14, 2013, to take effect Oct. 1, 2013; Where there are several plaintiffs or defend- amended June 24, 2016, to take effect Jan. 1, 2017.) 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- Sec. 3-12. Change in Name, Composition or able notice has been given to other attorneys of Membership of a Firm or Professional Cor- record and that the party represented by the attor- poration ney was served with the motion and the notice 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, in writing, the director of court operations of the (b) In civil and family cases, a motion to with- Judicial Branch, giving the name, mailing address draw shall include the last known address of any and telephone number of the successor firm, pro- party as to whom the attorney seeks to withdraw fessional corporation or individual who will con- his or her appearance and shall have attached to tinue the major portion of such unit's business. In it a notice to such party advising of the following: court locations having access to the automated (1) the attorney is filing a motion which seeks the roll of attorneys, upon receipt of such notice the court's permission to no longer represent the party appearance of such successor will be automati- in the case; (2) the date and time the motion will cally entered in lieu of the appearance of the for- be heard; (3) the party may appear in court on mer unit in all pending cases. In other court that date and address the court concerning the locations, unless such successor unit files a notice motion; (4) if the motion to withdraw is granted, to the clerks pursuant to Section 2-26 or withdraws the party should either obtain another attorney or its appearance under the provisions of Section file an appearance on his or her own behalf with 3-10, the former unit's original appearance shall the court; and (5) if the party does neither, the remain on file in each case in which it had been party will not receive notice of court proceedings entered and the clerk may rely on the information in the case and a nonsuit or default judgment may contained therein for the purpose of giving notice be rendered against such party. to such unit regarding court activities involving the (c) In criminal and juvenile matters, the motion cases in which the unit remains active. to withdraw shall comply with subsections (b) (1), (b) In each case where such successor will no (2) and (3) of this section and the client shall also longer represent the party or parties for whom the be advised by the attorney that if the motion to original unit had entered an appearance, it is the withdraw is granted the client should request court duty of the new attorney who will represent such appointed counsel, obtain another attorney or file 168 Copyrighted by the Secretary of the State of the State of Connecticut 

176 SUPERIOR COURT–GENERAL PROVISIONS Sec. 3-17 (1) be an attorney who has been admitted to party or parties to enter an appearance, and it is 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 creditor shall not be liable for the same; if judg- under this section who has completed less than ment is rendered in favor of the defendant, costs two semesters of credit or the equivalent to enable shall be taxed in his or her favor against the plain- that student to participate in a faculty supervised tiff, but the judicial authority may order that the law school clinical program; judgment and execution therefor shall belong to (3) be certified by the dean of his or her law such creditor. No creditor so appearing shall be school as being of good character and competent permitted to file a motion to dismiss, or to plead legal ability; or give in evidence the statute of limitations, or to (4) be introduced to the court in which he or she plead that the contract was not in writing according is appearing by an attorney admitted to practice to the requirements of the statute, or to plead any in that court; other statutory defense consistent with the justice (5) comply with the provisions of Section 3- of the plaintiff's claim. (See General Statutes ß 52- 21 if enrolled in a law school outside the state 86 and annotations.) of Connecticut. (P.B. 1978-1997, Sec. 79.) (b) A legal intern may not be employed or com- Sec. 3-14. Legal Interns pensated directly by a client for services rendered. This section shall not prevent an attorney, legal An eligible legal intern may, under supervision aid bureau, law school, public defender agency by a member of the Connecticut bar as provided or the state from compensating an eligible intern. in Section 3-15, appear in court with the approval (P.B. 1978-1997, Sec. 70.) (Amended June 28, 1999, to of the judicial authority or before an administrative take effect Jan. 1, 2000; amended June 22, 2009, to take tribunal, subject to its permission, on behalf of any effect Jan. 1, 2010.) person, if that person has indicated in writing his or her consent to the intern's appearance and the Sec. 3-17. –Activities of Legal Intern supervising attorney has also indicated in writing (a) In each case where a legal intern appears approval of that appearance. in court or before an administrative tribunal, the (P.B. 1978-1997, Sec. 68.) written consent and approval referred to in Section Sec. 3-15. –Supervision of Legal Interns 3-14 shall be filed in the record of the case and shall be brought to the attention of the judicial The member of the bar under whose supervi- authority or the presiding officer of the administra- sion an eligible legal intern does any of the things permitted by these rules shall: tive tribunal. 169 Copyrighted by the Secretary of the State of the State of Connecticut 

177 SUPERIOR COURT–GENERAL PROVISIONS Sec. 3-17 (b) In addition to appearing in court or before It is not necessary that the notice to the Superior an administrative tribunal, an intern may, under Court state the cause for termination. the supervision of a member of the bar: (4) may be terminated by the Superior Court at any time upon notice to the intern, to the dean (1) prepare pleadings and other documents to and to the Superior Court in Hartford. be filed in any matter; (P.B. 1978-1997, Sec. 72.) (2) prepare briefs, abstracts and other doc- uments. Sec. 3-19. –Legal Internship Committee (c) Each document or pleading must contain [Repealed as of Jan. 1, 2019.] the name of the intern who participated in drafting HISTORY–2019: Prior to 2019, this section read: ``There it and must be signed by the supervising attorney. shall be established a legal internship committee appointed by (P.B. 1978-1997, Sec. 71.) (Amended June 15, 2018, to the chief justice and composed of four judges, four practicing take effect Jan. 1, 2019.) attorneys, three law professors, and three law students. This HISTORY–2019: Prior to 2019, this section read: ``(a) The committee shall consult with the deans of law schools located legal intern, supervised in accordance with these rules, may in Connecticut, review the progress of the legal internship appear in court or at other hearings in the following situations: program, and consider any complaints or suggestions regard- ``(1) where the client is financially unable to afford coun- ing the program. sel; or ``(P.B. 1978-1997, Sec. 73.)'' COMMENTARY–2019: The repeal of this section is in ``(2) where the intern is assisting a privately retained attor- recognition of and deference to the Experiential Learning Pro- ney; or gram managed by the External Affairs Division of the Judicial ``(3) where the intern is assisting an established legal aid Branch, which provides internship opportunities for law stu- bureau or organization, a public defender or prosecutor's dents, as well as graduate and undergraduate students. office, or a state agency. ``(b) In each case, the written consent and approval referred Sec. 3-20. –Unauthorized Practice to in Section 3-14 shall be filed in the record of the case and Nothing contained in these rules shall affect the shall be brought to the attention of the judicial authority or the presiding officer of the administrative tribunal. right of any person who is not admitted to the ``(c) In addition, an intern may, under the supervision of a practice of law to do anything that he or she might member of the bar: lawfully do prior to their adoption, nor shall they ``(1) prepare pleadings and other documents to be filed in enlarge the rights of persons, not members of the any matter; bar or legal interns covered by these rules, to ``(2) prepare briefs, abstracts and other documents. engage in activities customarily considered to be ``(d) Each document or pleading must contain the name of the practice of law. the intern who participated in drafting it and must be signed (P.B. 1978-1997, Sec. 74.) by the supervising attorney.'' COMMENTARY–2019: The change to this section makes Sec. 3-21. –Out-of-State Interns it consistent with the general grant of authority given to legal interns in Section 3-14. A legal intern who is certified under a legal internship program or student practice rule in Sec. 3-18. –Certification of Intern another state or in the District of Columbia may The certification of an intern by the law appear in a court or before an administrative tribu- school dean: nal of Connecticut under the same circumstances (1) shall be filed with the clerk of the Superior and on the same conditions as those applicable Court in Hartford and, unless it is sooner with- to certified Connecticut legal interns, if the out-of- drawn, shall remain in effect until the announce- state intern files with the clerk of the Superior ment of the results of the second Connecticut bar Court in Hartford a certification by the dean of examination following the intern's graduation. For his or her law school of his or her admission to any intern who passes that examination, the certi- internship or student practice in that state or in the District of Columbia, together with the text of fication shall continue in effect until the date of that state's or the District of Columbia's applicable admission to the bar. statute or rule governing such admissions. (2) shall terminate if the intern, prior to gradua- (P.B. 1978-1997, Sec. 75.) (Amended June 15, 2018, to tion, is no longer duly enrolled in an accredited take effect Jan. 1, 2019.) law school. HISTORY–2019: In 2019, ``, with a copy to the legal intern- (3) may be terminated by the dean at any time ship committee,'' was deleted following ``Hartford.'' by mailing a notice to that effect to the clerk of COMMENTARY–2019: The change to this section is con- the Superior Court in Hartford and to the intern. sistent with the repeal of Section 3-19. 170 Copyrighted by the Secretary of the State of the State of Connecticut 

178 SUPERIOR COURT–GENERAL PROVISIONS Sec. 4-4 CHAPTER 4 PLEADINGS Sec. Sec. Page Limitations for Briefs, Memoranda of Law and 4-6. Form of Pleading 4-1. Reply Memoranda 4-2. Signing of Pleading 4-7. Personal Identifying Information To Be Omitted or Redacted from Court Records in Civil and Family Filing and Endorsing Pleadings 4-3. Matters Electronic Filing 4-4. Notice of Complaint or Action Filed Against Judicial 4-8. 4-5. Notice Required for Ex Parte Temporary Injunctions Authority For previous Histories and Commentaries see the editions of the Practice Book corresponding to the years of the previous amendments. Sec. 4-1. Form of Pleading individual name. A party who is not represented by an attorney shall sign his or her pleadings and (a) All documents filed in paper format shall be 1 other papers. The name of the attorney or party typed or printed on size 8 by 11 inch paper, shall / 2 who signs such document shall be legibly typed have no back or cover sheet, and shall include a or printed beneath the signature. page number on each page other than the first (b) The signing of any pleading, motion, objec- page. Those subsequent to the complaint shall tion or request shall constitute a certificate that be headed with the title and number of the case, the signer has read such document, that to the the name of the court, and the date and designa- best of the signer's knowledge, information and tion of the particular pleading, in conformity with belief there is good ground to support it, that it is the applicable form in the rules of practice which not interposed for delay, and that the signer has is set forth in the Appendix of Forms in this volume. complied with the requirements of Section 4-7 (b) At the bottom of the first page of each paper, regarding personal identifying information. Each a blank space of approximately two inches shall pleading and every other court-filed document be reserved for notations of receipt or time of signed by an attorney or party shall set forth the filing by the clerk and for statements by counsel signer's telephone number and mailing address. pursuant to Section 11-18 (a) (2). Papers shall be (c) An attorney may assist a client in preparing punched with two holes, two and twelve-six- a pleading, motion or other document to be signed teenths inches apart, each centered seven-six- and filed in court by the client. In such cases, the teenths of an inch from the upper edge, one being attorney shall insert the notation ``prepared with two and fourteen-sixteenths inches from the left- assistance of counsel'' on any pleading, motion hand edge and the other being the same distance or document prepared by the attorney. The attor- from the right-hand edge, and each four-six- ney is not required to sign the pleading, motion teenths of an inch in diameter. or document and the filing of such a pleading, (c) All documents filed electronically shall be motion or document shall not constitute an in substantially the same format as required by appearance by the attorney. subsection (a) of this section. (P.B. 1978-1997, Sec. 119.) (Amended June 22, 2009, to (d) The clerk may require a party to correct any take effect Jan. 1, 2010; amended June 14, 2013, to take filed paper which is not in compliance with this effect Oct. 1, 2013.) section by substituting a paper in proper form. Sec. 4-3. Filing and Endorsing Pleadings (e) This section shall not apply to forms supplied All pleadings, written motions, and papers in by the Judicial Branch or generated by the elec- pending cases shall be filed with and kept by the tronic filing system. clerk of the court, who shall endorse upon each (P.B. 1978-1997, Sec. 118.) (Amended Aug. 24, 2001, to the time when it is filed, and make a like entry take effect Jan. 1, 2002; amended June 20, 2011, to take effect Jan. 1, 2012; amended June 13, 2014, to take effect upon the clerk's docket and the file. Jan. 1, 2015.) (P.B. 1978-1997, Sec. 127.) Sec. 4-2. Signing of Pleading Sec. 4-4. Electronic Filing (a) Every pleading and other paper of a party Papers may be filed, signed or verified by elec- represented by an attorney shall be signed by tronic means that comply with procedures and technical standards established by the Office of at least one attorney of record in the attorney's 171  Copyrighted by the Secretary of the State of the State of Connecticut

179 SUPERIOR COURT–GENERAL PROVISIONS Sec. 4-4 the Chief Court Administrator, which may also set Sec. 4-6. Page Limitations for Briefs, Memo- randa of Law and Reply Memoranda forth the manner in which such papers shall be kept by the clerk. A paper filed by electronic (Amended June 12, 2015, to take effect Jan. 1, 2016.) means in compliance with such procedures and (a) The text of any trial brief or any other brief standards constitutes a written paper for the pur- concerning a motion in any case shall not exceed pose of applying these rules. thirty-five pages without permission of the judicial (Adopted June 29, 1998, to take effect Jan. 1, 1999; authority. The judicial authority may also permit amended June 30, 2008, to take effect Jan. 1, 2009.) the filing of a supplemental brief of a particular number of pages. The text of any brief shall be Sec. 4-5. Notice Required for Ex Parte Tem- double-spaced and the type font shall be no porary Injunctions smaller than 12 point. The judicial authority may (a) No temporary injunction shall be granted in its discretion limit the number of pages of any without notice to each opposing party unless the brief to less than thirty-five. applicant certifies one of the following to the court (b) Any reply memorandum filed pursuant to in writing: Section 11-10 (b) shall not exceed ten pages with- (1) facts showing that within a reasonable time out the permission of the judicial authority. (Adopted June 26, 2000, to take effect Jan. 1, 2001; prior to presenting the application the applicant amended June 12, 2015, to take effect Jan. 1, 2016.) gave notice to each opposing party of the time when and the place where the application would Sec. 4-7. Personal Identifying Information be presented and provided a copy of the applica- To Be Omitted or Redacted from Court tion; or Records in Civil and Family Matters (2) the applicant in good faith attempted but (a) As used in this section, ``personal identifying was unable to give notice to an opposing party or information'' means: an individual's date of birth; parties, specifying the efforts made to contact mother's maiden name; motor vehicle operator's such party or parties; or license number; Social Security number; other (3) facts establishing good cause why the appli- government issued identification number except cant should not be required to give notice to each for juris, license, permit or other business related opposing party. identification numbers that are otherwise made (b) When an application for a temporary injunc- available to the public directly by any government tion is granted without notice or without a hearing, agency or entity; health insurance identification the court shall schedule an expeditious hearing number; or any financial account number, security as to whether the temporary injunction should code or personal identification number (PIN). For remain in effect. Any temporary injunction which purposes of this section, a person's name is spe- was granted without a hearing shall automatically cifically excluded from this definition of personal expire thirty days following its issuance, unless identifying information unless the judicial authority the court, following a hearing, determines that said has entered an order allowing the use of a pseud- injunction should remain in effect. onym in place of the name of a party. If such an (c) For purposes of this rule, notice to the order has been entered, the person's name is opposing party means notice to the opposing par- included in this definition of ``personal identi- ty's attorney if the applicant knows who the oppos- fying information.'' ing party's attorney is; if the applicant does not (b) Persons who file documents with the court know who the opposing party's attorney is, notice shall not include personal identifying information, shall be given to the opposing party. If the tempo- and if any such personal identifying information rary injunction is sought against the state of Con- is present, shall redact it from any documents filed necticut, a city or town, or an officer or agency with the court, whether filed in electronic or paper thereof, notice shall be given to the attorney gen- format, unless otherwise required by law or eral or to the city or town attorney or corporation ordered by the court. The party filing the redacted counsel, as the case may be. documents shall retain the original unredacted documents throughout the pendency of the action, (d) This section shall not apply to applications any appeal period, and any applicable appellate for relief from physical abuse filed pursuant to process. General Statutes ß 46b-15 or to motions for orders (c) The responsibility for omitting or redacting of temporary custody in juvenile matters filed pur- personal identifying information rests solely with suant to General Statutes ß 46b-129. the person filing the document. The court or the (Adopted June 26, 2000, to take effect Jan. 1, 2001.) 172 Copyrighted by the Secretary of the State of the State of Connecticut 

180 SUPERIOR COURT–GENERAL PROVISIONS Sec. 4-8 other attorneys and parties of record in any matter clerk of the court need not review any filed docu- pending before the judicial authority or, if the attor- ment for compliance with this rule. ney or party has no matter pending before the (Adopted June 22, 2009, to take effect Jan. 1, 2010; amended June 21, 2010, to take effect Jan. 1, 2011; amended judicial authority, shall mail such notice by certified June 15, 2012, to take effect Jan. 1, 2013; amended June 12, mail, return receipt requested or with electronic 2015, to take effect Jan. 1, 2016.) delivery confirmation, to the judicial authority at the location at which such judicial authority is Sec. 4-8. Notice of Complaint or Action Filed assigned. Against Judicial Authority (Adopted June 15, 2018, to take effect Jan. 1, 2019.) COMMENTARY–2019: The purpose of this new section An attorney or party who has filed a complaint and the amendments to Section 1-22 and to Rule 2.11 of the with the Judicial Review Council or an administra- Code of Judicial Conduct is to place an affirmative obligation on the attorneys and parties who have filed a complaint or an tive agency or has filed an action against any action against a judicial authority to give notice of those filings judicial authority other than a small claims magis- so that the judicial authority is alerted and can proceed in trate, shall give notice of the filing of such com- accordance with his or her ethical and procedural responsi- plaint or action to the judicial authority and to all bilities. 173  Copyrighted by the Secretary of the State of the State of Connecticut

181 SUPERIOR COURT–GENERAL PROVISIONS Sec. 5-1 CHAPTER 5 TRIALS Sec. Sec. 5-1. Trial Briefs 5-9. Citation of Opinion Not Officially Published Raising Questions of Law Which May Be the Subject 5-2. [Repealed] of an Appeal Sanctions for Counsel's Failure To Appear 5-10. Administering Oath 5-3. 5-11. Testimony of Party or Child in Family Relations Matter 5-4. Examination of Witnesses When Protective Order, Restraining Order, Stand- Objections to Evidence; Interlocutory Questions; 5-5. 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 Marking Exhibits 5-7. Interlocutory Matters 5-8. For previous Histories and Commentaries see the editions of the Practice Book corresponding to the years of the previous amendments. Sec. 5-1. Trial Briefs Sec. 5-5. Objections to Evidence; Interlocu- tory Questions; Exceptions Not Required The parties shall, if the judicial authority so Whenever an objection to the admission of evi- orders, file, at such time as the judicial authority dence is made, counsel shall state the grounds shall determine, written trial briefs discussing the upon which it is claimed or upon which objection issues in the case and the factual or legal basis is made, succinctly and in such form as he or upon which they ought to be resolved. (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 such objection or upon any interlocutory question Sec. 5-2. Raising Questions of Law Which arising during the trial of a case shall not be made May Be the Subject of an Appeal 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 Sec. 5-6. Reception of Evidence Objected to the question distinctly to the judicial authority on the record before such party's closing argument Whenever evidence offered upon trial is objected to as inadmissible, the judicial authority and within sufficient time to give the opposing or committee trying such case shall not admit such counsel an opportunity to discuss the question. If evidence subject to the objection, unless both par- the party fails to do this, the judicial authority will ties agree that it be so admitted; but, if either party be under no obligation to decide the question. (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 ß 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 Sec. 5-7. Marking Exhibits whom it was administered. (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. (P.B. 1978-1997, Sec. 291.) tion, must alone conduct it; and no associate counsel will be permitted to interrogate the wit- Sec. 5-8. Interlocutory Matters ness, except by permission of the judicial No more than one counsel on each side shall authority. (P.B. 1978-1997, Secs. 287, 875.) be heard on any question of evidence, or upon any 174  Copyrighted by the Secretary of the State of the State of Connecticut

182 SUPERIOR COURT–GENERAL PROVISIONS Sec. 5-11 interlocutory motion or motion to dismiss, without required by law and within available resources, upon motion of any party, order that the testimony permission of the judicial authority. (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 behalf of the party or child, and the other party is Sec. 5-10. Sanctions for Counsel's Failure subject to the protective order or restraining order. To Appear 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 ß 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 court shall provide for the administration of an Sec. 5-11. Testimony of Party or Child in oath to such party or child prior to the taking of Family Relations Matter When Protective such testimony as required by law. Order, Restraining Order, Standing Criminal (b) Nothing in this section shall be construed to Protective Order or Standing Criminal limit any party's right to cross-examine a witness Restraining Order issued on Behalf of Party whose testimony is taken pursuant to an order or Child under subsection (a) hereof. (Amended June 20, 2011, to take effect Jan. 1, 2012.) (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 ß 46b-1, the family relations matter. or in any proceeding pursuant to General Statutes (Adopted June 21, 2010, to take effect Jan. 1, 2011; amended June 20, 2011, to take effect Jan. 1, 2012.) ß 46b-38c, the court may, except as otherwise 175  Copyrighted by the Secretary of the State of the State of Connecticut

183 SUPERIOR COURT–GENERAL PROVISIONS Sec. 6-1 CHAPTER 6 JUDGMENTS Sec. Sec. –Signing of Judgment File 6-1. 6-4. Statement of Decision; When Required Judgment Files; Captions and Contents –Notation of Satisfaction 6-5. 6-2. –Preparation; When; By Whom; Filing 6-3. For previous Histories and Commentaries see the editions of the Practice Book corresponding to the years of the previous amendments. shall file a brief with the trial court discussing the Sec. 6-1. Statement of Decision; When legal and factual issues in the matter. Within Required twenty days after the briefs have been filed by (a) The judicial authority shall state its decision the parties, the judicial authority shall file a written either orally or in writing, in all of the following: memorandum of decision stating the factual basis (1) in rendering judgments in trials to the court in for its decision on the issues in the matter and civil and criminal matters, including rulings regard- its conclusion as to each claim of law raised by ing motions for stay of execution, (2) in ruling the parties. on aggravating and mitigating factors in capital (P.B. 1978-1997, Sec. 334A.) (Amended June 28, 1999, penalty hearings conducted to the court, (3) in to take effect Jan. 1, 2000.) 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 ß 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. Sec. 6-3. –Preparation; When; By Whom; This section does not apply in small claims Filing actions and to matters listed in subsection (b). (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 those instances where judgment is entered in (c) Within twenty days from the filing of an such cases pursuant to Section 14-3 and no appeal from a contested pendente lite order or appeal has been taken from the judicial authority's from a dismissal under Section 14-3 in which an judgment; (4) a judgment has been entered in a oral or written decision has not been made pursu- ant to subsection (b), each party to the appeal juvenile matter involving allegations that a child 176 Copyrighted by the Secretary of the State of the State of Connecticut 

184 SUPERIOR COURT–GENERAL PROVISIONS Sec. 6-5 hereby certify that the foregoing judgment file con- has been neglected, abused, or uncared for, or forms to the judgment entered by the court"; the involving termination of parental rights, commit- clerk or assistant clerk, after ascertaining that the ment of a delinquent child or commitment of a terms of the judgment have been correctly incor- child from a family with service needs; (5) in crimi- porated into the judgment file, may sign any judg- nal cases, sentence review is requested; or (6) ment file so endorsed. ordered by the judicial authority. (c) In those cases in which there is no provision (b) Unless otherwise ordered by the judicial in this section for a clerk to sign a judgment file authority, the judgment file in juvenile cases shall and in which a case has been tried and judgment be prepared by the clerk and in all other cases, has been directed in open court or by memoran- in the clerk's discretion, by counsel or the clerk. dum of decision and the trial judge shall die or As to judgments of foreclosure, the clerk's office become incapacitated before the judgment file is shall prepare a certificate of judgment in accord- signed, any judge holding such court may exam- ance with a form prescribed by the chief court ine the docket and file and, if it appears therefrom administrator only when requested in the event that the issues have been definitely decided and of a redemption. In those cases in which a plaintiff that the only thing remaining to be done is the has secured a judgment of foreclosure under signing of the judgment file, the judgment file may authority of General Statutes ß 49-17, when be drawn up by that judge or under that judge's requested, the clerk shall prepare a decree of direction and signed by him or her. foreclosure in accordance with a form prescribed (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.) effect Jan. 1, 2013; amended June 13, 2014, to take effect Sec. 6-5. –Notation of Satisfaction Jan. 1, 2015.) When the judgment is satisfied in a civil action, Sec. 6-4. –Signing of Judgment File the party recovering the judgment shall file written notice thereof with the clerk, who shall endorse (a) Except as hereinafter provided, the judg- judgment satisfied on the judgment file, if there is ment file, where it is necessary that it be prepared one, and make a similar notation on the file and pursuant to Section 6-3, shall be signed by the docket sheet, giving the name of the party and clerk or assistant clerk unless otherwise ordered the date. An execution returned fully satisfied shall by the judicial authority. be deemed a satisfaction of judgment and the (b) In all actions involving dissolution of mar- notice required in this section shall not be filed. riage or civil union where counsel have appeared The judicial authority may, upon motion, make a for both the plaintiff and the defendant, unless the determination that the judgment has been sat- judicial authority shall order otherwise, counsel isfied. for the parties shall endorse their approval of the (P.B. 1978-1997, Sec. 339.) (Amended June 25, 2001, to judgment file immediately below the line for the take effect Jan. 1, 2002; amended June 30, 2003, to take effect Jan. 1, 2004.) subscribing authority in the following words: "I 177 Copyrighted by the Secretary of the State of the State of Connecticut 

185 SUPERIOR COURT–GENERAL PROVISIONS Sec. 7-1 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 –Actions Affecting the Title to Land 7-12. 7-3. Financial Accounts –Criminal/Motor Vehicle Files and Records 7-13. Daybook 7-4. 7-14. –Reports from Adult Probation and Family Division Identification of Cases 7-4A. –Retention Ordered by Chief Court Administrator; 7-15. Motion To File Record under Seal 7-4B. Transfer to State Library Lodging a Record 7-4C. 7-16. –Motion To Prevent Destruction of File 7-5. Notice To Attorneys and Self-Represented Parties Clerks' Offices 7-17. 7-6. Filing of Papers Hospital, Psychiatric and Medical Records 7-18. Custody of Files 7-7. 7-19. Issuing Subpoenas for Witnesses on Behalf of Self- 7-8. Lost File or Pleading Represented Litigants 7-9. Completing Records Records of Short Calendar Matters 7-20. 7-10. Retention and Destruction of Files and Records; Removing Exhibits and Other Papers 7-21. Withdrawals, of Dismissals, Satisfactions Judgment For previous Histories and Commentaries see the editions of the Practice Book corresponding to the years of the previous amendments. Sec. 7-4. Daybook Sec. 7-1. Dockets; Clerk's Records The clerk shall keep daybooks in which to enter The clerk shall keep a record of all pending each case on the date upon which the matter is cases, including applications and petitions made filed on a docket of the court location. Each entry to the court, together with a record of each paper shall state the first named plaintiff and the first filed and order made or judgment rendered named defendant, unless otherwise prohibited by therein, with the date of such filing, making or statute or ordered by the judicial authority, the rendition. Duplicates of these records shall be date of filing and the number assigned to the case. kept with the original file in the case. Daybooks shall be retained for a period deter- (P.B. 1978-1997, Sec. 250.) 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 Except as otherwise required by statute, every all proceedings required to be recorded, have the case filed in the Superior Court shall be identified custody of the files and records of the court loca- as existing in the records of the court by docket tion except those sent to the records center, make number and by the names of the parties, and this and certify true copies of the files and records at information shall be available to the public. the court location of which each is the clerk, make (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 any member of the public who shall request such information. shall collect and receive all fines and forfeitures The names of the parties reflected in the records of the clerk's imposed or decreed by the court, including fines 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 ß 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 Sec. 7-4B. Motion To File Record under Seal The clerk shall make and keep adequate (a) As used in this section, ``record'' means any accounts showing all receipts and disbursements. affidavit, document, or other material. Records of such accounts shall be retained for (b) A party filing a motion requesting that a such period as determined by the chief court record be filed under seal or that its disclosure administrator. be limited shall lodge the record with the court (P.B. 1978-1997, Sec. 396.) 178  Copyrighted by the Secretary of the State of the State of Connecticut

186 SUPERIOR COURT–GENERAL PROVISIONS Sec. 7-7 (e) If the judicial authority grants the motion to pursuant to Section 7-4C when the motion is filed, 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) on the envelope or container in bold letters the return the lodged record to the submitting party words ``Motion Denied, Retain as Lodged and shall not place it in the court file or (2) upon Record'' and shall affix to the envelope or con- written request of the submitting party retain the tainer a copy of the court's order and the public record as a lodged record so that in the event the redacted version of the motion. submitting party appeals the denial of the motion, (Adopted May 14, 2003, to take effect July 1, 2003.) the lodged record can be part of the record on appeal of the final judgment in the case. In the Sec. 7-5. Notice to Attorneys and Self-Rep- latter event or if the judicial authority grants the resented Parties motion, the clerk shall follow the procedure set The clerk shall give notice, by mail or by elec- forth in Section 7-4C (e). If the lodged record is 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 amended June 21, 2004, to take effect Jan. 1, 2005.) the court file the date of the issuance of the notice. COMMENTARY–2003: Sections 7-4B and 7-4C are nec- (P.B. 1978-1997, Sec. 398.) (Amended June 20, 2011, to essary to provide a uniform procedure for the filing of motions take effect Jan. 1, 2012.) to seal records and the processing of such motions by the clerks. These rules are based on Rule 243.2 of the California Rules of Court. Sec. 7-6. Filing of Papers HISTORY–2005: In 2005, the words ``or limited disclosure'' No document in any case shall be filed by the were added to the end of subsection (b). clerk unless it has been signed by counsel or a COMMENTARY–2005: The above change made the rule 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 Clerks will not permit files, records, transcripts, affix to the envelope or container a cover sheet or exhibits to be taken from their offices, except that contains the case caption and docket number, for use in the courtroom or upon order of a judicial the words ``Conditionally Under Seal,'' the name authority. No person shall take any file from the of the party submitting the record and a statement custody of the clerk or from the courtroom without that the enclosed record is subject to a motion to the express authority of a judicial authority or a file the record under seal. clerk of the court and unless a proper receipt is (d) Upon receipt of a record lodged under this given to the clerk on a form prescribed by the section, the clerk shall note on the affixed cover sheet the date of its receipt and shall retain but Office of the Chief Court Administrator. (P.B. 1978-1997, Sec. 400.) not file the record unless the court orders it filed. 179 Copyrighted by the Secretary of the State of the State of Connecticut 

187 Sec. 7-8 SUPERIOR COURT–GENERAL PROVISIONS Sec. 7-8. Lost File or Pleading (7) The judgment file or notation of the entry of judgment, and all modifications of judgment; If any file or pleading be mislaid, lost or (8) All executions issued and returned. destroyed the clerk may permit the original dupli- (c) Upon the expiration of the stripping date, or cate or a sworn copy to be substituted therefor in at any time if facilities are not available for local the files, and such substitution shall be certified retention, the file in any action set forth in subsec- by the clerk thereon. tion (d) may be transferred to the records center (P.B. 1978-1997, Sec. 402.) or other proper designated storage area, where Sec. 7-9. Completing Records it shall be retained for the balance of the retention period. Files in actions concerning dissolution of The clerk may, when so directed by a judicial marriage or civil union, legal separation, or annul- authority, make up, amend and complete any ment may, upon agreement with officials of the imperfect or unfinished record in such manner state library, be transferred to the state library at as the judicial authority may direct. (See General the expiration of their retention period. Statutes ß 51-52a (b).) (d) The following is a schedule which sets forth (P.B. 1978-1997, Sec. 403.) when a file may be stripped and the length of Sec. 7-10. Retention and Destruction of time the file shall be retained. The time periods Files and Records; Withdrawals, Dismiss- indicated herein shall run from the date judgment als, Satisfactions of Judgment is rendered, except receivership actions or actions for injunctive relief, which shall run from the date The files in all civil, family and juvenile actions, of the termination of the receivership or injunction. including summary process and small claims, which, before a final judgment has been rendered on the issues, have been terminated by the filing Type of Case Stripping Retention of a withdrawal or by a judgment of dismissal or Date Date 3 years (1) Administrative appeals nonsuit when the issues have not been resolved on the merits or upon motion by any party or the 20 years (2) Contracts (where money dam- 1 year court, or in which judgment for money damages ages are not awarded) only has been rendered and a full satisfaction of Eminent domain (except as 10 years (3) 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 Until subject is 25 -Delinquency Sec. 7-11. –Judgments on the Merits– years of age Stripping and Retention Until subject is 25 -Family with service needs 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- 75 years -Neglect and uncared for 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 ß 46b-15) pursuant to the schedule set forth in subsection 75 years -Other (d), except that requests relating to discovery, responses and objections thereto may be stripped Family support magistrate 75 years (5) matters after the expiration of the appeal period. 75 years -Uniform Reciprocal Enforce- (b) When a file is to be stripped, all papers in ment of Support the file shall be destroyed except: -Uniform Interstate Family Sup- 75 years (1) The complaint, including any amendment port Act thereto, substituted complaint or amended com- (6) Landlord/Tenant plaint; 3 years -Summary process (2) All orders of notice, appearances and offi- -Housing code enforcement 5 years (General Statutes ß 47a-14h) cers' returns; 20 years 1 year -Contracts/Leases (where (3) All military or other affidavits; money damages are not (4) Any cross complaint, third-party complaint, awarded) or amendment thereto; 1 year 26 years -Money damages (except where a satisfaction of judg- (5) All responsive pleadings; ment has been filed) (6) Any memorandum of decision; 180  Copyrighted by the Secretary of the State of the State of Connecticut

188 SUPERIOR COURT–GENERAL PROVISIONS Sec. 7-13 (7) Miscellaneous arrest warrant and original affidavit in support of -Bar discipline 50 years probable cause, the misdemeanor/motor vehicle 1 year -Money damages (except 26 years summons, prosecutorial summons or the com- where a satisfaction of judg- plaint ticket, (2) the uniform arrest report, (3) the ment has been filed) -Mandamus, habeas corpus, 10 years information or indictment and any substitute infor- arbitration, petition for new trial, mation, (4) a written plea of nolo contendere, (5) action for an accounting, inter- documents relating to programs for adjudication pleader and treatment as a youthful offender, programs 5 years -Injunctive relief (where no relating to family violence education, community other relief is requested) service labor, accelerated pretrial rehabilitation, (8) Property (except as provided 5 years 26 years pretrial drug education, pretrial alcohol education in Section 7-12) and treatment, determination of competency to Receivership (9) 10 years stand trial or suspension of prosecution or any (10) Small claims 15 years other programs for adjudication or treatment which may be created from time to time, (6) any 26 years (11) Torts (except as noted below) 1 year official receipts, (7) the judgment mittimus, (8) any Permanent -Money damages if the judg- ment was rendered in an action written notices of rights, (9) orders regarding pro- to recover damages for per- bation, (10) any exhibits on file, (11) any tran- sonal injury caused by sexual scripts on file of proceedings held in the matter, assault where the party at fault was convicted under General and (12) the transaction sheet. Statutes ß 53a-70 or ß 53a-70a (b) Unless otherwise ordered by the court, the (except where a satisfaction of copy of the application for a search warrant and judgment has been filed) affidavits filed pursuant to General Statutes ß 54- 10 years (12) Wills and estates 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 ß 54-36h) and affidavits with the clerk. (c) Except as otherwise provided, the papers (14) 10 years Alcohol and drug commitment (General Statutes ß 17a-685) stripped from the court file may be destroyed upon the expiration of ninety days from the date of dis- (15) All other civil actions (except as 75 years position of the case. provided in Section 7-12) (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 take effect Jan. 1, 1999; amended June 28, 1999, to take released pursuant to a bond, the clerk shall effect Jan. 1, 2000; amended June 30, 2003, to take effect remove the bond form from the file and maintain Jan. 1, 2004; amended June 26, 2006, to take effect Jan. 1, 2007; amended June 15, 2012, to take effect Jan. 1, 2013; it in the clerk's office for such periods as deter- amended June 23, 2017, to take effect Jan. 1, 2018.) mined by the chief court administrator. (e) Upon the disposition of any criminal or motor Sec. 7-12. –Actions Affecting the Title to vehicle case in which property is seized, whether Land pursuant to a search warrant, an arrest, an in rem Files in any actions concerning title to land proceeding or otherwise, the clerk shall remove which are terminated by a final judgment affecting the executed search warrant, if any, papers relat- any right, title or interest in real property shall be ing to any in rem proceedings, if any, and the retained for forty years in the office of the clerk inventory of the seized property from the court file of the court location in which the judgment is ren- and maintain them in the clerk's office during the dered and thereafter may be transferred to the pendency of proceedings to dispose of the prop- state library pursuant to Section 7-15 (b) or to the erty and for such further periods as determined Judicial Branch record center. by the chief court administrator. (P.B. 1978-1997, Sec. 403D.) (f) In cases in which there has been neither a conviction nor the payment of a fine on any Sec. 7-13. –Criminal/Motor Vehicle Files charge, the file shall be destroyed upon the expira- and Records tion of three years from the date of disposition. (Amended June 29, 1998, to take effect Jan. 1, 1999.) (g) In cases in which a fine has been paid pursu- (a) Upon the disposition of any criminal case, ant to an infraction or a violation, the file shall be except a case in which a felony or a capital felony destroyed upon the expiration of five years from conviction resulted, or any motor vehicle case, the date of disposition. including any matter brought pursuant to the com- (h) In cases in which there has been a convic- mission of an infraction or a violation, the file may be stripped of all papers except (1) the executed tion of a misdemeanor charge but not a conviction 181  Copyrighted by the Secretary of the State of the State of Connecticut

189 SUPERIOR COURT–GENERAL PROVISIONS Sec. 7-13 Such files and records may be destroyed upon of a felony charge, the file shall be destroyed 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 of a capital felony charge, the file, all exhibits and Sec. 7-16. –Motion To Prevent Destruction the transcripts of all proceedings held in the matter of File 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. l ( ) The file in any case in which the disposition (P.B. 1978-1997, Sec. 403H.) is not guilty by reason of mental disease or defect shall be retained for seventy-five years. Sec. 7-17. Clerks' Offices (m) Investigatory grand jury records shall be The chief court administrator shall, from time retained permanently. to time, determine for each clerk's office the hours (P.B. 1978-1997, Sec. 403E.) (Amended June 29, 1998, to take effect Jan. 1, 1999; amended June 30, 2003, to take that it shall be open, provided that each clerk's effect Jan. 1, 2004; amended June 29, 2007, to take effect office shall be open at least five days a week Jan. 1, 2008; amended June 22, 2009, to take effect Jan. except during weeks which include a legal holiday. 1, 2010.) The chief court administrator may increase the Sec. 7-14. –Reports from Adult Probation hours of the clerk's office for the purpose of the and Family Division acceptance of bonds or for other limited purposes for one or more court locations. If the last day for (a) The Office of Adult Probation shall maintain filing any matter in the clerk's office falls on a day one copy of each presentence investigation report on which such office is not open as thus provided for twenty-five years. Copies of such reports in or is closed pursuant to authorization by the the custody of the clerk pursuant to Section 43- 8 may be destroyed upon the expiration of one administrative judge in consultation with the chief year from the date of final disposition of the case. court administrator or the chief court administrator (b) Except as provided in General Statutes due to the existence of special circumstances, ß 45a-757, the family division of the Superior then the last day for filing shall be the next busi- Court shall maintain one copy of each case study ness day upon which such office is open. Except report prepared pursuant to Section 25-60 for two as provided below, a document that is electroni- years beyond the youngest child's eighteenth cally received by the clerk's office for filing after birthday and copies of such reports in the custody 5 o'clock in the afternoon on a day on which the of the clerk may be destroyed upon the expiration clerk's office is open or that is electronically of one year from the date of final disposition of received by the clerk's office for filing at any time the case. on a day on which the clerk's office is closed, shall (P.B. 1978-1997, Sec. 403F.) be deemed filed on the next business day upon which such office is open. If a party is unable to Sec. 7-15. –Retention Ordered by Chief electronically file a document because the court's Court Administrator; Transfer to State electronic filing system is nonoperational for thirty Library consecutive minutes from 9 o'clock in the fore- (a) The chief court administrator may require noon to 3 o'clock in the afternoon or for any period that any files and records of the Judicial Branch, of time from 3 o'clock to 5 o'clock in the afternoon the retention of which is not otherwise provided for of the day on which the electronic filing is by rule or statute, be retained either for a specific attempted, and such day is the last day for filing period or permanently, and may authorize the the document, the document shall be deemed to transfer of any such files and records to the be timely filed if received by the clerk's office on records center or other proper facility for retention. 182 Copyrighted by the Secretary of the State of the State of Connecticut 

190 SUPERIOR COURT–GENERAL PROVISIONS Sec. 7-21 the next business day the electronic system is before a specific judge, which judge shall conduct operational. an ex parte review of the application and may (P.B. 1978-1997, Sec. 405.) (Amended June 24, 2002, to direct or deny the issuance of subpoenas as such take effect Jan. 1, 2003; amended June 21, 2004, to take judge deems warranted under the circumstances, effect July 13, 2004; amended June 21, 2010, to take effect keeping in mind the nature of the scheduled hear- Jan. 1, 2011; amended June 24, 2016, to take effect July ing and future opportunities for examination of 12, 2016.) witnesses, as may be appropriate. If an applica- Sec. 7-18. Hospital, Psychiatric and Medi- tion is denied in whole or in part, the applicant cal Records may request a hearing which shall be scheduled by the court. Hospital, psychiatric and medical records shall (P.B. 1978-1997, Sec. 395A.) (Amended June 12, 2015, not be filed with the clerk unless such records are to take effect Jan. 1, 2016; amended June 24, 2016, to take submitted in a sealed envelope clearly identified effect Jan. 1, 2017.) with the case caption, the subject's name and the Short of Sec. 7-20. Records Calendar name of the attorney or self-represented party Matters pursuant to Section 7-19 subpoenaing the same. The clerk shall keep a record of all matters Such records shall be opened only pursuant to assigned for hearing on the civil short calendar court order. together with the disposition made of them. Such (P.B. 1978-1997, Secs. 397B, 1011E.) (Amended June 23, 2017, to take effect Jan. 1, 2018.) records shall be retained for such period and in such format as determined by the chief court Sec. 7-19. Issuing Subpoenas for Witnesses administrator. on Behalf of Self-Represented Litigants (P.B. 1978-1997, Sec. 397A.) (Amended June 30, 2008, to take effect Jan. 1, 2009.) Self-represented litigants seeking to compel the attendance of necessary witnesses in connection Sec. 7-21. Removing Exhibits and Other with the hearing of any matter shall file an applica- Papers tion to have the clerk of the court issue subpoenas Unless otherwise ordered by the judicial author- for that purpose. The application shall include a ity, it is the duty of attorneys and self-represented summary of the expected testimony of each pro- parties, upon the final determination of any civil posed witness so that the court may determine case, to remove from the courthouse all exhibits the relevance of the testimony. The clerk, after that have been entered into evidence, briefs, verifying the scheduling of the matter, shall pre- depositions, and memoranda and, if not so sent the application to the judge before whom the removed, such items may be destroyed by the matter is scheduled for hearing, or the administra- clerk four months after the final determination of tive judge or any judge designated by the adminis- the case, without notice. (P.B. 1978-1997, Sec. 401.) trative judge if the matter has not been scheduled 183  Copyrighted by the Secretary of the State of the State of Connecticut

191 SUPERIOR COURT–PROCEDURE IN CIVIL MATTERS Sec. 8-1 SUPERIOR COURT–PROCEDURE IN CIVIL MATTERS CHAPTER 8 COMMENCEMENT OF ACTION Sec. S