the revised Probate Court Rules of Procedure

Probate Court Rules of Procedure

CONTAINING

GENERAL PROVISIONS

RULES FOR ALL CASE TYPES

RULES FOR SPECIFIC CASE TYPES

RULES FOR HEARINGS

REFERENCES TO CONNECTICUT GENERAL STATUTES

Published by

PROBATE COURT ADMINISTRATORSTATE OF CONNECTICUT

West Hartford 2017

2017 Probate Court Administrator, State of Connecticut

Explanatory Notes

Probate Court Rules of Procedure first became effective on July 1, 2013. This 2017 editioncontains the rules as amended since then. Original effective dates and the dates of subsequentamendments are summarized at the end of each rule. Changes are also listed in the Tableof Changes at the back of this volume.

Annotations are contained in parentheses following certain sections of these rules. Thepurpose of the annotations is to alert users to statutes, cases, rules and other sources of lawthat are related to the subject matter of the section.

State of ConnecticutProbate Court Rules of Procedure

Table of ContentsPreface . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xv

Probate Court Rules Advisory Committee . . . . . . . . . . . . . . . . . . . . . . . . . . . xvi

GENERAL PROVISIONS

Rule 1 Definitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1

Rule 2 Applicability of Rules . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3

Rule 3 Clerks, Files and Records. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4


Rule 4 Parties . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5

Rule 5 Self-representation; Representation by Attorney and Appearance . . . . . . . . . . 6

Rule 6 Probate Fees . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9

Rule 7 Filing Requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10

Rule 8 Notice . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12

Rule 9 Counting Time Periods . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15

Rule 10 Continuances . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16

Rule 11 Service of Process on Court as Agent . . . . . . . . . . . . . . . . . . . . . . . . 17

Rule 12 Court-appointed Attorney . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18

Rule 13 Court-appointed Guardian Ad Litem . . . . . . . . . . . . . . . . . . . . . . . . . 20

Rule 14 Referral to Probate Magistrate and Attorney Probate Referee. . . . . . . . . . . 22

Rule 15 Disqualification of Judge . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24

Rule 16 Public Access to Hearings and Records . . . . . . . . . . . . . . . . . . . . . . . 26

Rule 17 Confidentiality of Social Security Numbers. . . . . . . . . . . . . . . . . . . . . . 29

Rule 18 Transfer of Matter between Probate Courts . . . . . . . . . . . . . . . . . . . . . 30

Rule 19 Pending Matter in Another Court . . . . . . . . . . . . . . . . . . . . . . . . . . . 31

Rule 20 Court Approval of Fiduciary Action . . . . . . . . . . . . . . . . . . . . . . . . . . 32

Rule 21 Probate Mediation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33

Rules 22–29 Reserved for Future Use . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34


Rule 30 Decedents’ Estates. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35

Rule 31 Estate Tax Matters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43

Rule 32 Trusts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46

Rule 33 Conservators . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 49

v

Rule 34 Guardians of Estates of Minors . . . . . . . . . . . . . . . . . . . . . . . . . . . . 55

Rule 35 Probate Bonds . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 58

Rule 36 Fiduciary Accounting: General Provisions . . . . . . . . . . . . . . . . . . . . . . 61

Rule 37 Fiduciary Accounting: Requirements for Financial Reports. . . . . . . . . . . . . 64

Rule 38 Fiduciary Accounting: Requirements for Accounts . . . . . . . . . . . . . . . . . 66

Rule 39 Fiduciary and Attorney’s Fees. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 70

Rule 40 Children’s Matters: General Provisions. . . . . . . . . . . . . . . . . . . . . . . . 71

Rule 41 Children’s Matters: Regional Children’s Probate Courts . . . . . . . . . . . . . . 76

Rule 42 Children’s Matters: Overlapping Jurisdiction in Superior and Probate Courts . . 77

Rule 43 Guardians of Adults with Intellectual Disability . . . . . . . . . . . . . . . . . . . 79

Rule 44 Commitment for Treatment of Psychiatric Disability. . . . . . . . . . . . . . . . . 80

Rule 45 Proceedings for Medication and Treatment of Psychiatric Disability . . . . . . . 83

Rule 46 Commitment for Treatment of Drug and Alcohol Dependency . . . . . . . . . . . 85

Rule 47 Change of Name . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 86

Rules 48–59 Reserved for Future Use . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 87

RULES FOR HEARINGS

Rule 60 Conferences before the Court. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 89

Rule 61 Discovery . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 90

Rule 62 Evidence . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 93

Rule 63 Witnesses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 94

Rule 64 Exhibits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 95

Rule 65 Audio and Stenographic Recording of Hearing . . . . . . . . . . . . . . . . . . . 96

Rule 66 Participation in Hearing by Electronic Means . . . . . . . . . . . . . . . . . . . . 98

Rule 67 Interpreters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 99

Rule 68 Ex Parte Communication . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 100

Rule 69 Orders without Notice and Hearing . . . . . . . . . . . . . . . . . . . . . . . . . 101

Rule 70 Alternative Remedies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 102

Rule 71 Enforcement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 103

Rule 72 News Media Coverage. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 105

References to Connecticut General Statutes . . . . . . . . . . . . . . . . . . . . . . . . 107

Table of Changes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 113

Index. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 115

vi

TABLE OF RULE AND SECTION HEADINGS

State of Connecticut

Probate Court Rules of ProcedureTable of Rule and Section Headings

GENERAL PROVISIONS

Rule 1 Definitions

Section1.1 Definitions

Rule 2 Applicability of Rules

Section2.1 Title2.2 Applicability2.3 Purpose


Rule 4 Parties

Section4.1 Parties4.2 Fiduciary as party

Rule 5 Self-representation; Representa-tion by Attorney and Appearance

Section5.1 Representation before court5.2 Out-of-state attorney appearing pro hac

vice5.3 Legal intern5.4 When appearance required to be filed5.5 Form of appearance5.6 Effect of appearance on ability to chal-

lenge jurisdiction5.7 Withdrawal of appearance5.8 Change of law firm name or contact

information

Rule 6 Probate Fees

Section6.1 Filing fee6.2 Waiver of probate fees and expenses6.3 Withdrawal of petition

vii

Rule 3 Clerks, Files and Records

Section3.1 Duties of clerk3.2 Uniform numbering system3.3 Decrees to be in writing3.4 Safekeeping of record3.5 Lost document3.6 Electronic signature by judge or clerk

6.4 Payment of probate fees and expensesrequired before final decree

6.5 Copy of decree with court seal

Rule 7 Filing Requirements

Section7.1 General filing requirements7.2 Commencing a proceeding7.3 Forms7.4 Signature required7.5 Account Numbers

Rule 8 Notice

Section8.1 Notice of hearing and decree8.2 To whom notice is given8.3 Change of address while matter is

pending8.4 Contents of notice of hearing8.5 How notice of hearing given8.6 Streamline notice procedure8.7 Waiver of notice of hearing8.8 Address unknown; notice of hearing

returned undelivered8.9 Notice of hearing for member of mili-

tary service


8.10 Notice of decreeRule 9 Counting Time PeriodsSection9.1 Counting time periods9.2 Extension of time periodRule 10 ContinuancesSection10.1 Continuation of hearing10.2 Assessment of expenses if hearing

continuedRule 11 Service of Process on Court asAgentSection11.1 Service of process on court as agentRule 12 Court-appointed AttorneySection12.1 When attorney appointed12.2 Appointment from panel of attorneys

maintained by probate court adminis-trator

12.3 Appointment from panel of attorneysmaintained by court

12.4 Court-appointed attorney: Rules ofProfessional Conduct

12.5 Duration of appointment12.6 Withdrawal from court appointmentRule 13 Court-appointed Guardian AdLitemSection13.1 Mandatory appointment of guardian

ad litem13.2 Discretionary appointment of guardian

ad litem13.3 Scope of appointment13.4 Termination of appointment13.5 Who may serve as guardian ad litem13.6 Duties of guardian ad litem13.7 Instruction and advice from court13.8 Guardian ad litem may appeal from

court orderRule 14 Referral to Probate Magistrate andAttorney Probate RefereeSection14.1 Referral to probate magistrate and

attorney probate referee14.2 Hearing before probate magistrate or

attorney probate referee14.3 Report of probate magistrate or attor-

ney probate referee

viii

14.4 Amendment to report14.5 Objection to report or amendment14.6 Hearing on report14.7 Issuance of decree on report14.8 Continuance or deferral of court action

pending decision on report

Rule 15 Disqualification of Judge

Section15.1 Applicability15.2 When disqualification of judge is

required15.3 Motion for disqualification of judge15.4 Hearing and decision on motion for

disqualification15.5 Lawsuit or complaint against judge15.6 Disclosure and waiver of disqualifica-

tion15.7 Judge to act for disqualified judge

Rule 16 Public Access to Hearings andRecords

Section16.1 Public access to hearings and records16.2 Statutorily confidential matters in gen-

eral16.3 Redaction of name or address of party

in statutorily confidential matter16.4 Confidentiality of judge’s notes16.5 Confidentiality of social security num-

bers16.6 Motion to close hearing or seal record

in nonconfidential matter16.7 Hearing on motion to close hearing or

seal record in nonconfidential matter16.8 Order to close hearing or seal record

in nonconfidential matter16.9 Public access to motion, hearing and

order to close hearing or seal recordin nonconfidential matter

16.10 Vacating order to close hearing orseal record

16.11 Power to maintain order during hear-ings

16.12 Confidentiality of mediation sessionsand records

Rule 17 Confidentiality of Social SecurityNumbers

Section17.1 Omission or redaction of social secu-

rity number


17.2 When social security number required17.3 When social security number not

required17.4 Original documents17.5 Disclosure to state and federal agen-

cies

Rule 18 Transfer of Matter between Pro-bate Courts

Section18.1 Transfer of guardianship matter18.2 Transfer of conservatorship matter18.3 Transfer of initial petition

Rule 19 Pending Matter in Another Court

Section19.1 Duty to notify court of pending matter

in another court


Rule 30 Decedents’ EstatesSection30.1 When streamline notice procedure

may be used in decedent’s estate pro-ceeding

30.2 Death certificate or other proof ofdeath

30.3 Court may require petitioner to submitfamily tree

30.4 Court to inform petitioner of purportedwill in its custody

30.5 Notice in proceeding to grant adminis-tration of intestate estate

30.6 Notice in proceeding to admit will toprobate

30.7 Petitioner seeking admission of pur-ported will to send copy to parties

30.8 Appointment of guardian ad litem inproceeding to admit purported will toprobate

30.9 Appointment of guardian ad litem inintestate estate or after admission ofwill

30.10 Notice in testate estates after admis-sion of will

ix

Rule 20 Court Approval of FiduciaryActionSection20.1 Petition for approval or instruction20.2 Petition to compel or prohibit action by

fiduciary20.3 Applicability of other lawRule 21 Probate MediationSection21.1 Referral to mediation21.2 Notice; time and location of mediation

session21.3 Conduct of mediation session21.4 Termination and withdrawal21.5 Mediator to inform court whether

settlement achieved21.6 Ex parte communications21.7 Confidentiality21.8 Private mediation

30.11 Notice when heir or beneficiary is aforeign citizen

30.12 Executor or administrator to sendcopy of inventory, status update,financial report, account and affidavitof closing to each party and attorney

30.13 Conflicting petitions for appointmentof commissioner of administrativeservices as legal representative andsettlement using small estates proce-dure

30.14 Settlement of claims in favor of dece-dent’s estate

30.15 Sale of real property from decedent’sestate

30.16 Distribution from estate to minor orbeneficiary who is incapable of man-aging his or her affairs

30.17 Mutual distribution agreement30.18 Distribution that bypasses inopera-

tive trust30.19 When executor or administrator to

submit financial report or account30.20 Required contents of financial report

or account of executor or administra-tor


30.21 When executor or administrator tosubmit status update

30.22 When inventory and final financialreport or account excused

30.23 Use of affidavit in lieu of administra-tion when full estate eligible to be set-tled as a small estate

30.24 Administrative closure of decedent’sestate

30.25 Construction, title and cy pres petitionrelating to decedent’s estate

30.26 Withholding of distribution when heiror beneficiary charged with certaincrimes

Rule 31 Estate Tax Matters

Section31.1 Applicability31.2 Requirements for estate tax forms for

nontaxable estates31.3 Valuation of property for nontaxable

estates31.4 Amended tax forms for nontaxable

estates31.5 Procedure when court unable to deter-

mine if estate is nontaxable31.6 Domicile declaration for nontaxable

estates31.7 Recording attachments to estate tax

forms31.8 Confidentiality of information on filed

tax form31.9 Determination of amount of property

passing to a surviving spouse for pro-bate fee calculation

Rule 32 Trusts

Section32.1 When streamline notice procedure

may be used in trust proceeding32.2 Notice in trust proceeding32.3 Virtual representation and appoint-

ment of guardian ad litem in trust pro-ceeding

32.4 Trustee to send copy of inventory,financial report or account and peti-tion to terminate to each party andattorney

32.5 When trustee to submit financial reportor account

32.6 Required contents of financial reportor account of trustee

x

32.7 When final financial report or accountof trustee excused

32.8 Reimbursement of probate fees topetitioner in trust proceeding

32.9 Construction, title and cy pres petitionrelating to trust

Rule 33 Conservators


may be used in conservatorship pro-ceeding

33.2 Petition for voluntary representation tobe heard before petition for involuntaryconservatorship

33.3 Appointment of temporary conservatorwithout notice and hearing

33.4 Extension of temporary conservator-ship pending decision on conservator-ship petition

33.5 Motion to close conservatorship hear-ing to public during presentation ofmedical evidence

33.6 Criminal background check33.7 Court to review qualifications of pro-

posed conservator33.8 Conservator of estate to send copy of

inventory, financial report and accountto each party and attorney

33.9 Jointly owned assets and joint liabili-ties

33.10 Establishment and funding of trustwith conservatorship assets

33.11 Settlement of claims in favor of con-servatorship estate

33.11a Petitions to compromise multipleclaims associated with same injury

33.12 Sale of real property from conserva-torship estate

33.12a Petitions to sell multiple parcels ofreal property

33.13 Release of funds from restrictedaccount in conservatorship estate

33.14 When conservator to submit financialreport or account

33.15 Required contents of financial reportor account of conservator of estate

33.16 When conservator of estate to verifyrestricted account in force

33.17 Periodic or final financial report oraccount excused when person underconservatorship is Title 19 recipient


33.18 Sterilization33.19 Reimbursement of probate fees to

petitioner in conservatorship ofestate proceeding

33.20 Petition to determine title relating toconservatorship

33.21 Notice of termination of voluntaryconservatorship

33.22 Petitions to change residence, sellreal property or household contentsor terminate tenancy

Rule 34 Guardians of Estates of Minors


may be used in estate of minor pro-ceeding

34.2 Hearing to review duties of guardianof estate

34.3 Guardian of estate to send copy ofinventory, financial report and accountto each party and attorney

34.4 Restriction on use of estate of minorfor support obligations

34.5 Settlement of claims in favor of estateof minor


34.6 Sale of real property from estate ofminor


34.7 Release of funds from restrictedaccount in estate of minor

34.8 When guardian of estate to submitfinancial report or account

34.9 Required contents of financial reportor account of guardian of estate

34.10 When guardian of estate to verifyrestricted account in force

34.11 When estate assets fall below statu-tory threshold for guardianship

34.12 Reimbursement of probate fees topetitioner in estate of minor proceed-ing

34.13 Petition to determine title relating toestate of minor

Rule 35 Probate Bonds

Section35.1 When probate bond required

xi

35.2 Probate bond to be filed beforeappointment

35.3 Corporate surety required35.4 Form of probate bond35.5 Probate bond to secure performance

of all cofiduciaries35.6 Amount of probate bond35.7 Restricted account35.8 Fiduciary to report increase in value of

estate35.9 Adjustments to amount of probate

bond35.10 Surety on additional probate bond35.11 Release of probate bond35.12 Action on probate bond

Rule 36 Fiduciary Accounting: GeneralProvisions

Section36.1 Methods of accounting36.2 Financial reports distinguished from

accounts36.3 When account is required instead of

financial report36.4 Financial reports and accounts to pre-

sent information in clear manner andbe signed under penalty of false state-ment

36.5 Fiduciary to send copy of financialreport or account and affidavit of clos-ing to each party and attorney

36.6 When executor or administrator tosubmit financial report or account






36.12 Affidavit of closing36.13 Records to be maintained by fidu-

ciary36.14 Definition of fiduciary acquisition

value


Rule 37 Fiduciary Accounting: Require-ments for Financial ReportsSection37.1 Decedent’s estate: requirements for

financial report37.2 Trusts: requirements for financial

report37.3 Conservatorship, guardianship and

other estates: requirements for finan-cial reports

37.4 Reporting distributions in financialreport

Rule 38 Fiduciary Accounting: Require-ments for AccountsSection38.1 When principal and income to be

reported separately38.2 Contents of account when principal

and income transactions combined38.3 Contents of account when principal

and income activities reported sepa-rately

38.4 Reporting distributions in account38.5 Account required to balanceRule 39 Fiduciary and Attorney’s FeesSection39.1 Fiduciary and attorney’s fees39.2 Task statement of fiduciary and attor-

neyRule 40 Children’s Matters: General Provi-sionsSection40.1 When streamline notice procedure

may be used in children’s matter40.2 Appointment of attorney and guardian

ad litem for minor40.3 Immediate temporary custody of a

minor40.4 Order for immediate temporary cus-

tody without notice and hearing40.5 Appointment of temporary custodian

on consent40.6 Removal and appointment of guardian

on consent40.6a Notice of hearing on competing

removal petition40.7 Reinstatement as guardian40.8 Temporary guardianship40.9 Public notice in termination proceed-

ing when name or location of parentunknown

xii

40.10 Pre-adoption hearing40.11 Appointment of out-of-state child-

placing agency as statutory parent togive child in adoption

40.12 Adoption by same sex married cou-ple

40.13 Notice in adult adoption proceeding40.14 In-court review for possible modifica-

tion of order40.15 Criminal background check40.16 Transfer of contested removal or ter-

mination petition to Superior Court40.17 Appointment of commissioner of chil-

dren and families as temporary cus-todian or guardian

40.18 Single petition for special immigrantjuvenile findings and related chil-dren’s matter

40.19 Single petition to terminate parentalrights and approve adoption

40.20 Court to advise respondent parent ofrights in proceeding to terminateparental rights or to appoint perma-nent guardian

Rule 41 Children’s Matters: Regional Chil-dren’s Probate Courts

Section41.1 Transfer of children’s matter to

Regional Children’s Probate Court41.2 Duties of probate court officer41.3 Files and reports of probate court offi-

cer

Rule 42 Children’s Matters: OverlappingJurisdiction in Superior and ProbateCourts

Section42.1 Prior pending matter in Superior Court42.2 Petition in Superior Court when prior

matter pending in Probate Court42.3 Petition in Superior Court when Pro-

bate Court grants custody or guardian-ship to commissioner of children andfamilies

42.4 Emergency action by the commis-sioner of children and families whenprior matter pending in Probate Court

42.5 Safety and service agreement


Rule 43 Guardians of Adults with Intellec-tual Disability

Section

43.1 Criminal background check43.2 Sterilization

Rule 44 Commitment for Treatment of Psy-chiatric Disability

Section

44.1 Confidentiality of psychiatric commit-ment proceeding

44.2 Audio recording of psychiatric commit-ment proceeding

44.3 Notice and procedures in probablecause hearing

44.4 Notice of hearing on psychiatric com-mitment

44.5 Warrant for examination of individual16 years or older at general hospital

44.6 Warrant for examination of child atgeneral hospital

44.7 Warrant for court to examine individual16 years or older

44.8 Voluntary admission of person underconservatorship

RULES FOR HEARINGS

Rule 60 Conferences before the CourtSection60.1 Status conference60.2 Hearing management conferenceRule 61 DiscoverySection61.1 When permission of court is required61.2 When interrogatories, request for pro-

duction and request for admission per-mitted

61.3 Taking deposition61.4 Interrogatories61.5 Request for production, inspection and

examination

xiii

Rule 45 Proceedings for Medication andTreatment of Psychiatric DisabilitySection45.1 Confidentiality of proceeding for shock

therapy or medication to treat psychi-atric disability

45.2 Audio recording of proceeding forshock therapy or medication to treatpsychiatric disability

45.3 Where to file petition for medication totreat psychiatric disability

45.4 Notice of hearing on petition for medi-cation to treat psychiatric disability

45.5 Petition for shock therapyRule 46 Commitment for Treatment ofDrug and Alcohol DependencySection46.1 Confidentiality of drug and alcohol

dependency commitment proceedingRule 47 Change of NameSection47.1 Change of name of adult47.2 Change of name of minor47.3 Single petition for change of name for

family47.4 Criminal background and sex offender

and deadly weapon offender registrycheck; notification to Department ofEmergency Services and Public Pro-tection

61.6 Request for admission61.7 Answer to discovery request61.8 Continuing duty to disclose61.9 Objection to discovery request61.10 Order for compliance61.11 Summons to testify61.12 Order to obtain medical records

Rule 62 Evidence

Section62.1 Rules of evidence

Rule 63 Witnesses

Section63.1 Administration of oath


63.2 When sequestration of witness permit-ted

Rule 64 ExhibitsSection64.1 Exhibits to be marked64.2 Retention of exhibits64.3 Exhibits in matter appealed to Superior

Court64.4 Disposition of exhibits

Rule 65 Audio and StenographicRecording of HearingSection65.1 Making and maintaining audio

recordings65.2 Transcript of recorded hearing65.3 Official stenographic record on

agreement of parties65.4 Stenographic record without

agreement of parties65.5 Prohibition on recording hearing by

other meansRule 66 Participation in Hearing by Elec-tronic MeansSection66.1 When participation by electronic

means permittedRule 67 InterpretersSection67.1 Party or witness with hearing impair-

ment67.2 Interpreter permitted for language

translation67.3 Interpreter to act under oath

xiv

Rule 68 Ex Parte Communication

Section68.1 Ex parte communication prohibited

Rule 69 Orders without Notice and Hear-ing

Section69.1 When order without notice and hearing

permitted

Rule 70 Alternative Remedies

Section70.1 Alternative remedies

Rule 71 Enforcement

Section71.1 Failure of fiduciary to perform duties71.2 Capias to compel attendance71.3 Types of contempt71.4 Audio recording of contempt hearing71.5 Summary criminal contempt71.6 Nonsummary criminal contempt71.7 Civil contempt

Rule 72 News Media Coverage

Section72.1 News media coverage permitted72.2 News media coverage not permitted72.3 Conference to establish conditions of

news media coverage72.4 Objection to news media coverage72.5 Recording and photographic equip-

ment72.6 Pooling arrangement for news media72.7 Public comment by attorney

PrefaceConnecticut’s Probate Courts are responsible for a broad range of cases involving children,

seniors, persons with mental illness and adults with intellectual disability. The mission of theProbate Court system, given the sensitive nature of the matters that we handle, is to provide anapproachable forum in which families can resolve their cases in a fair, prompt and economicalmanner. The purpose of Probate Court Rules of Procedure is to promote that mission.

This publication establishes uniform procedures for probate matters. It provides guidancein all areas of probate jurisdiction and is written in plain language to assist all those whohave cases in the Probate Courts, including both self-represented individuals and attorneys.Streamlined procedures are designed to minimize expenses for parties and expedite resolutionof cases.

Probate Court Rules of Procedure was first published in 2013. Since then, many who usethe rules in their daily work have offered ideas on ways to improve the rules. We are gratefulfor the feedback and have incorporated many of your suggestions in this 2017 edition. Otherrevisions seek to improve clarity and address recent changes in statute and case law. The2017 edition contains two new rules (rule 20, which establishes a procedure for court reviewof specific fiduciary activities and rule 21, which details the Probate Court mediation program),as well as revisions to several existing rules.

I want to thank the members of the Probate Court Rules Advisory Committee for theirinvaluable assistance in developing these rules and helping to keep them up to date. Theexceptionally dedicated volunteers who serve on the committee are listed on the followingpage. They are judges, retired judges, court staff, attorneys and individuals with professionalbackgrounds in accounting and social services who have given generously of their time andexpertise. I am truly indebted to them for their service. Credit for the heavy lifting of draftingand editing the rules belongs to Attorney David Biklen, the committee reporter, and mycolleagues at probate administration, Attorneys Tom Gaffey, Bonnie Bennet and HeatherDostaler. Finally, I wish to convey my sincere appreciation to former Justice Peter Zarella,who has provided guidance and support in the development and periodic revision of theserules for the past five years.

Probate Court Rules of Procedure should be considered a work in progress because weare committed to continuous improvement in the way we handle cases. We welcome yoursuggestions for revisions and will continue to update the rules on a biennial basis.

Paul J. KnierimProbate Court Administrator

xv

Probate Court Rules Advisory Committee2015-2016

ChairHon. Paul J. Knierim

Subcommittee ChairsHon. Brian T. Mahon

Hon. Beverly K. Streit-KefalasHon. Steven M. Zelman

MembersMary M. Ackerly, Esq.Helen B. Bennet, Esq.

Douglas R. Brown, Esq.Prof. Jeffrey A. CooperHon. Michael M. Darby

Heather L. Dostaler, Esq.Suzette Farrar

Hon. Gerald M. Fox, Jr.Thomas E. Gaffey, Esq.

Karen Gano, Esq.Natasha G. Haims

Paul A. Hudon, Esq.Christopher J. Hug, Esq.Patricia R. Kaplan, Esq.

Hon. Robert K. Killian, Jr.Gabriella G. Kiniry, Esq.Andrew S. Knott, Esq.Hon. John J. McGrath

Stephen A. Pedneault, CPACarmine P. Perri, Esq.

Greta E. Solomon, Esq.Hon. Claire C. TwerdySondra J. Waterman

Committee ReporterDavid D. Biklen, Esq.

xvi

GENERAL PROVISIONS

PROBATE COURT RULES — GENERAL PROVISIONS Section 1.1

Rule 1

Definitions

Section1.1 Definitions

Section 1.1 DefinitionsIn these rules:

(1) ‘‘Account’’ means a document meet-ing the requirements of rule 38 by which afiduciary provides detailed information aboutthe management of an estate.

(2) ‘‘Beneficiary of a decedent’s estate’’means a person or fiduciary that is or maybe entitled to a bequest or devise under a will.

(3) ‘‘C.G.S.’’ means the ConnecticutGeneral Statutes.

(4) ‘‘Clerk’’ means a chief clerk, deputyclerk, clerk or assistant clerk of the court.

(5) ‘‘Contingent remainder beneficiary’’means a trust beneficiary who would be apresumptive remainder beneficiary on thedate the beneficiary’s interest is determinedif the interest of another presumptive remain-der beneficiary terminated because a condi-tion specified in the will or other governinginstrument is not met.

(6) ‘‘Corporate fiduciary’’ means a bank,trust company or other corporation or busi-ness entity authorized to act as a fiduciary inthis state.

(7) ‘‘Corporate surety’’ means a corpo-ration or other business entity authorized toenter into contracts of suretyship for probatebonds in this state.

(8) ‘‘Court’’ means a Probate Court.(9) ‘‘Current beneficiary’’ means a trust

beneficiary who, on the date the beneficiary’sinterest is determined, is a distributee or per-missible distributee of trust income orprincipal.

(10) ‘‘Decree’’ means a written decision,order, grant, denial, opinion or other ruling ofthe court.

(11) ‘‘DRS’’ means the Department ofRevenue Services.

(12) ‘‘Estate’’ means a decedent’sestate, trust, conservatorship estate, estateof a minor or other legal structure under which

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a fiduciary has a duty to manage assets heldfor the benefit of one or more persons.

(13) ‘‘Fiduciary’’ means a person serv-ing as an administrator, executor, conserva-tor of the estate, conservator of the person,guardian of an adult with intellectual disability,guardian of the estate of a minor, guardianof the person of a minor, temporary custodianof the person of a minor, trustee or personserving in any other role that the court deter-mines is fiduciary in nature.

(14) ‘‘Financial report’’ means a simpli-fied form of accounting meeting the require-ments of rule 37 by which a fiduciary providessummary information about the managementof an estate.

(15) ‘‘Heir’’ means an individual whowould take any share of the estate of a dece-dent who died intestate.

(16) ‘‘Intestate’’ means having died with-out a valid will.

(17) ‘‘Minor’’ has the meaning providedin C.G.S. section 45a-604 (4).

(18) ‘‘Motion’’ means a written filingseeking court action that is incidental to thematter before the court.

(19) ‘‘News media’’ means an entity, orrepresentative of an entity, that is regularlyengaged in the gathering and disseminationof news and is approved by the office of thechief court administrator.

(20) ‘‘News media coverage’’ meansbroadcasting, televising, recording or photo-graphing a hearing or conference by newsmedia.

(21) ‘‘Nontaxable estate’’ means theestate of a decedent whose Connecticut tax-able estate is less than or equal to the amountthat is exempt from the Connecticut estatetax under C.G.S. section 12-391.

(22) ‘‘Party’’ means a person having alegal or financial interest in a proceedingbefore the court, a fiduciary under section

PROBATE COURT RULES — GENERAL PROVISIONSSection 1.1

4.2 and any other person whom the courtdetermines to be a party. The term has thesame meaning as interested party.

(23) ‘‘Person’’ means an individual orentity.

(24) ‘‘Person under conservatorship’’means a conserved person as defined underC.G.S. section 45a-644 (h) or a person undervoluntary representation under C.G.S. sec-tion 45a-646.

(25) ‘‘Personal surety’’ means a suretythat does not meet the requirements to be acorporate surety.

(26) ‘‘Petition’’ means a written filing thatcommences a matter in the court. The termhas the same meaning as application.

(27) ‘‘Presumptive remainder benefi-ciary’’ means a trust beneficiary who wouldbe a distributee or permissible distributee oftrust income or principal on the date the bene-ficiary’s interest is determined if:

(A) the trust terminated on the date; or(B) the interests of the current benefi-

ciaries terminated on the date without caus-ing the trust to terminate.

(28) ‘‘Probate bond’’ has the meaningprovided in C.G.S. section 45a-139.

(29) ‘‘Probate court administrator’’means the individual holding the office of theprobate court administrator of this state.

(30) ‘‘Probate Court Rules’’ means theConnecticut Probate Court Rules of Pro-cedure.

HISTORY: Rule 1 adopted effective July 1, 2013.

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(31) ‘‘Public notice’’ has the meaningprovided in C.G.S. section 45a-126.

(32) ‘‘Purported will’’ means an instru-ment purporting to be a decedent’s last willand testament and any codicil to it that hasnot been admitted to probate.

(33) ‘‘Structured settlement’’ means anarrangement under which a claimant acceptsdeferred payment of some or all of the pro-ceeds of the settlement of a disputed ordoubtful claim.

(34) ‘‘Taxable estate’’ means the estateof a decedent whose Connecticut taxableestate exceeds the amount that is exemptfrom the Connecticut estate tax under C.G.S.section 12-391.

(35) ‘‘Testate’’ means having died leav-ing a valid will.

(36) ‘‘Trust beneficiary’’ means a personthat has a present or future beneficial interestin a trust, whether vested or contingent.

(37) ‘‘Trust protector’’ means a personidentified in a will or other governing instru-ment who is charged with protecting the inter-ests of a trust beneficiary and is identified asa trust protector, trust advisor, or beneficiarysurrogate or as a person in an equivalent role.

(38) ‘‘Will’’ means an instrument andany codicil to it admitted to probate as thelast will and testament of a decedent.

PROBATE COURT RULES — GENERAL PROVISIONS Section 2.3

Rule 2

Applicability of Rules

Section Section2.1 Title2.2 Applicability

Section 2.1 TitleThese rules shall be known as the Con-

necticut Probate Court Rules of Procedure.

Section 2.2 Applicability(a) These rules govern practice and proce-

dure in the Connecticut Probate Courts andare mandatory in the courts.

(b) The rules do not apply to appeals fromprobate in the Superior Court, matters trans-ferred from a Probate Court to the Superior


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2.3 Purpose

Court or any other probate matter in the Supe-rior Court.

(c) If a rule conflicts with statute, the stat-ute governs.

(C.G.S. sections 45a-78 and 51-84.)Section 2.3 Purpose

The purpose of these rules is to facilitatethe efficient conduct of business in the Pro-bate Courts and to advance justice. The courtmay interpret these rules liberally if strictadherence will cause injustice.

PROBATE COURT RULES — GENERAL PROVISIONSSection 3.1

Rule 3

Clerks, Files and Records

Section Section3.1 Duties of clerk3.2 Uniform numbering system3.3 Decrees to be in writing

Section 3.1 Duties of clerk(a) A clerk shall:

(1) receive papers and documents filedwith the court and transferred from othercourts;

(2) make and maintain a record ofeach proceeding;

(3) have custody of and maintain therecords of the court and any former courtmerged into the probate district;

(4) schedule and give notice ofhearings;

(5) bill and collect probate fees; and(6) perform all other duties as directed

by the judge or required by law.(b) The clerk shall send a copy of each

decree to each party and attorney of record.The clerk shall record the date the notice wasmailed in accordance with section 8.10 (c).

(C.G.S. sections 45a-11, 45a-186 (a) and51-53 (a); Probate Court Rules, rule 8.)Section 3.2 Uniform numbering system

The court shall use a uniform numberingsystem prescribed by the probate courtadministrator to identify each matter beforethe court.

HISTORY: Rule 3 adopted effective July 1, 2013. Section 3.6 adopted effective July 1, 2017.

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3.4 Safekeeping of record3.5 Lost document3.6 Electronic signature by judge or clerk

Section 3.3 Decrees to be in writingDecrees shall be in writing. The court shall

memorialize each oral ruling in writing.(C.G.S. section 45a-24.)

Section 3.4 Safekeeping of recordA clerk shall not permit court records to be

taken from the court without the judge’sauthorization.

Section 3.5 Lost documentExcept for a purported will or will, if a docu-

ment in the court file is mislaid, lost ordestroyed, a party may substitute a copy ifthe clerk is satisfied that it is an accurate andcomplete copy of the original. The clerk shallmake a notation on the substitute documentthat it is a copy.

Section 3.6 Electronic signature byjudge or clerk

The electronic signature of a judge or clerkhas the same effect as the handwritten signa-ture of the judge or clerk.

(C.G.S. sections 1-266 through 1-286; Pro-bate Court Rules, section 7.4.)

PROBATE COURT RULES—RULES FOR ALL CASE TYPES Section 4.2

Rule 4Parties

Section Section4.1 Parties

Section 4.1 Parties(a) Except as otherwise permitted by the

court, only a party may participate in a pro-ceeding before the court.

(b) The listing of a person on an order ofnotice does not make the person a party.

(C.G.S. section 45a-127; Probate CourtRules, section 1.1 (22) and rule 16.)

Section 4.2 Fiduciary as party(a) An executor or administrator of a dece-

dent’s estate is a party:(1) in the estate proceeding in which the

executor or administrator was appointed; and(2) in any other probate proceeding in

which the estate has an interest.(b) A trustee of a trust is a party:

(1) in the trust proceeding in which thetrustee was appointed or, if the trustee wasnot appointed by the court, in a trust proceed-ing concerning the trust for which the trusteeacts; and

(2) in any other probate proceeding inwhich the trust has an interest.

(c) A conservator is a party:(1) in the conservatorship proceeding in

which the conservator was appointed; and(2) in any other probate proceeding in

which the person under conservatorship hasan interest if the subject of the proceeding iswithin the scope of the conservator’sauthority.

(d) A guardian of the estate of a minor isa party:

(1) in the guardianship proceeding inwhich the guardian was appointed; and

(2) in any other probate proceeding thataffects the estate of the minor.


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4.2 Fiduciary as party

(e) A temporary custodian or guardian ofthe person of a minor is a party:

(1) in the guardianship proceeding inwhich the custodian or guardian wasappointed; and

(2) in any other probate proceeding inwhich the minor has an interest if the subjectof the proceeding is within the scope of theauthority of the custodian or guardian.

(f) A guardian of an adult with intellectualdisability is a party:

(1) in the guardianship proceeding inwhich the guardian was appointed; and

(2) in any other probate proceeding inwhich the person under guardianship has aninterest if the subject of the proceeding iswithin the scope of the guardian’s authority.

(g) A guardian ad litem is a party:(1) in the proceeding in which the guard-

ian was appointed; and(2) in any other probate proceeding in

which the person for whom the guardian adlitem acts has an interest if the subject of theproceeding is within the scope of the guardianad litem’s appointment.

(h) The court shall recognize any otherfiduciary as a party:

(1) in a probate proceeding in which thecourt has jurisdiction to review and supervisethe actions of the fiduciary; and

(2) in any other probate proceeding ifthe court determines that the subject of theproceeding is within the scope of the fiducia-ry’s duties and participation of the fiduciaryis necessary to protect the interests of theindividual for whom the fiduciary acts.

(C.G.S. sections 45a-487a through 45a-487d.)

PROBATE COURT RULES—RULES FOR ALL CASE TYPESSection 5.1

Rule 5

Self-representation;Representation by Attorney and

Appearance

Section Section5.1 Representation before court5.2 Out-of-state attorney appearing pro

hac vice5.3 Legal intern5.4 When appearance required to be filed

Section 5.1 Representation beforecourt

(a) A party who is an individual may repre-sent himself or herself without an attorney.

(b) Except as provided in section 5.2 or5.3, only an attorney licensed to practice lawin Connecticut may represent a party beforethe court.

(c) Nothing in this rule shall prevent a fidu-ciary, except a corporate fiduciary, from rep-resenting himself or herself, as fiduciary,without an attorney.

(C.G.S. section 51-88; State Bar Assn. v.Connecticut Bank & Trust Co., 145 Conn.222, 140 A.2d 863 (1958); State Bar Assn.v. Connecticut Bank & Trust Co., 146 Conn.556, 153 A.2d 453 (1959); Probate CourtRules, section 4.2.)

Section 5.2 Out-of-state attorneyappearing pro hac vice

(a) An attorney licensed to practice law inConnecticut may move to permit an attorneyin good standing in another state, the Districtof Columbia or Puerto Rico to appear pro hacvice for a party. The moving attorney shallaccompany the motion with:

(1) an affidavit of the out-of-stateattorney:

(A) certifying whether the out-of-stateattorney has any disciplinary matter pendingin another jurisdiction, has ever been repri-manded, suspended, placed on inactive sta-

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5.5 Form of appearance5.6 Effect of appearance on ability to chal-

lenge jurisdiction5.7 Withdrawal of appearance5.8 Change of law firm name or contact

information

tus, disbarred or otherwise disciplined, or hasever resigned from the practice of law and,if so, setting forth the circumstances concern-ing the discipline or resignation;

(B) agreeing to register with the state-wide grievance committee in accordance withthe Connecticut Practice Book whileappearing in the matter and for two yearsafter completion of the matter and immedi-ately notify the grievance committee of theexpiration of the two-year period; and

(C) certifying that the out-of-stateattorney has paid the client security fund feeset forth in section 2-70 of the ConnecticutPractice Book for the calendar year in whichthe motion is made; and

(D) identifying the number of mattersin which the out-of-state attorney hasappeared pro hac vice in the Probate Courtsand the Superior Court of this state; and

(2) a certificate, acknowledged beforean officer authorized to take acknowledge-ments of deeds, appointing the judge of pro-bate and the judge’s successors in office tobe the attorney’s agent for service of process.

(b) The court may grant a motion to appearpro hac vice only on special and infrequentoccasion. The court may act without noticeand hearing. When deciding a motion undersubsection (a), the court shall consider thefacts or circumstances affecting the personalor financial welfare of the party, not the out-of-state attorney, which may include:


(1) a longstanding attorney-client rela-tionship predating the matter;

(2) specialized skill or knowledge withrespect to the party’s affairs important to thematter; or

(3) the client’s inability to secure the ser-vices of a Connecticut attorney.

(c) If the court permits an out-of-state attor-ney to appear pro hac vice, an attorneylicensed to practice law in this state shall:

(1) file an appearance;(2) attend all proceedings with the attor-

ney appearing pro hac vice;(3) sign all documents filed with the

court; and(4) assume full responsibility for the con-

duct of the matter and the attorney appearingpro hac vice.

(d) If the court permits an out-of-stateattorney to appear pro hac vice, the courtshall immediately notify the statewide griev-ance committee.

(e) Any out-of-state attorney permitted toappear pro hac vice in a matter shall pay theclient security fund fee for each calendar yearin which the attorney appears in the matter.

(f) If the clerk is notified that an out-of-stateattorney permitted to appear pro hac vice hasfailed to pay the client security fund fee underthis section, the court shall, after notice andhearing, determine the appropriate sanction,which may include termination of the privilegeof appearing in the matter.

(C.G.S. section 52-60.)

Section 5.3 Legal intern(a) On motion of an attorney for a party,

the court may permit a law student to serveas a legal intern on behalf of the party if theparty consents. The petitioner shall accom-pany the petition with a certification by anauthorized representative of the intern’s lawschool that the school is accredited and thatthe intern is in good standing.

(b) If the court permits the legal intern toappear, the attorney for the party shall:

(1) supervise the intern;(2) attend all proceedings with the

intern;

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(3) sign all documents filed with thecourt; and

(4) assume full responsibility for the con-duct of the matter and the intern.

Section 5.4 When appearance requiredto be filed

(a) A party representing himself or herselfis not required to file an appearance.

(b) Unless appointed by the court, an attor-ney representing a party shall file an appear-ance under section 5.5. If the requirementsof section 5.1 (b) or 5.2 are met, an attorneyin the appearing attorney’s law firm mayappear for the party for whom the appearanceis filed without filing a separate appearance.

(c) A fiduciary without an attorney undersection 5.1 (c) is not required to file anappearance.

Section 5.5 Form of appearance(a) An appearance of an attorney shall:

(1) be typed or printed in ink;(2) list in the heading the name of the

matter, the name of the Probate Court andthe date of the appearance;

(3) be signed by the attorney makingthe appearance;

(4) contain the name and juris numberof the attorney and the name of the attorney’slaw firm, mailing address and telephone num-ber; and

(5) indicate whether the appearance isfiled in lieu of, or in addition to, an appearanceon file.

(b) An attorney shall send a copy of theappearance to each attorney and self-repre-sented party and certify to the court that thecopy has been sent.

(c) If the appearance is in lieu of anappearance on file, the attorney filing the newappearance shall, in addition to the require-ments of subsection (b), send a copy of thenew appearance to the attorney whoseappearance is to be replaced and certify tothe court that the copy has been sent.

Section 5.6 Effect of appearance onability to challenge jurisdiction

The filing of an appearance by an attorney,by itself, does not waive the right of the partyrepresented by the attorney to challengejurisdiction of the court.


Section 5.7 Withdrawal of appearance(a) If permitted under rule 1.16 of the Rules

of Professional Conduct, an attorney who isnot a court-appointed attorney may withdrawthe attorney’s appearance by:

(1) filing a notice of withdrawal at leastthree business days before a scheduled hear-ing; and

(2) sending a copy of the withdrawal toeach attorney and self-represented party andcertifying to the court that the copy hasbeen sent.

(b) The three-day notice requirementunder subsection (a) does not apply if:

HISTORY: Rule 5 adopted effective July 1, 2013. Section 5.2 amended effective July 1, 2015. Section 5.2 amended effectiveJuly 1, 2017.

8

(1) an attorney has filed an appearancein lieu of another appearance on file undersection 5.5; or

(2) the represented party has filed a writ-ten statement indicating that the party doesnot object to the withdrawal.

(Probate Court Rules, rule 12.6.)

Section 5.8 Change of law firm name orcontact information

An attorney who has entered an appear-ance shall notify the court of a change ofname, mailing address or telephone numberof the attorney’s law firm.


Rule 6

Probate Fees

Section Section6.1 Filing fee6.2 Waiver of probate fees and expenses6.3 Withdrawal of petition

Section 6.1 Filing fee(a) Except in a proceeding concerning a

decedent’s estate or an accounting, a peti-tioner shall submit the statutory filing fee atthe time of filing a petition, unless:

(1) the court has waived or postponedthe fee or the matter is exempt under C.G.S.section 45a-111;

(2) the state of Connecticut is the peti-tioner; or

(3) the filing fee for a competing petitionin the same matter has already been paid.

(b) Except as provided under subsection(a), a petition does not commence a matteruntil the required fee is paid.

(C.G.S. sections 45a-105 through 45a-112.)

Section 6.2 Waiver of probate fees andexpenses

(a) A petitioner may request a waiver ofprobate fees and expenses, including thecost of service of process, at the time of filingthe underlying petition. The request shall beon a form published by the probate courtadministrator and shall include any support-ing information required by the court or theform.

(b) The court may waive payment of pro-bate fees and expenses if the court finds thata petitioner will be deprived of the right to

HISTORY: Rule 6 adopted effective July 1, 2013. Sections 6.1 and 6.3 amended effective July 1, 2017.

9

6.4 Payment of probate fees and expensesrequired before final decree

6.5 Copy of decree with court seal

bring a petition by reason of indigence or thata petitioner is otherwise unable to pay.

(c) If the court waives payment of probatefees and expenses, the petitioner shall:

(1) notify the court of a substantialchange in financial circumstances during thependency of the matter; and

(2) file an updated request for waiver ifrequired by the court.

(C.G.S. sections 45a-111 (c) and 52-259b.)

Section 6.3 Withdrawal of petitionIf a petitioner withdraws a petition after

notice of hearing has been sent, the petitioneris not entitled to a refund of the filing feeand expenses. The petitioner shall pay anyexpenses incurred under C.G.S. section 45a-109 before the withdrawal is filed.

Section 6.4 Payment of probate feesand expenses required before final decree

Except as otherwise provided by statute,the court may withhold issuance of a decreeon a final account in a decedent’s estate oran account in any other matter until all pro-bate fees and expenses have been paid.

Section 6.5 Copy of decree with courtseal

The court shall provide, without charge,one copy of each decree bearing the seal ofthe court to each party and attorney of record.


Rule 7

Filing Requirements

Section Section7.1 General filing requirements7.2 Commencing a proceeding7.3 Forms

Section 7.1 General filing requirements(a) A document filed with the court shall:

(1) be typed or printed in ink;(2) be signed and dated in accordance

with section 7.4;(3) after the matter is commenced, refer

to the name that the court assigned the mat-ter; and

(4) satisfy the filing requirements undergoverning statutes and these rules.

(b) The court may accept for filing a docu-ment that is in substantial compliance withthe requirements of subsection (a).

(c) The clerk may require a party to correcta document by substituting a corrected orsubstituted document or page that complieswith subsection (a).

(d) If required by these rules, a person fil-ing a petition or other document shall senda copy of the petition or document to eachparty and attorney of record and certify to thecourt that the copy has been sent. If theserules do not require the filing party to send acopy of the petition or document to each partyand attorney, the filing party shall send a copyof the filing to any party or attorney whorequests it, free of charge.

(Probate Court Rules, sections 5.5, 5.7,10.1, 14.5, 30.7, 30.12, 30.22, 30.23, 32.4,33.8, 34.3, 36.5, 40.16, 41.1, 60.2, 61.9and 71.7.)

Section 7.2 Commencing a proceeding(a) To commence a proceeding, a peti-

tioner shall file a petition, together with anyfiling fee required under section 6.1. The peti-tion shall include:

(1) a description of the action soughtand the basis for the request;

(2) the name and address of each party;

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7.4 Signature required7.5 Account Numbers

(3) the date of birth of each party whois a minor; and

(4) the name, address and position oftrust of the legal representative of any partywho has been adjudicated incapable.

(b) The petitioner shall use reasonableefforts to determine the name and addressof each party. If the petitioner is unable todetermine the name or address of a party,the petition shall include a statement describ-ing the efforts made to identify and locatethe party.

(c) A petitioner shall, in accordance withthe Servicemembers Civil Relief Act, indicatewhether a party is in the active military serviceof the United States when commencing a pro-ceeding concerning:

(1) a decedent’s estate;(2) a trust;(3) a children’s matter; or(4) any other matter in which adjudica-

tion of an interest of a servicemember issought.

(Servicemembers Civil Relief Act, 50U.S.C. app. section 521.)

Section 7.3 Forms(a) The court shall accept a document if it:

(1) is filed on the latest revision of a formpublished by the probate court administra-tor; and

(2) complies with sections 7.1 and 7.2.(b) The court may require documentation

in addition to the information on the form.(c) Unless otherwise required by statute or

these rules, use of a form published by theprobate court administrator is not required. Apetition not on a form published by the pro-bate court administrator shall comply with therequirements of statute and these rules.


Section 7.4 Signature required(a) Except as provided in subsection (b),

the court shall not act on a request, motion,petition or other document unless it bears theoriginal signature of the individual filing it.

(b) The court may act on a request, motion,petition or document lacking an original sig-nature when in receipt of a:

(1) written request for a hearing whenthe court has given notice using the stream-line notice procedure under section 8.6;

(2) document submitted by a stateagency with an electronic signature;

(3) motion or request made during ahearing;

(4) commitment petition, including arequest for a probable cause hearing, whenthe signed original petition will be deliveredto the court on or before the hearing; and

(5) request, motion, petition or docu-ment if the court determines that action isnecessary before the signed original is filed.

(c) An attorney may sign a request,motion, petition or other document on behalfof a client unless it is required to be signedunder oath or penalty of false statement.

(d) Except as provided in subsections (c)

HISTORY: Rule 7 adopted effective July 1, 2013. Sections 7.1 and 7.2 amended and section 7.5 adopted effective July 1, 2017.

11

and (e), each cofiduciary shall sign a request,motion, petition or other document filed ina matter.

(e) A cofiduciary may submit a request,motion, petition or other document that is notsigned by another cofiduciary if the filingincludes a written statement explaining whythe signature could not be obtained.Section 7.5 Account Numbers

(a) Except as provided in subsections (b)through (d), when reporting information aboutan account held at a bank or other financialinstitution, the fiduciary may list the name ofthe financial institution and the last four digitsof the account number in lieu of the fullaccount number.

(b) A petitioner filing an affidavit in lieu ofadministration shall list the name of the finan-cial institution and full account number foreach of the decedent’s accounts.

(c) A fiduciary required to establish arestricted account under section 35.7 shallreport the name of the financial institution andfull account number of the account.

(d) The court may require the fiduciary toprovide the full account number for anaccount if the court determines that disclo-sure is necessary.


Rule 8

Notice

Section Section8.1 Notice of hearing and decree8.2 To whom notice is given8.3 Change of address while matter is

pending8.4 Contents of notice of hearing8.5 How notice of hearing given8.6 Streamline notice procedure

Section 8.1 Notice of hearing anddecree

Unless otherwise provided by law or theserules, the court shall:

(1) schedule a hearing or conference,as applicable, on each motion or petition,including the court’s own motion;

(2) give notice of each hearing or confer-ence in the manner provided in sections 8.2through 8.9; and

(3) send a copy of each decree in themanner provided in section 8.10.

(C.G.S. sections 45a-124, 45a-127 and 51-53; Probate Court Rules, rules 60 and 69.)

Section 8.2 To whom notice is given(a) The court shall give notice under sec-

tion 8.1 to each:(1) party;(2) attorney of record;(3) fiduciary for a party under section

4.2; and(4) other person required by law.

(b) If a proceeding may affect a charitableinterest or beneficiary, the court shall givenotice to the Attorney General under sec-tion 8.1.

(c) Unless otherwise prohibited by law, thecourt may give notice under section 8.1 toany person who:

(1) requests notice in writing underC.G.S. section 45a-127; or

(2) the court determines has a sufficientinterest in the proceedings.

(d) On request of a party or on the court’sown motion, the court may remove a person

12

8.7 Waiver of notice of hearing8.8 Address unknown; notice of hearing

returned undelivered8.9 Notice of hearing for member of mili-

tary service8.10 Notice of decree

from the list of persons to whom the court willgive notice of future proceedings if the courtdetermines that the person is not entitled tonotice under subsection (a). The court mayact without notice and hearing. If the courtremoves a person from the list, the court shallnotify the person, in writing, of the removaland inform the person that a written requestfor special notice may be made under C.G.S.section 45a-127.

(C.G.S. section 3-125.)Section 8.3 Change of address whilematter is pending

(a) A party shall inform the court and thefiduciary, if any, of a change in address ofthe party during the pendency of the matter.

(b) A fiduciary shall use reasonable effortsto keep informed of any change in address ofa party to whom the fiduciary owes a fiduciaryduty and shall notify the court of the change.

(c) If there is no fiduciary, a petitioner shalluse reasonable efforts to keep informed ofany change in address of a party during thependency of the matter and shall notify thecourt of the change.Section 8.4 Contents of notice ofhearing

A notice of hearing or conference shallinclude:

(1) a description of the motion or petitionto be heard or the subject matter of the con-ference;

(2) the time and place of the hearing orconference; and

(3) a list of the names and addresses ofparties, attorneys and others to whom noticeis being sent.


Section 8.5 How notice of hearing given(a) Unless otherwise required by law, the

court shall give notice of hearing or confer-ence by:

(1) regular mail; or(2) other method that the court deter-

mines necessary to notify a party of thehearing.

(b) Notice by mail is complete on mailing.(c) Unless otherwise required by law or

directed by the court, the court shall givenotice of hearing or conference at least sevendays before the hearing or conference.

(d) The court shall certify on the record thedate and manner by which notice was given.

(e) If, before commencing a hearing orconference, the court reschedules the hear-ing or conference to another date and time,the court shall give notice of the rescheduledhearing or conference in accordance with thissection. After commencing a hearing or con-ference at which parties are in attendance,the court may announce the date and timewhen the hearing or conference will continuewithout giving additional written notice.

(C.G.S. sections 45a-125 and 45a-126(b).)

Section 8.6 Streamline notice pro-cedure

(a) Except as provided in subsection (i),the court may, in lieu of scheduling a hearing,use the streamline notice procedure for thematters set forth in subsections (g) and (h).Use of the streamline notice procedure underthis section satisfies a requirement for noticeand hearing under statute or these rules.

(b) When using the streamline notice pro-cedure, the court shall give notice of the rightto request a hearing to each person that thecourt determines is entitled to notice undersection 8.2.

(c) A notice of the right to request a hearingshall include a statement that:

(1) the court will, on written request ofa party, schedule a hearing on the motionor petition;

(2) the court must receive the writtenrequest for a hearing on or before the datespecified in the notice; and

(3) the court may approve the motion orpetition without a hearing if a written request

13

for a hearing is not received on or before thedate specified in the notice.

(d) The court shall give notice of the rightto request a hearing at least ten days beforethe deadline to request a hearing.

(e) If the court receives a timely writtenrequest for a hearing, the court shall schedulea hearing and give notice of the hearing.

(f) If the court does not receive a timelywritten request for a hearing, the court mayapprove the motion or petition. The court maynot deny the motion or petition without sched-uling a hearing and giving notice of thehearing.

(g) Except as provided in subsection (i),the court shall use the streamline notice pro-cedure under this section in the followingmatters:

(1) decedents’ estates; and(2) trusts.

(h) Except as provided in subsection (i),the court may use the streamline notice pro-cedure under this section in the followingmatters:

(1) an account of a guardian of theestate of a minor;

(2) an account of a conservator of theestate;

(3) a motion to modify visitation orders;(4) a motion to transfer a probate file

between probate courts under C.G.S. section45a-599 or 45a-677 (h);

(5) a motion to transfer a contested chil-dren’s matter to the Superior Court underC.G.S. section 45a-623 or 45a-715 (g); and

(6) a petition to transfer a conservator-ship matter to another state or accept a trans-fer from another state under C.G.S. section45a-667p or 45a-667q.

(i) The court shall schedule a hearingrather than using the streamline notice proce-dure for a proceeding specified in subsection(g) or (h) if the court determines that:

(1) the matter is contested or requirestestimony or legal argument;

(2) public notice is required to protectthe interests of a party;

(3) the circumstances related to the par-ticular petition require the conduct of a hear-ing with attendance by a party; or

(4) the matter involves the doctrine of cypres or equitable deviation or the construction


of a document that affects a charitable benefi-ciary or interest.

(C.G.S. sections 45a-124 through 45a-126, 45a-598, 45a-612 and 45a-667p and45a-667q; Probate Court Rules, sections18.1 and 40.16.)Section 8.7 Waiver of notice of hearing

(a) A party may waive the party’s right tonotice of hearing by filing a written waiverof notice.

(b) A fiduciary identified in section 4.2 maywaive notice of hearing on behalf of the indi-vidual for whom the fiduciary acts by filing awritten waiver of notice.

Section 8.8 Address unknown; notice ofhearing returned undelivered

(a) Except as otherwise provided by law,if the name or address of a party is unknown,the court may give public notice of a hearing,appoint a guardian ad litem for the person,dispense with notice or take other appro-priate action.

(b) If, before a hearing, notice to a personis returned to the court undelivered, the courtmay order additional mail notice. If additionalmail notice would be futile, the court may givepublic notice, appoint a guardian ad litem forthe person, dispense with notice or take otherappropriate action.

(c) If, after the hearing but before a decreeis issued, the court is notified of a newaddress for a person who might not havereceived notice of the hearing, the court maydelay issuance of the decree for a reasonableperiod to allow the person to request anotherhearing or waive notice of hearing. The courtshall give notice of the delay, including theperiod and reason for the delay, to each per-son that the court determines is entitled tonotice under section 8.2.

(d) If, after a decree is issued, the court isnotified of a new address for a person whomight not have received notice of the hearing,the court shall send a copy of the decree tothe person and a statement that the personmay wish to consult an attorney.

(e) If a person appears at a hearing forwhich the person did not receive proper

HISTORY: Rule 8 adopted effective July 1, 2013. Section 8.2 amended effective July 1, 2015. Section 8.10 amended effectiveJuly 1, 2017.

14

notice, the court may proceed with the hear-ing unless:

(1) the court determines, on objectionraised at the hearing, that the person wouldbe prejudiced by the lack of notice; or

(2) the matter is a conservatorship pro-ceeding and the respondent was not person-ally served as required under C.G.S. section45a-649 (a) (2).

(C.G.S. sections 45a-128, 45a-187, 45a-609 (b) and 45a-716 (c); Probate Court Rules,section 40.9.)

Section 8.9 Notice of hearing for mem-ber of military service

(a) A party to a proceeding identified undersection 7.2 (c) who is in the active militaryservice of the United States may file a specialappearance indicating the address to whichnotice can be sent.

(b) If the party does not file a specialappearance under subsection (a), the courtshall appoint an attorney for the party andsend notice of the appointment to each partyand attorney of record.

(c) The court shall not issue a final decisionin a matter identified in section 7.2 (c) unlessthe requirements of subsection (a) or (b) havebeen satisfied.

(Servicemembers Civil Relief Act, 50U.S.C. app. section 521.)

Section 8.10 Notice of decree(a) The court shall send, by regular mail,

a copy of each decree bearing the seal of thecourt and a copy of the certification undersubsection (c) to each person entitled tonotice under section 8.2.

(b) Unless a different time is required bylaw or directed by the court, the court shallmail the copy of the decree not later than tendays after the date of the decree.

(c) The court shall certify on the decree oron a separate attached page the date thedecree was mailed and the persons to whomthe decree was sent.

(Probate Court Rules, sections 3.1 (b)and 6.5.)


Rule 9

Counting Time Periods

Section Section9.1 Counting time periods

Section 9.1 Counting time periods(a) Unless otherwise required by law, a

period of time shall be calculated using calen-dar days. If a statute or rule establishes aperiod using business days, the period shallbe calculated by excluding Saturdays, Sun-days and holidays.

(b) Unless otherwise required by law, aperiod of time shall be calculated by excludingthe day of the act or event with reference towhich the period runs. If the period is speci-fied in hours, the hour of the act or eventwith reference to which the period runs shallbe excluded.


15

9.2 Extension of time period

(c) Unless otherwise required by law, aperiod of time shall be calculated by includingthe last day of the period unless the court isnot open on that day. If the court is not open,the period shall extend through the next daythe court is open.Section 9.2 Extension of time period

(a) A party may request extension of aperiod of time established by court order. Therequest shall be in writing and made beforeexpiration of the period.

(b) Unless otherwise required by law, thecourt may act on the request without noticeand hearing. The court shall notify each partyand attorney of record of its decision.


Rule 10

Continuances

Section Section10.1 Continuation of hearing

Section 10.1 Continuance of hearing(a) On request of a party or on the court’s

own motion, the court may continue a sched-uled hearing.

(b) The party seeking a continuance shallfile a written request as far in advance of thescheduled hearing as possible. The requestshall state the reason for the continuance andindicate whether each party has agreed tothe continuance.

(c) The party seeking a continuance shallsend a copy of the request to each attorneyof record and self-represented party and cer-tify to the court that the copy has been sent.

(d) The court may waive the requirementsof subsections (b) and (c) if strict adherencewill cause injustice.

HISTORY: Rule 10 adopted effective July 1, 2013. Section 10.2 amended effective July 1, 2017.

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10.2 Assessment of expenses if hearing con-tinued

(e) The court may act on a request for con-tinuance or objection to the request withoutnotice and hearing.

Section 10.2 Assessment of expenses ifhearing continued

(a) If the court grants the request of a partyfor a continuance, the court may assess feesand expenses against the requesting partyunder C.G.S. section 45a-106a (f) or 45a-107 (g).

(b) If the court continues a hearingbecause a party or attorney for the party failedto attend the hearing, the court may assessfees and expenses against the party underC.G.S. section 45a-106a (f) or 45a-107 (g).


Rule 11

Service of Process on Court as AgentSection11.1 Service of process on court as agent

Section 11.1 Service of process oncourt as agent

(a) If service of process is made on thecourt as agent for service of process for anonresident fiduciary, attorney appearing prohac vice or nonresident personal surety on aprobate bond, the court shall record on theserved papers the date and hour that servicewas made.

(b) Not later than two business days afterservice is made on the court, the court shall


17

send the original served papers, by certifiedmail, to the fiduciary, attorney or surety anda copy, by regular mail, to the attorney forthe fiduciary or the Connecticut attorneyappearing with the attorney admitted prohac vice.

(c) The court shall retain a copy of theserved papers bearing the notation of thedate and hour of service.

(C.G.S. sections 45a-206 (b), 52-60 and52-61; Probate Court Rules, sections 5.2 (a)(2) and 35.3 (d).)


Rule 12

Court-appointed Attorney

Section Section12.1 When attorney appointed12.2 Appointment from panel of attorneys

maintained by probate court adminis-trator

12.3 Appointment from panel of attorneysmaintained by court

Section 12.1 When attorney appointed(a) The court shall appoint an attorney to

represent a party when appointment isrequired by law.

(b) The court shall appoint an attorney torepresent a party when appointment isauthorized by law and the court determinesthat the appointment is necessary to protectthe interests of the party.

(c) The court shall send a copy of theappointment to each party and attorney ofrecord.Section 12.2 Appointment from panel ofattorneys maintained by probate courtadministrator

The court shall appoint an attorney for anunrepresented party from the panel of attor-neys maintained by the probate court admin-istrator when appointment is required in thefollowing matters:

(1) commitment for treatment of psychi-atric disability under C.G.S. section 17a-76or 17a-498;

(2) involuntary placement of a personwith intellectual disability under C.G.S. sec-tion 17a-274;

(3) appointment of a special limited con-servator under C.G.S. section 17a-543a;

(4) commitment for treatment of drugand alcohol dependency under C.G.S. sec-tion 17a-685;

(5) order of quarantine or isolation underC.G.S. sections 19a-131b and 19a-221;

(6) commitment for treatment of tuber-culosis under C.G.S. section 19a-265 (h);

(7) involuntary appointment of conser-vator under C.G.S. section 45a-649a;

(8) sterilization under C.G.S. section45a-694; and

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12.4 Court-appointed attorney: Rules of Pro-fessional Conduct

12.5 Duration of appointment12.6 Withdrawal from court appointment

(9) any other statute that requiresappointment of an attorney from the panel.

(Probate Court Regulations, section 13.)Section 12.3 Appointment from panel ofattorneys maintained by court

(a) Each court shall maintain a panel ofattorneys.

(b) If the appointment of an attorney for anunrepresented party is required by law andthe appointment is not governed by section12.2, the court shall appoint an attorney fromthe panel maintained under subsection (a).

(c) Notwithstanding subsection (b), thecourt may appoint an attorney from the panelmaintained by the probate court administratorfor any matter under this section.

(Probate Court Regulations, sections 13Band 13C.)Section 12.4 Court-appointed attorney:Rules of Professional Conduct

An attorney appointed to represent a partyunder rule 12 shall advocate for the client inaccordance with the Rules of ProfessionalConduct.Section 12.5 Duration of appointment

Unless otherwise required by law, theappointment of an attorney by the court shallcontinue for the duration of the matter in theProbate Court or until further order of thecourt.

(C.G.S. section 45a-649a; ConnecticutPractice Book section, 35a-19 (c).)Section 12.6 Withdrawal from courtappointment

On written request of a court-appointedattorney, the court may permit the attorneyto withdraw from representation of a party.


The court may act on the request withoutnotice and hearing. If the court grants therequest, the court shall appoint another


19

attorney and notify each party and attorneyof record of the appointment.

(Probate Court Rules, section 5.7.)


Rule 13

Court-appointed Guardian Ad Litem

Section Section13.1 Mandatory appointment of guardian

ad litem13.2 Discretionary appointment of guardian

ad litem13.3 Scope of appointment13.4 Termination of appointment

Section 13.1 Mandatory appointment ofguardian ad litem

(a) The court shall appoint a guardian adlitem for:

(1) a parent who is a minor or is incom-petent in a proceeding under C.G.S. sections45a-603 through 45a-622 or sections 45a-715 through 45a-719;

(2) a minor child in a proceeding underC.G.S. section 46b-172a;

(3) a parent who is a minor or is incom-petent in a proceeding under C.G.S. section46b-172a;

(4) a relative in a proceeding underC.G.S. section 45a-751b or 45a-753 (c)whose identity is sought and whose addressis unknown or who appears to be incompetentbut has not been adjudicated incompetent bya court; and

(5) a party in a proceeding under anyother statute or rule that requires appointmentof a guardian ad litem.

(b) The court shall send a copy of theappointment to each party and attorney ofrecord.

(C.G.S. sections 17a-77, 45a-163 (a) and45a-164 (d); Probate Court Rules, section32.3.)

Section 13.2 Discretionary appointmentof guardian ad litem

(a) Except as prohibited by C.G.S. section45a-132, the court may appoint a guardianad litem for a party:

(1) who is a minor;

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13.5 Who may serve as guardian ad litem13.6 Duties of guardian ad litem13.7 Instruction and advice from court13.8 Guardian ad litem may appeal from

court order

(2) who is incompetent or who appearsto be incompetent but has not been adjudi-cated incompetent by a court;

(3) who is undetermined or unborn; or(4) whose name or address is unknown.

(b) The court may consider the appoint-ment of a guardian ad litem for a party onrequest of a party or person interested in thewelfare of a party or on the court’s ownmotion. The court may act without noticeand hearing.

(c) The court may appoint a guardian adlitem under this section only if the court, afterconsidering the legal and financial interestsat issue, determines that the appointmentis necessary.

(d) In a proceeding involving a conservedperson under C.G.S. section 17a-543, 17a-543a or 45a-644 through 45a-663, the proce-dures under C.G.S. section 45a-132 (a)apply.

(e) The court shall send a copy of theappointment to each party and attorney ofrecord.

(C.G.S. sections 45a-603 through 45a-622and 45a-715 through 45a-719; Probate CourtRules, sections 30.8, 30.9, 32.3 and 40.2.)

Section 13.3 Scope of appointment(a) The court may limit the scope of

appointment of a guardian ad litem to a spe-cific purpose or to answer a specific question.

(b) In a proceeding involving a conservedperson under C.G.S. section 17a-543, 17a-543a or 45a-644 through 45a-663, the courtshall limit the scope of appointment of aguardian ad litem in accordance with C.G.S.section 45a-132 (a).


Section 13.4 Termination of appoint-ment

(a) On request of a party or on the court’sown motion, the court may terminate theappointment of a guardian ad litem at anytime if the court determines that a guardianad litem is no longer needed. The court mayact without notice and hearing.

(b) In a proceeding involving a conservedperson under C.G.S. section 17a-543, 17a-543a or 45a-644 through 45a-663, the courtshall terminate the appointment of a guardianad litem if required under C.G.S. section 45a-132 (a).

Section 13.5 Who may serve as guard-ian ad litem

(a) The court shall appoint as guardian adlitem an adult whose interests do not conflictwith the interests of the person for whom theguardian ad litem will act.

(b) When appointing a guardian ad litemfor a person, the court shall:

(1) consider whether the interests of theperson require the protection of a guardian adlitem with legal or other professional training;

(2) give preference to a parent, guardianor other family member if the person is aminor, unless the court finds a conflict of inter-est under subsection (a) or that legal or otherprofessional training is required under sub-section (b) (1); and

(3) match the abilities of the guardian adlitem with the needs of the person.

(C.G.S. section 45a-132 (d).)

Section 13.6 Duties of guardian ad litem(a) A guardian ad litem shall:

(1) advocate for the best interests of theperson for whom the guardian is acting; and


21

(2) if the person is a minor, make rea-sonable efforts to keep each parent or guard-ian of the minor who is not a party to thematter advised of the actions of the guardianad litem and the court.

(b) A guardian ad litem may recommendto the court a waiver, election, modificationor compromise of the rights or interests ofthe person for whom the guardian ad litem isacting and may, with approval of the court,effectuate the waiver, election, modificationor compromise on behalf of the person.

(c) A guardian ad litem does not have titleto, or custody of, property of the person forwhom the guardian ad litem is acting.

Section 13.7 Instruction and advicefrom court

(a) On request of a guardian ad litem oron the court’s own motion, the court may giveinstruction and advice concerning the dutiesand scope of appointment of the guardianad litem.

(b) A guardian ad litem and the court shallnot engage in ex parte communication.Advice and instruction from the court shallbe provided at a hearing or conference or inwriting with a copy to each party and attorneyof record.

(Probate Court Rules, rule 68.)

Section 13.8 Guardian ad litem mayappeal from court order

A guardian ad litem may appeal from adecree affecting the interests of the personfor whom the guardian ad litem is acting. Sub-ject to approval of the court, the guardianad litem may incur necessary expenses inconnection with the appeal.

(C.G.S. sections 45a-186 and 45a-187.)


Rule 14

Referral to Probate Magistrate andAttorney Probate Referee

Section Section14.1 Referral to probate magistrate and

attorney probate referee14.2 Hearing before probate magistrate or

attorney probate referee14.3 Report of probate magistrate or attorney

probate referee

Section 14.1 Referral to probate magis-trate and attorney probate referee

(a) Except for a matter involving involun-tary conservatorship, involuntary commit-ment or temporary custody of a minor, thecourt, with the consent of each party or attor-ney for the party, may refer a contested peti-tion or motion to a probate magistrate orattorney probate referee. The court shall filea notice of referral and request for assign-ment of a magistrate or referee with the pro-bate court administrator.

(b) If sufficient funds are available and theadministrator determines that assignment ofa magistrate or referee is appropriate, theadministrator shall assign a magistrate or ref-eree to hear the petition and file a report.The administrator shall assign a magistrateor referee from the panel of magistrates orreferees appointed by the Chief Justice of theSupreme Court of Connecticut.

(c) The court shall notify each party andattorney of record of the assignment of a mag-istrate or referee under this section.

(C.G.S. sections 45a-123 and 45a-123a.)

Section 14.2 Hearing before probatemagistrate or attorney probate referee

(a) Unless a continuance is granted, a pro-bate magistrate or attorney probate refereeshall commence the hearing on the referredpetition not later than 21 days after theassignment under section 14.1 (b).

(b) The magistrate or referee shall haveall the powers available to a probate judge

22

14.4 Amendment to report14.5 Objection to report or amendment14.6 Hearing on report14.7 Issuance of decree on report14.8 Continuance or deferral of court action

pending decision on report

in the management of a hearing or confer-ence on the petition or motion, including, butnot limited to, the authority to supervise dis-covery, compel the attendance of witnessesand exercise contempt powers.

(c) The magistrate or referee shall causean audio recording to be made of each hear-ing under this section. Unless otherwiseagreed by the parties under C.G.S. section51-72, a hearing under this section is not aproceeding on the record for the purposes ofan appeal under C.G.S. section 45a-186 (a).


Section 14.3 Report of probate magis-trate or attorney probate referee

(a) Not later than 60 days after the conclu-sion of the hearing on the petition referredunder section 14.1, the probate magistrate orattorney probate referee shall file a reportwith the referring court.

(b) The report under this section shall con-tain, in separate and consecutively numberedparagraphs, findings of fact and conclusionsof law regarding the petition.

(c) Not later than two business days afterthe magistrate or referee files the report, thecourt shall send a copy of the report to eachparty and attorney of record.

(C.G.S. section 45a-123.)

Section 14.4 Amendment to report(a) The probate magistrate or attorney pro-

bate referee may file an amendment to thereport at any time before the court accepts,modifies or rejects the report.


(b) Not later than two business days afterthe magistrate or referee files an amendment,the court shall send a copy of the amendmentto each party and attorney of record.


Section 14.5 Objection to report oramendment

(a) Not later than 21 days after a report oran amendment to a report is filed under sec-tion 14.3 or 14.4, a party may file an objectionto the report or amendment. The party shallsend a copy of the objection to each partyand attorney of record and certify to the courtthat the copy has been sent.

(b) An objection under this section shall bein writing and shall specify:

(1) each finding or conclusion of law towhich the party is objecting; and

(2) the basis for the objection.(C.G.S. section 45a-123.)

Section 14.6 Hearing on report(a) If a party files an objection to a report

or an amendment to a report under section14.5, the court shall conduct a hearing on thereport or amendment. If no objection is filedduring the 21-day period under section 14.5,the court may dispense with notice of hearingand issue a decree accepting the report andany amendment thereto.

(b) When conducting a hearing under sub-section (a), the court shall consider only theevidence or testimony presented to the pro-bate magistrate or attorney probate referee.

(c) The court may require a transcriptionof the audio recording of the hearing or part ofthe hearing before the magistrate or referee.The party filing the objection under section


23

14.5 shall pay for the transcription, exceptthat the expense of the transcription shall bepaid from the probate court administrationfund if the court determines that the objectingparty is unable to pay for the transcription.


Section 14.7 Issuance of decree onreport

(a) If the court dispenses with notice ofhearing under section 14.6 (a), the court shallissue a decree accepting the report not laterthan 30 days after receipt of the report or, ifan amendment was filed, not later than 30days after receipt of the amendment.

(b) If the court conducts a hearing undersection 14.6, the court shall issue a decreeaccepting, amending or rejecting the reportand any amendment thereto not later than 30days after the conclusion of the hearing.

(c) If the court rejects the report of the pro-bate magistrate or attorney probate referee,the court may hear the petition or refer thematter to the probate court administrator forassignment of another magistrate or refereeunder section 14.1.

(C.G.S. section 45a-123.)Section 14.8 Continuance or deferral ofcourt action pending decision on report

If the court determines that a petitionreferred under this rule must be resolvedbefore the court hears another petition ormotion in the same matter, the court maycontinue a hearing or defer action on the otherpetition or motion until the court issues thedecree on the report of the probate magistrateor attorney probate referee. The court shallgive notice of the continuance or deferral toeach party and attorney of record.


Rule 15

Disqualification of Judge

Section Section

15.1 Applicability15.2 When disqualification of judge is

required15.3 Motion for disqualification of judge

Section 15.1 ApplicabilityIn this rule, ‘‘judge’’ means probate judge,

probate magistrate and attorney probatereferee.


Section 15.2 When disqualification ofjudge is required

A judge shall disqualify himself or herselfif required under C.G.S. section 45a-22, rule2.11 of the Code of Probate Judicial Conductor these rules.

(Probate Court Rules, sections 33.3 (b) and40.4 (b).)

Section 15.3 Motion for disqualificationof judge

(a) A party seeking disqualification of ajudge shall file a motion setting forth thegrounds for disqualification.

(b) The party shall file the motion for dis-qualification at least three business daysbefore the hearing on the matter for whichdisqualification is sought.

(c) The court may waive the requirementof subsection (b) if strict adherence willcause injustice.

(d) The court shall decide the motion fordisqualification before hearing the underly-ing matter.

Section 15.4 Hearing and decision onmotion for disqualification

(a) On receipt of a motion for disqualifica-tion, the judge shall:

(1) disqualify himself or herself;(2) conduct a hearing on the issue of

disqualification; or(3) ask the probate court administrator

to cite another judge under section 15.7, with-

24

15.4 Hearing and decision on motion for dis-qualification

15.5 Lawsuit or complaint against judge15.6 Disclosure and waiver of disqualification15.7 Judge to act for disqualified judge

out recommending or suggesting a judge, tohear and decide the issue of disqualification.

(b) The court shall issue a decree, in writ-ing, on a motion for disqualification. If thecourt denies the motion, the court shall makefindings regarding the grounds set forth inthe motion.


Section 15.5 Lawsuit or complaintagainst judge

(a) A judge is not automatically disqualifiedfrom acting on a matter because a party orattorney for the party has a pending lawsuitagainst the judge or pending complaint aboutthe judge with the Council on Probate Judi-cial Conduct.

(b) If the judge becomes aware of a lawsuitor complaint about the judge, the judge shall:

(1) disqualify himself or herself; or(2) advise each party and attorney of

record of the lawsuit or complaint and:(A) conduct a hearing on the issue of

disqualification; or(B) ask the probate court administra-

tor to cite another judge under section 15.7 tohear and decide the issue of disqualification.

(c) Disclosure of a complaint under sub-section (b) (2) is not a waiver of confidentialityof proceedings before the council. Any per-son who has information about a complaintor the council’s investigation of the complaintas a result of the disclosure under subsection(b) (2) shall not disclose the information to athird party unless the judge, when makingthe disclosure, indicates that the judge haswaived confidentiality in the proceedingbefore the council.

(C.G.S. section 45a-63 (g).)


Section 15.6 Disclosure and waiver ofdisqualification

(a) If a judge is not disqualified from actingunder C.G.S. section 45a-22, rule 2.11 of theCode of Probate Judicial Conduct or theserules but is aware of information that a partyor attorney for a party might consider relevantto the question of disqualification, the judgeshall disclose the information, in writing, toeach party and attorney of record.

(b) The judge may hear the matter if:(1) after the disclosure under subsection

(a), each party and attorney of record isafforded an opportunity to consider waiver ofdisqualification outside the presence of thejudge; and

HISTORY: Rule 15 adopted effective July 1, 2013. Sections 15.2, 15.5 and 15.6 amended effective July 1, 2017.

25

(2) no party or attorney files a motion todisqualify the judge under section 15.3.

(c) The written disclosure under this sec-tion shall be included in the permanent officialrecord of the matter.

(Probate Court Rules, sections 33.3 (b) and40.4 (b).)

Section 15.7 Judge to act for disquali-fied judge

If a judge disqualifies himself or herselffrom hearing a matter, the court shall ask theprobate court administrator to cite anotherjudge, without recommending or suggestinga judge, to act in the matter under C.G.S.section 45a-120.


Rule 16

Public Access to Hearingsand Records

Section Section16.1 Public access to hearings and records16.2 Statutorily confidential matters in

general16.3 Redaction of name or address of party

in statutorily confidential matter16.4 Confidentiality of judge’s notes16.5 Confidentiality of social security

numbers16.6 Motion to close hearing or seal record

in nonconfidential matter16.7 Hearing on motion to close hearing or

seal record in nonconfidential matter

Section 16.1 Public access to hearingsand records

Unless otherwise provided by law ordirected by the court in accordance with thisrule, members of the public may observehearings, status conferences and hearingmanagement conferences and may view andobtain copies from court records.

(Probate Court Rules, rules 17, 21, 60and 63.)

Section 16.2 Statutorily confidentialmatters in general

(a) Except as otherwise ordered by thecourt, a person who is not a party is not enti-tled to observe a hearing, status conferenceor hearing management conference or viewor obtain copies from the record in a matterthat is confidential under statute. If part butnot all of the hearing, conference or recordis confidential, a person who is not a party isnot entitled to observe the confidential partof the hearing or conference or have accessto the confidential part of the record.

(b) Except as provided in section 16.3 orrule 17, a party or attorney for a party is enti-tled to participate in the hearing and to viewand obtain copies from the record, includingan audio recording or transcript. The courtmay prohibit a party or attorney from disclos-ing a confidential record to any other person.

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16.8 Order to close hearing or seal recordin nonconfidential matter

16.9 Public access to motion, hearing andorder to close hearing or seal record innonconfidential matter

16.10 Vacating order to close hearing orseal record

16.11 Power to maintain order duringhearings

16.12 Confidentiality of mediation sessionsand records

(c) C.G.S. sections 45a-743 through 45a-753 govern access to adoption records.

(d) The court may permit a person who isnot a party to attend a hearing on a confiden-tial matter if permitted by law or if all par-ties consent.

(C.G.S. sections 12-15, 12-398 (c), 17a-274 (b), 17a-500, 17a-688 (a), 19a-265 (o),45a-100 (n), 45a-650 (c), 45a-670, 45a-692and 45a-754 (a); Probate Court Rules, rule65 and sections 44.1, 45.1 and 46.1.)

Section 16.3 Redaction of name oraddress of party in statutorily confiden-tial matter

(a) On motion of a party in a matter thatis confidential under statute, the court mayredact the name or address of a party, andinformation that would reveal the name oraddress of a party, if the court determines thatredaction is necessary to protect the safety ofa party. The court may use a pseudonym inlieu of the redacted name. The court may acton the motion without notice and hearing.

(b) A party seeking redaction under sub-section (a) shall file an affidavit of facts insupport of the request before filing a docu-ment containing the name or address.

(c) On motion of a party or on the court’sown motion, the court may vacate a redactionorder if:


(1) the grounds for redaction no longerexist; or

(2) the order to redact the informationwas improvidently issued.

The court may act on the motion withoutnotice and hearing.

Section 16.4 Confidentiality of judge’snotes

Except as otherwise required by law ordirected by the court, notes taken by the judgein connection with a matter are confidentialand may not be viewed by any person otherthan a clerk of the court.

Section 16.5 Confidentiality of socialsecurity numbers

See rule 17.

Section 16.6 Motion to close hearing orseal record in nonconfidential matter

(a) A party seeking to close a hearing tothe public shall file a motion at least threebusiness days before the hearing on thematter.

(b) A party seeking to seal all or a part ofa record shall file a motion before filing adocument that is the subject of the motion.The motion to seal may request use of apseudonym in lieu of the name of a party orredaction of other information.

(c) A motion to close a hearing or seal arecord under subsection (a) or (b) shall setforth the grounds for the proposed action.

(d) The court may initiate a proceeding toclose a hearing or seal a record on its ownmotion.

Section 16.7 Hearing on motion to closehearing or seal record in nonconfiden-tial matter

(a) The court shall give notice of the hear-ing on a motion to close a hearing to the publicor seal a record to each party and attorney ofrecord. The court shall post notice of the time,date and place of the hearing at a location inor adjacent to the court that is accessible tothe public. The court may, in addition, givenotice by another method if necessary tonotify the public of the hearing.

(b) Any person whom the court determinesto have an interest in the proceeding may

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present evidence and argument concerningthe public and private interests at issue.


Section 16.8 Order to close hearing orseal record in nonconfidential matter

(a) After conducting a hearing under sec-tion 16.7, the court may order that all or apart of a hearing be closed to the public orall or a part of a record be sealed if the courtfinds that:

(1) closure or sealing is necessary topreserve an interest that overrides the publicinterest in open court proceedings andaccess to the record;

(2) there are no reasonable alternativesto closure or sealing, including sequestrationof witnesses or redaction or use of pseud-onyms; and

(3) the order is no broader than neces-sary to protect the overriding interest.

(b) An agreement by the parties to closea hearing or seal a record is not a sufficientbasis to order closure or sealing.

(c) If the court issues an order to close ahearing or seal a record, the court shallspecify:

(1) the interest being protected thatoverrides the public interest in open court pro-ceedings and access to the record;

(2) the alternatives to closure or sealingthat the court considered and the reasonswhy the alternatives were unavailable or inad-equate;

(3) the basis for the determination thatthe order is no broader than necessary toprotect the interest that overrides the publicinterest; and

(4) the scope and duration of the order.

Section 16.9 Public access to motion,hearing and order to close hearing or sealrecord in nonconfidential matter

(a) Except as provided in subsection (b),members of the public may view and obtaincopies of a motion to close a hearing to thepublic or seal a record and the order grantingor denying the motion. Members of the publicmay observe the hearing on the motion.

(b) If a motion to close a hearing or seala record is granted, the court may, in extraor-dinary circumstances, seal part of the motionand part of the order granting the motion.


Section 16.10 Vacating order to closehearing or seal record

On motion of a party or on the court’s ownmotion, after notice and hearing, the courtmay vacate an order to close a hearing tothe public or seal a record if:

(1) the grounds for closing the hearingor sealing the record no longer exist;

(2) the order was improvidently issued;or

(3) the interest protected by the order nolonger outweighs the public interest in opencourt proceedings and access to the record.


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Section 16.11 Power to maintain orderduring hearings

If a person is disruptive during a hearing,the court may take reasonable steps to main-tain order and ensure a fair and expeditioushearing for the parties, including the imposi-tion of limitations on access to the hearing.


Section 16.12 Confidentiality of media-tion sessions and records

See section 21.7.


Rule 17

Confidentiality of SocialSecurity Numbers

Section Section17.1 Omission or redaction of social secu-

rity number17.2 When social security number required17.3 When social security number not

required

Section 17.1 Omission or redaction ofsocial security number

Unless otherwise required by law ordirected by the court, or as required on a formpublished by the probate court administratoror DRS, a person shall not file a documentwith the court that includes a social securitynumber or employer identification number. Aperson may redact a social security numberor employer identification number from a doc-ument if necessary to comply with this rule.The responsibility for omitting or redacting asocial security number or employer identifica-tion number rests solely with the person filingthe document. The court need not review anyfiled document for compliance with this rule.

Section 17.2 When social security num-ber required

(a) If a social security number or employeridentification number is required in connec-tion with a proceeding, the number shall bereported on a separate page.

(b) The separate page containing thesocial security number or employer identifica-tion number shall be confidential. The courtshall not include the separate page in thepermanent official record for the matter andshall not disclose the number to any person,including a party, except that the court maydisclose the number if the court determines


29

17.4 Original documents17.5 Disclosure to state and federal agencies

that a person requires the number for a properpurpose related to the proceeding.

Section 17.3 When social security num-ber not required

(a) If a person files a document thatincludes a social security number or employeridentification number in a proceeding in whichthe number is not required, the court may:

(1) return the document and direct theperson to resubmit the document without thenumber; or

(2) redact the number.(b) Nothing in this rule shall require a court

to return a document that contains a socialsecurity number or employer identificationnumber or to redact the number.

Section 17.4 Original documentsIf necessary to avoid modification of an

original document containing a social securitynumber or employer identification number,the court may redact the number from a copyof the document and seal the original.

Section 17.5 Disclosure to state andfederal agencies

Notwithstanding the provisions of this rule,the court may disclose a social security num-ber or employer identification number to anagency of this state or the federal governmentor any law enforcement agency.


Rule 18

Transfer of Matter betweenProbate Courts

Section Section18.1 Transfer of guardianship matter18.2 Transfer of conservatorship matter

Section 18.1 Transfer of guardianshipmatter

(a) On motion of a person authorized byC.G.S. section 45a-599 or 45a-677, the courtmay transfer a guardianship matter to anotherprobate court if it finds that an adult with intel-lectual disability or a minor has become aresident of the other probate district and thatthe transfer is in the best interests of the adultwith intellectual disability or the minor. Thecourt may act on the motion without noticeand hearing or may use the streamlinenotice procedure.

(b) If the court has established a trustunder C.G.S. section 45a-151 or 45a-655 andthe guardianship for the beneficiary of thetrust is transferred under section 18.1 (a), thecourt may, on motion of a person authorizedby C.G.S. section 45a-599 or 45a-677 torequest a transfer of the guardianship, trans-fer the trust to the probate district to whichthe guardianship has been transferred. Thecourt may act on the motion without noticeand hearing.

(Probate Court Rules, section 8.6.)Section 18.2 Transfer of conservator-ship matter

(a) On motion of a person authorized byC.G.S. section 45a-661, the court shall trans-fer a conservatorship matter to another pro-bate court if it finds that:

HISTORY: Rule 18 adopted effective July 1, 2013. Sections 18.1 and 18.2 amended effective July 1, 2015. Section 18.3adopted effective July 1, 2017.

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18.3 Transfer of initial petition

(1) a person under conservatorship hasbecome a resident of the other probate dis-trict; and

(2) the requested transfer is the prefer-ence of the person under conservatorship.

(b) If a transfer is required under C.G.S.section 45a-661, the court may issue a deci-sion on a pending petition or motion beforeordering the transfer.

(c) If the court has established a trustunder C.G.S. section 45a-151 or 45a-655 andthe conservatorship for the beneficiary of thetrust is transferred under section 18.2 (a), thecourt may, on motion of a person authorizedby C.G.S. section 45a-661 to request a trans-fer of the conservatorship, transfer the trustto the probate district to which the conserva-torship has been transferred. The court mayact on the motion without notice and hearing.

Section 18.3 Transfer of initial petitionIf the court finds that it does not have juris-

diction to hear a petition seeking to initiate amatter but that another Probate Court in thisstate does have jurisdiction to hear the mat-ter, the court shall transfer or dismiss the peti-tion in accordance with C.G.S. section 45a-98d. The court shall conduct a hearing beforemaking findings under this section.


Rule 19

Pending Matter in Another CourtSection19.1 Duty to notify court of pending matter in

another court

Section 19.1 Duty to notify court ofpending matter in another court

Upon becoming aware that matters arepending in more than one court concerningthe same person or estate, a party shallimmediately notify each court in which a mat-ter is pending.

(C.G.S. sections 45a-667g through 45a-667o and 46b-115t; Probate Court Rules,rule 42.)


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Rule 20

Court Approval of Fiduciary Action

Section Section20.1 Petition for approval or instruction20.2 Petition to compel or prohibit action

by fiduciary

Section 20.1 Petition for approval orinstruction

A fiduciary may petition the court toapprove a proposed action, ratify a previouslytaken action or provide instruction to addressa specific situation.

(Gross v. Rell, 304 Conn. 234, 40 A.3d240 (2012).)Section 20.2 Petition to compel or pro-hibit action by fiduciary

A party may petition the court to compel orprohibit an action by a fiduciary. The court

History: Rule 20 adopted effective July 1, 2017.

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20.3 Applicability of other law

may grant a petition to compel an action onlyif the failure to take the action would be abreach of fiduciary duty or abuse of discre-tion. The court may grant a petition to prohibitan action only if the action would be a breachof fiduciary duty or abuse of discretion.

Section 20.3 Applicability of other lawNothing in this rule shall be construed to

abrogate any other provision of law that gov-erns the fiduciary’s action.


Rule 21Probate Mediation

Section Section21.1 Referral to mediation21.2 Notice; time and location of mediation

session21.3 Conduct of mediation session21.4 Termination and withdrawal

Section 21.1 Referral to mediation(a) On motion of a party or on the court’s

own motion, the court may refer a contestedmatter to a member of the mediation panelestablished by the probate court administra-tor if the parties file an agreement to mediatewith the court under which the parties:

(1) agree to participate in mediation;(2) summarize the issues that will be the

subject of mediation; and(3) agree to the allocation of mediation

fees under C.G.S. section 45a-106a (e) orsection 45a-107 (k).

(b) The parties may designate a mediatorfrom the panel to conduct the mediation. Thecourt shall refer the matter to the designatedmediator or, if the parties have not designateda mediator from the panel, to a panel memberselected by the court.

(Probate Court Regulations, section 22.)

Section 21.2 Notice; time and locationof mediation session

(a) The court shall give notice of a media-tion session to each party and attorney ofrecord. The notice shall instruct the partiesto be available for a minimum of eight hoursfrom the starting time of the mediationsession.

(b) A mediation session may be held atthe court or at any other location in the state.

Section 21.3 Conduct of mediationsession

(a) The mediator shall facilitate voluntaryresolution of the contested matter. While con-ducting mediation, the mediator may meetwith:

(1) all parties and attorneys;

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21.5 Mediator to inform court whether settle-ment achieved

21.6 Ex parte communications21.7 Confidentiality21.8 Private mediation

(2) a party or group of parties and, ifrepresented, the attorney for each party; or

(3) one or more attorneys.(b) The mediator may schedule an addi-

tional mediation session upon concluding thatfurther mediation will facilitate settlement.The court shall give notice of an additionalmediation session in accordance with section21.2 (a).

Section 21.4 Termination and with-drawal

(a) The mediator may terminate the medi-ation at any time upon concluding that furtherefforts to mediate the dispute would be futile.

(b) A party may withdraw from mediationat any time upon giving written notice to themediator, the court and each party and attor-ney of record. The mediation terminateswhen a party gives notice of withdrawal.

Section 21.5 Mediator to inform courtwhether settlement achieved

At the conclusion of the mediation, themediator shall inform the court, in writing,whether a settlement was achieved. If themediation results in resolution of the matter,the mediator shall, unless otherwise agreedby the parties, attach a copy of any settlementagreement. The court shall send a copy ofthe mediator’s communication to each partyand attorney of record.

Section 21.6 Ex parte communicationsExcept as provided in section 21.5, the

judge who refers a matter for mediation andthe mediator who conducts the mediationshall refrain from ex parte communications inall but administrative issues with respect tothe matter that is the subject of the mediation.


Section 21.7 Confidentiality(a) Mediation sessions are closed to the

public, provided that the mediator may permitmembers of the public to observe sessionsif all parties consent.

(b) Except as provided in subsections (c)and (d), records relating to the mediation areconfidential and are not open to inspectionby the parties, their attorneys or the public.

(c) The following records are open toinspection by the parties, their attorneys andthe public:

(1) the motion for referral to mediationunder section 21.1;

(2) the agreement to mediate under sec-tion 21.1;

History: Rule 21 adopted effective July 1, 2017.

Rules 22 through 29 are reserved for future use.

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(3) an order of notice issued by thecourt;

(4) the mediator’s communication undersection 21.5; and

(5) any settlement agreement filed withthe court.

(d) If a party submits a document to themediator, the mediator may disclose the doc-ument to other participants in the mediationonly if the party consents to disclosure.

Section 21.8 Private mediationNothing in this rule shall be construed to

preclude parties from engaging a privatemediator without a referral under section21.1. This rule does not apply to privatemediation.

PROBATE COURT RULES—RULES FOR SPECIFIC CASE TYPES Section 30.3

Rule 30Decedents’ Estates

Section Section30.1 When streamline notice procedure

may be used in decedent’s estate pro-ceeding

30.2 Death certificate or other proof ofdeath

30.3 Court may require petitioner to submitfamily tree

30.4 Court to inform petitioner of purportedwill in its custody

30.5 Notice in proceeding to grant adminis-tration of intestate estate

30.6 Notice in proceeding to admit will toprobate

30.7 Petitioner seeking admission of pur-ported will to send copy to parties

30.8 Appointment of guardian ad litem inproceeding to admit purported will toprobate

30.9 Appointment of guardian ad litem inintestate estate or after admission ofwill

30.10 Notice in testate estates after admis-sion of will

30.11 Notice when heir or beneficiary is aforeign citizen

30.12 Executor or administrator to send copyof inventory, status update, financialreport, account and affidavit of closingto each party and attorney

Section 30.1 When streamline noticeprocedure may be used in decedent’sestate proceeding

See rule 8.6.Section 30.2 Death certificate or otherproof of death

A petitioner seeking admission of a pur-ported will to probate or the grant of adminis-tration for the estate of an intestate decedentshall accompany the petition with a certified

35

30.13 Conflicting petitions for appointment ofcommissioner of administrative ser-vices as legal representative and set-tlement using small estates procedure

30.14 Settlement of claims in favor of dece-dent’s estate

30.15 Sale of real property from dece-dent’s estate

30.16 Distribution from estate to minor orbeneficiary who is incapable of man-aging his or her affairs

30.17 Mutual distribution agreement30.18 Distribution that bypasses inopera-

tive trust30.19 When executor or administrator to

submit financial report or account30.20 Required contents of financial report

or account of executor or administrator30.21 When executor or administrator to

submit status update30.22 When inventory and final financial

report or account excused30.23 Use of affidavit in lieu of administration

when full estate eligible to be settledas a small estate

30.24 Administrative closure of decedent’sestate

30.25 Construction, title and cy pres petitionrelating to decedent’s estate

30.26 Withholding of distribution when heiror beneficiary charged with certaincrimes

copy of the decedent’s death certificate. If thepetitioner is unable to obtain a death certifi-cate for the decedent, the petitioner may pre-sent other evidence to prove thedecedent’s death.

(C.G.S. section 45a-329.)Section 30.3 Court may require peti-tioner to submit family tree

If necessary to determine the decedent’sheirs, the court may require a petitioner seek-

PROBATE COURT RULES—RULES FOR SPECIFIC CASE TYPESSection 30.3

ing admission of a purported will to probateor the grant of administration of the estate ofan intestate decedent to submit a family treethat illustrates the decedent’s family relation-ships or other reasonably available informa-tion about the identity of the decedent’sfamily members.

(C.G.S. sections 45a-286 and 45a-303(b).)Section 30.4 Court to inform petitionerof purported will in its custody

(a) If a petitioner seeks admission of a pur-ported will to probate and the court hasanother purported will for the same decedentin its custody, the court shall advise the peti-tioner of the existence of the other purportedwill. The petitioner shall provide the name andaddress of the executor and each beneficiaryunder the other purported will.

(b) If a petitioner seeks the grant of intes-tate administration of an estate and the courthas a purported will for the same decedentin its custody, the court shall notify the peti-tioner of the existence of the purported will.The petitioner shall provide the name andaddress of the executor and each beneficiaryunder the purported will. The court shallschedule a hearing on the admission of thepurported will before acting on the petitionfor intestate administration. If no executor orbeneficiary under the purported will appearsat the hearing to advocate for admission ofthe purported will, the court shall appoint atemporary administrator to advocate foradmission.

(C.G.S. sections 45a-316 and 45a-317.)Section 30.5 Notice in proceeding togrant administration of intestate estate

(a) The court shall send notice of a petitionseeking the grant of administration of theestate of an intestate decedent to:

(1) each of the decedent’s heirs;(2) the proposed administrator;(3) the petitioner;(4) the executor of each purported will

in the custody of the court;(5) the beneficiaries under any pur-

ported will in the custody of the court;(6) each attorney of record; and(7) other persons as the court

determines.(b) The court shall send a copy of the

decree to each person listed in subsection

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(a). If the court grants the petition, the courtshall also send notice of the grant of adminis-tration, which shall include:

(1) a list of the heirs;(2) the name and address of the admin-

istrator;(3) a statement indicating whether the

administrator is required to submit a probatebond and advising the heirs of their right torequest a bond; and

(4) a statement indicating that the heirsmay address any questions regarding theestate to the administrator.

(C.G.S. section 45a-303; Probate CourtRules, section 7.2 and rule 8.)

Section 30.6 Notice in proceeding toadmit will to probate

(a) The court shall send notice of a petitionto admit a purported will to probate to:

(1) each of the decedent’s heirs;(2) each beneficiary under the purported

will being offered for probate;(3) each current and presumptive

remainder beneficiary of a trust establishedunder the purported will being offered forprobate;

(4) the Attorney General, if a beneficiaryunder a will or any current or presumptiveremainder beneficiary of a trust establishedunder the will is a charity or charitableinterest;

(5) the proposed executor or adminis-trator;

(6) the petitioner;(7) each beneficiary under any other

purported will of the decedent in the custodyof the court;

(8) each current and presumptiveremainder beneficiary of a trust establishedunder any other purported will of the decedentin the custody of the court;

(9) each attorney of record; and(10) other persons as the court

determines.(b) The court shall send a copy of the

decree to each person listed in subsection(a). If the court admits the will to probate, thecourt shall also send notice of the admissionof the will to probate, which notice shallinclude:

(1) a list of the beneficiaries named inthe will and the names of the current and


presumptive remainder beneficiaries underany trust established under the will;

(2) the name and address of the execu-tor or administrator;

(3) a statement indicating whether theexecutor or administrator is required to sub-mit a probate bond and advising the benefici-aries of their right to request a bond; and

(4) a statement indicating that the bene-ficiaries may address any questions regard-ing the estate to the executor or administrator.

(C.G.S. section 45a-286; Probate CourtRules, section 7.2 and rule 8.)

Section 30.7 Petitioner seeking admis-sion of purported will to send copy toparties

A petitioner seeking admission of a pur-ported will to probate shall send a copy ofthe petition and the will to each person listedunder section 30.6 (a) and shall certify to thecourt that the copies have been sent.


Section 30.8 Appointment of guardianad litem in proceeding to admit purportedwill to probate

(a) In a proceeding for the admission of apurported will to probate, the court mayappoint a guardian ad litem for an heir orbeneficiary of a decedent’s estate as pro-vided in section 13.2 if:

(1) in the case of an heir, the court deter-mines that the heir would likely receive agreater share of the estate if the decedentdied intestate than under the purported willthat is being offered for probate;

(2) in the case of a beneficiary under apurported will in the custody of the court thatis not being offered for probate, the courtdetermines that the beneficiary would receivea greater share of the estate under the willthat is not being offered for probate thanunder the will that is being offered for pro-bate; or

(3) in the case of a beneficiary under apurported will being offered for probate, thecourt determines that a guardian ad litem isnecessary to protect the interests of the bene-ficiary.

(b) Except as otherwise directed by thecourt, a guardian ad litem appointed undersubsection (a) shall make reasonable efforts

37

to verify that each heir or beneficiary whosename or address is unknown cannot belocated but is not required to conduct anexhaustive search for the heir or beneficiary.If the guardian ad litem is unable to locatean heir or beneficiary or if the heir or benefi-ciary is a minor or is incompetent, undeter-mined or unborn, the guardian ad litem shallverify that the will was duly executed andmake inquiry of appropriate persons to deter-mine whether a reasonable basis exists tochallenge the validity of the will. The guardianad litem shall advise the court in writingwhether the guardian ad litem objects to theadmission of the will. If the guardian ad litemobjects to admission of the will, the guardianad litem shall request a hearing on the petitionand shall present evidence in support ofthe objection.

(c) The appointment of a guardian ad litemunder this section shall terminate on theadmission of the will to probate and the dispo-sition of any appeal from the admission ofthe will unless the court determines that aguardian ad litem is necessary under sec-tion 30.9.


Section 30.9 Appointment of guardianad litem in intestate estate or after admis-sion of will

(a) In any proceeding concerning an intes-tate estate or concerning a testate estate afterthe admission of the will, the court mayappoint a guardian ad litem for an heir orbeneficiary as provided in section 13.2 if thecourt determines that a guardian ad litem isnecessary to protect the interests of the heiror beneficiary.

(b) Except as otherwise directed by thecourt, a guardian ad litem appointed underthis section shall take reasonable steps tolocate each heir or beneficiary whose locationis unknown. If the guardian ad litem is unableto locate the heir or beneficiary or if the heiror beneficiary is a minor or is incompetent,undetermined or unborn, the guardian adlitem shall review each petition concerningthe estate and the overall management of theestate. The guardian ad litem shall advise thecourt in writing whether the guardian ad litemobjects to any petition and may petition the


court for review of any action of the executoror administrator to which the guardian adlitem objects. If the guardian ad litem objectsto a petition or petitions the court for reviewof an action by the executor or administrator,the guardian ad litem shall request a hearingand shall present evidence in support of theobjection or petition.

(C.G.S. sections 45a-132, 45a-163 (a),45a-164 (d) and 45a-188.)

Section 30.10 Notice in testate estatesafter admission of will

After sending a copy of the decree admit-ting a will to probate and the notice requiredunder section 30.6 (b), the court is notrequired to give notice of subsequent pro-ceedings to the decedent’s heirs or benefici-aries under any purported will not admittedto probate unless requested under C.G.S.section 45a-127.

(C.G.S. section 45a-293; Probate CourtRules, rule 8.)

Section 30.11 Notice when heir or bene-ficiary is a foreign citizen

If the court is aware that an heir or benefi-ciary is a citizen of a foreign country and ifrequired by treaty between the United Statesand the country of which an heir or beneficiaryis a citizen, the court shall send a copy of adecree admitting a will to probate or grantingadministration of the estate of an intestatedecedent to the embassy or consulate of thecountry of the heir or beneficiary.

Section 30.12 Executor or administratorto send copy of inventory, status update,financial report, account and affidavit ofclosing to each party and attorney

(a) Except as provided in subsection (c),the executor or administrator of an estateshall send a copy of the inventory, each sup-plemental or substitute inventory, each statusupdate, each financial report or account andthe affidavit of closing, at the time of filing, toeach party and attorney of record and shallcertify to the court that the copy has beensent. An executor or administrator who sub-mits an affidavit in lieu of administration as asubstitute for an inventory or account undersection 30.23 shall send copies of the affidavitin accordance with this subsection.

38

(b) If a beneficiary under a will or any cur-rent or presumptive remainder beneficiary ofa trust established under the will is a charityor charitable interest, the executor shall senda copy of the inventory, each supplementalor substitute inventory, each status update,each financial report or account and the affi-davit of closing, at the time of filing, to theAttorney General and shall certify to the courtthat the copy has been sent.

(c) The executor or administrator isexcused from the requirement of sendingcopies under subsections (a) and (b) to anybeneficiary of a specific bequest who hasacknowledged, in writing, receipt of thebequest. The executor or administrator shallfile a copy of the acknowledgment with thecourt.


Section 30.13 Conflicting petitions forappointment of commissioner of adminis-trative services as legal representativeand settlement using small estates pro-cedure

If the commissioner of administrative ser-vices seeks appointment as legal representa-tive of a decedent’s estate under C.G.S.section 4a-16, the court shall dismiss an affi-davit in lieu of administration concerning thesame estate that was not acted on before thecourt’s receipt of the commissioner’s applica-tion. The court may act without notice andhearing. The court shall send a copy of thedecree dismissing the affidavit to the peti-tioner and the commissioner.


Section 30.14 Settlement of claims infavor of decedent’s estate

(a) An executor or administrator may filea petition seeking authority to settle a claimin favor of the estate. The executor or admin-istrator shall accompany the petition with asettlement statement that includes:

(1) the gross amount of the proposedsettlement;

(2) an itemized list of expenses associ-ated with the settlement, including any pro-posed attorney’s fee;

(3) the total amount of liens for medi-cal expenses;

(4) the total amount of liens for publicassistance;


(5) the anticipated net proceeds that theestate will receive; and

(6) the terms of a proposed structuredsettlement, if any.

(b) The executor or administrator shall pre-sent evidence that the proposed settlementis in the best interests of the estate. The courtmay require the executor or administrator tosubmit additional information, including, butnot limited to:

(1) police reports;(2) medical reports;(3) medical expenses; and(4) health, liability and uninsured motor-

ist insurance coverage.(c) The court may approve the proposed

settlement if the court determines that thesettlement is in the best interests of theestate.

(d) The executor or administrator shall filean inventory or supplemental or substituteinventory showing the proceeds of the settle-ment not later than 30 days after receipt.


Section 30.15 Sale of real property fromdecedent’s estate

(a) An executor or administrator may filea petition seeking authority to sell real prop-erty by private sale. The executor or adminis-trator shall accompany the petition with acopy of the contract of sale and, if not pre-viously filed, an inventory or supplemental orsubstitute inventory that lists the property andincludes a copy of the deed.

(b) The executor or administrator shall pre-sent evidence regarding the fair market valueof the property. The court may require theexecutor or administrator to submit a compar-ative market analysis, appraisal, municipalassessment or other information about thevalue of the property.

(c) The court may require the executor oradministrator seeking authority to sell theproperty to submit a return of claims.

(d) Notice of hearing on the petition shallnot be required to be made by publicationunless the court determines that notificationof the public is necessary to protect the inter-ests of the estate.

(e) The court may excuse notice of hearingon the petition if all parties waive notice. If

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a beneficiary under a will or any current orpresumptive remainder beneficiary of a trustestablished under the will is a charity or chari-table interest, the court may excuse noticeonly if the Attorney General joins the otherparties in waiving notice.

(f) The court may approve the sale of theproperty if the court determines that the saleis in the best interests of the estate.

(g) If a prospective purchaser other thanthe buyer identified in the petition indicatesthat the prospective purchaser is willing topay a price that is higher than the amountspecified in the contract of sale, the court maydeny the petition and order a public sale ortake other action as the court determines tobe in the best interests of the estate.

(C.G.S. sections 45a-164 through 168,45a-317 (c), 45a-324 through 45a-327, 45a-341 (e), 45a-427 and 45a-428.)

Section 30.16 Distribution from estateto minor or beneficiary who is incapableof managing his or her affairs

(a) Except as provided by will, an executoror administrator shall not make distributionto, or on behalf of, an adult heir or beneficiarywho has been adjudicated incapable of man-aging his or her affairs unless a conservatorof the estate has been appointed or a courthas determined that adequate alternativearrangements for the management of thefinancial affairs of the heir or beneficiary havebeen established. The court may requireproof of the authority of a conservator or otherrepresentative to receive property on behalfof the heir or beneficiary.

(b) Except as provided by will, an executoror administrator shall not make distributionto, or on behalf of, an heir or beneficiary whois a minor residing in this state if the totalamount of distributions from the estate isanticipated to exceed the amount underC.G.S. section 45a-631 unless a guardian ofthe estate has been appointed for the minor.If the minor resides outside this state, theexecutor or administrator shall not make dis-tribution to, or on behalf of, the minor unlessa guardian has been appointed for the minorunder C.G.S. section 45a-632 or 45a-635 orthe court has approved distribution in accord-ance with the requirements of the jurisdiction


of residence concerning the management ofestates of minors. The court may requireproof of the authority of a guardian of theestate or other legal representative to receiveproperty on behalf of the minor.

(C.G.S. sections 45a-558b, 45a-636 and45a-650; Probate Court Rules, section 4.2.)

Section 30.17 Mutual distributionagreement

(a) In an intestate estate, a mutual distribu-tion agreement is valid if all the heirs executethe agreement in accordance with therequirements of C.G.S. section 45a-433 (b).A mutual distribution agreement under thissubsection may provide for distribution ofproperty to a person other than an heir.

(b) In a testate estate, a mutual distributionagreement is valid if all the beneficiarieswhose interests are affected by the distribu-tion execute the agreement in accordancewith the requirements of C.G.S. section 45a-434. If a beneficiary under the will or anycurrent or presumptive remainder beneficiaryof a trust established under the will is a charityor charitable interest, a mutual distributionagreement is valid only if the Attorney Gen-eral is party to the agreement. A mutual distri-bution agreement under this subsection mayprovide for distribution of property to a personother than a beneficiary under the will.

Section 30.18 Distribution thatbypasses inoperative trust

An executor or administrator who proposesdistribution from an estate directly to the ben-eficiaries of an inoperative trust rather thanto the trustee shall file a motion for authoriza-tion to bypass the trust under C.G.S. section45a-482. The court may hear the motion atthe same time as the final financial reportor account.

Section 30.19 When executor or admin-istrator to submit financial report oraccount

(a) An executor or administrator shall sub-mit a final financial report or account whenthe executor or administrator has completedsettlement of a decedent’s estate or whenthe executor or administrator seeks to resignor is removed by the court.

40

(b) The fiduciary of the estate of an execu-tor or administrator who dies while adminis-tering a decedent’s estate shall file a finalfinancial report or account on behalf of thedeceased executor or administrator.

(c) On motion of a party or on the court’sown motion, the court may direct the executoror administrator to file an interim financialreport or account if necessary to protect theinterests of the estate.


Section 30.20 Required contents offinancial report or account of executoror administrator

See rules 36 through 38.

Section 30.21 When executor or admin-istrator to submit status update

(a) Not later than three months after thefirst anniversary of the appointment of anexecutor or administrator and on each anni-versary date thereafter, an executor oradministrator who has not submitted aninterim or final financial report or account shallsubmit an update on the status of the estate,which status update shall include:

(1) the approximate amount of distribu-tions already made to the heirs or benefi-ciaries;

(2) the approximate amount of theestate on hand on the date of the statusupdate; and

(3) the reasons why administration hasnot been completed.

(b) On motion of a party or on the court’sown motion, the court may order the executoror administrator to take specific steps to expe-dite the administration of the estate.

(C.G.S. section 45a-98 (a) (6).)

Section 30.22 When inventory and finalfinancial report or account excused

(a) The temporary administrator of a dece-dent’s estate may petition the court to excusethe requirement of an inventory and finalfinancial report or account by submitting astatement signed under penalty of false state-ment that the administrator did not take con-trol of any assets or income of the estate.The administrator shall send a copy of thestatement, at the time of filing, to each partyand attorney of record and shall certify to the


court that the copy has been sent.(b) The court may excuse the requirement

that the temporary administrator submit aninventory and final financial report or accountif the court determines that the administratordid not take control of any assets or incomeof the estate.

(c) The executor or administrator of adecedent’s estate may petition the court toexcuse the requirement of an inventory andfinal financial report or account by submittinga statement signed under penalty of falsestatement that the estate has no assets and,if not previously filed, a return of claims. Theexecutor or administrator shall send a copyof the statement, at the time of filing, to eachparty, creditor and attorney of record andshall certify to the court that the copy hasbeen sent.

(d) When giving notice of the hearing onthe acceptance of the statement under sub-section (c), the court shall send notice to eachcreditor listed on the return of claims, in addi-tion to notice to each party and attorney ofrecord. The court may excuse the require-ment that the executor or administrator sub-mit an inventory and final financial report oraccount if the court determines that the estatehas no assets.


Section 30.23 Use of affidavit in lieu ofadministration when full estate eligible tobe settled as a small estate

(a) If a decedent’s estate is opened as afull estate but is subsequently determined tobe eligible for settlement as a small estateunder C.G.S. section 45a-273, the executoror administrator may submit an affidavit inlieu of administration and request for orderof distribution as a substitute for the inventory,return of claims and final account. The fidu-ciary shall send a copy of the affidavit andrequest for order of distribution, at the timeof filing, to each party and attorney of recordand shall certify to the court that the copy hasbeen sent.

(b) The court may, after notice and hear-ing, approve the affidavit and request fororder of distribution as a final account if itdetermines that the affidavit and request fororder of distribution are sufficient to reviewthe fiduciary’s management of the estate.

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Section 30.24 Administrative closure ofdecedent’s estate

(a) The court may, after notice and hear-ing, close a decedent’s estate administra-tively before receipt of a final financial reportor account and before expiration of the periodspecified in C.G.S. section 45a-331 if thecourt finds that:

(1) the clerk has made reasonableefforts to remind the executor or administra-tor, in writing, of the requirements to completethe administration;

(2) the executor or administrator hasneglected or refused to complete adminis-tration;

(3) appointment of a successor executoror administrator would serve no useful pur-pose; and

(4) no party objects to the administra-tive closure.

(b) The administrative closure of an estateshall not relieve the executor or administratorfrom any liability or obligation. Except as pro-vided in C.G.S. section 45a-331, the courtshall not release any existing probate bondor restricted account.

(c) The court may, at any time and withoutnotice and hearing, reopen an estate that hasbeen administratively closed.

(Probate Court Rules, rules 3 and 8.)

Section 30.25 Construction, title and cypres petition relating to decedent’s estate

(a) If the court declines jurisdiction to heara construction, title or cy pres petition con-cerning a decedent’s estate under C.G.S.section 45a-98a (a), the court shall send writ-ten notice of the declination to each party andattorney of record.

(b) If a beneficiary under a will or any cur-rent or presumptive remainder beneficiary ofa trust established under the will is a charityor charitable interest, the court shall sendwritten notice of the declination to the Attor-ney General.


Section 30.26 Withholding of distribu-tion when heir or beneficiary charged withcertain crimes

On motion of the victim advocate, state’sattorney or official having an equivalent rolein another jurisdiction or on motion of a party


or court-appointed guardian ad litem, thecourt shall direct the executor or administratorto withhold any distribution to an heir or bene-ficiary if the court finds that the heir or benefi-ciary has been charged with a crime listed

HISTORY: Rule 30 adopted effective July 1, 2013. Section 30.4 rewritten, sections 30.5, 30.6, 30.11, 30.12, 30.13, 30.15,30.16, 30.18, 30.22, 30.23 amended and section 30.26 adopted effective July 1, 2015. Sections 30.4, 30.12, 30.14, 30.15 and30.22 amended effective July 1, 2017.

42

under C.G.S. section 45a-447. On final dispo-sition of the charge, the court shall determinethe eligibility of the heir or beneficiary toreceive distributions under C.G.S. section45a-447.


Rule 31

Estate Tax Matters

Section Section31.1 Applicability31.2 Requirements for estate tax forms for

nontaxable estates31.3 Valuation of property for nontaxable

estates31.4 Amended tax forms for nontaxable

estates31.5 Procedure when court unable to deter-

mine if estate is nontaxable

Section 31.1 ApplicabilitySections 31.2 through 31.6 apply only to

nontaxable estates. Sections 31.7 through31.9 apply both to taxable and nontaxableestates.

(C.G.S. section 12-392 (b).)

Section 31.2 Requirements for estatetax forms for nontaxable estate

Except as modified by this rule, a personfiling a DRS Form CT-706 NT and relatedforms for a nontaxable estate shall complywith the instructions for the form publishedby DRS.

(See Form CT-706 NT instructions, avail-able at http://www.ct.gov/drs.)

Section 31.3 Valuation of property fornontaxable estates

(a) Except as provided in subsection (c),a person filing a DRS Form CT-706 NT for anontaxable estate shall substantiate the fairmarket value of real property required to bereported on the form by submitting any oneof the following:

(1) a comparative market analysis pre-pared by a real estate broker or agent;

(2) information from the municipalassessment of the property, adjusted toreflect 100 percent of the fair market valueas of the date of the assessment;

(3) a written appraisal; or

43

31.6 Domicile declaration for nontaxableestates

31.7 Recording attachments to estate taxforms

31.8 Confidentiality of information on filedtax form

31.9 Determination of amount of propertypassing to surviving spouse for pro-bate fee calculation

(4) written proof of the actual sales priceif the property is sold in an arm’s-length trans-action that is completed not later than sixmonths after the death of the decedent.

(b) Except as provided in subsection (c),the court may require a person filing a DRSForm CT-706 NT to substantiate the fair mar-ket value of any personal property requiredto be reported on the form by supplying awritten appraisal or other reasonable proofof value.

(c) If an Internal Revenue Service Form706 is required for the decedent, the personfiling a DRS Form CT-706 NT shall reporteach asset on the DRS Form CT-706 NTat the value shown on the Internal RevenueService Form 706.


Section 31.4 Amended tax forms fornontaxable estates

(a) Except as provided in subsection (b),if property reported on a DRS Form CT-706NT for a nontaxable estate is sold in an arm’s-length transaction that is completed not laterthan six months after the death of the dece-dent, the person filing the original form mayamend the form to change the reported valueof the property to the amount of the salesprice. The form may be amended to changethe reported value of any property that is notsold within the six-month period only if the


person filing the form submits substantiationthat the fair market value of the property atthe time of the decedent’s death is differentfrom the amount originally reported. A changeto the reported value for real property shallbe substantiated by one of the methods listedin section 31.3 (a). A change to the reportedvalue for personal property shall be substanti-ated by a written appraisal or such other rea-sonable proof of value as the court directs.

(b) If an Internal Revenue Service Form706 is required for the decedent, the personfiling the DRS Form CT-706 NT shall amendthe DRS Form CT-706 NT to reflect anyamendments, changes or corrections to theInternal Revenue Service Form 706.


Section 31.5 Procedure when courtunable to determine if estate is nontaxable

If the court is unable to determine fromreview of a DRS Form CT-706 NT andaccompanying materials whether the Con-necticut taxable estate is less than or equalto the amount that is exempt from the Con-necticut estate tax under C.G.S. section 12-391, the court shall require the person filingthe form to file a DRS Form CT-706/709 withDRS and submit a copy of the form to thecourt.

(C.G.S. sections 12-391 and 12-392 (b).)

Section 31.6 Domicile declaration fornontaxable estates

A person filing a DRS Form CT-706 NTclaiming that the decedent was not domiciledin Connecticut shall submit a DRS Form C-3 UGE State of Connecticut Domicile Decla-ration. If the court is unable to determine thedecedent’s domicile from the information con-tained in the domicile declaration, the courtmay schedule a hearing to permit the personfiling the domicile declaration to present evi-dence in support of the domicile declaration.The court shall make a written determinationregarding the decedent’s domicile. The clerkshall calculate the probate fee for the estatein accordance with the court’s determination.

(C.G.S. sections 12-391 (h), 12-395 and45a-107.)

44

Section 31.7 Recording attachments toestate tax forms

The court shall record each DRS Form CT-706 NT or CT-706/709 together with eachattachment submitted with the form unlessthe person filing the form specifies in writingthat an attachment need not be recorded. Thecourt may record the attachment even if theperson filing the form indicates that theattachment need not be recorded if the courtfinds that the attachment is needed to under-stand the return.

Section 31.8 Confidentiality of informa-tion on filed tax form

(a) Except as provided in subsections (b)through (d), the court shall not disclose a DRSForm CT-706 NT or CT-706/709 or otherestate tax return information to any person.

(b) The court may disclose a DRS FormCT-706 NT or CT-706/709 or other estatetax return information to the probate courtadministrator or the commissioner of reve-nue services.

(c) On request, the court may disclose aDRS Form CT-706 NT or CT-706/709 or otherestate tax return information without noticeand hearing, if:

(1) the person who filed the form con-sents, in writing, to disclosure; or

(2) the person seeking disclosure is:(A) a fiduciary of the estate;(B) in the case of an intestate estate,

an heir of the estate; or(C) in the case of a testate estate, a

residuary beneficiary of the estate.(d) On motion of a person not listed in sub-

section (c) and after notice and hearing, thecourt may disclose a DRS Form CT-706 NTor CT-706/709 or other estate tax return infor-mation under C.G.S. section 12-398 (c) if thecourt finds that the requesting person has amaterial interest that will be affected by theinformation contained in the return.

(C.G.S. sections 12-15 and 12-398 (c).)

Section 31.9 Determination of amountof property passing to surviving spousefor probate fee calculation

To calculate the probate fee for an estate


under C.G.S. section 45a-107, property shallbe treated as passing to the surviving spouse

HISTORY: Rule 31 adopted effective July 1, 2013. Sections 31.1, 31.3, 31.4, 31.8 amended and section 31.9 adoptedeffective July 1, 2015.

45

only if it qualifies for the Connecticut estatetax marital deduction.


Rule 32

Trusts


may be used in trust proceeding32.2 Notice in trust proceeding32.3 Virtual representation and appoint-

ment of guardian ad litem in trust pro-ceeding

32.4 Trustee to send copy of inventory,financial report or account and petitionto terminate to each party and attorney

Section 32.1 When streamline noticeprocedure may be used in trust pro-ceeding

See rule 8.6.Section 32.2 Notice in trust proceeding(a) The court shall send notice of a proceed-ing concerning a trust to:

(1) the settlor, if living;(2) each current beneficiary;(3) each presumptive remainder bene-

ficiary;(4) the Attorney General, if:

(A) a current beneficiary or presump-tive remainder beneficiary is a charity or char-itable interest; or

(B) the trust is a special needs trustestablished under C.G.S. section 45a-151 (b)or 45a-655 (e);

(5) the trustee;(6) the trust protector, if any; and(7) other persons as the court

determines.(b) Notice to contingent remainder benefi-

ciaries is not required unless the court deter-mines that the interests of the presumptiveremainder beneficiaries conflict with the inter-ests of the contingent remainder benefi-ciaries.

(Probate Court Rules, section 7.2 andrule 8.)Section 32.3 Virtual representation andappointment of guardian ad litem intrust proceeding

(a) A petitioner in a trust proceeding shallinform the court if a trust beneficiary entitled

46


32.6 Required contents of financial reportor account of trustee


32.8 Reimbursement of probate fees topetitioner in trust proceeding

32.9 Construction, title and cy pres petitionrelating to trust

to notice under section 32.2 is a minor or isincompetent, undetermined or unborn or ifthe beneficiary’s name or address isunknown. The petitioner shall indicatewhether an adult beneficiary who is legallycapable of acting can virtually represent thebeneficiary under C.G.S. section 45a-487d.

(b) On receipt of information under sub-section (a) or on the court’s own motion, thecourt shall make a written determinationwhether a beneficiary or class of beneficiarieswill be virtually represented in the proceeding.If the court determines that the interests ofthe beneficiary or class of beneficiaries arenot virtually represented or that the represen-tation might be inadequate, the court shallappoint a guardian ad litem to represent theinterests of the beneficiary or class of benefi-ciaries. The court may act under this subsec-tion without notice and hearing.

(C.G.S. section 45a-132; Probate CourtRules, rules 7 and 13.)

Section 32.4 Trustee to send copy ofinventory, financial report or account andpetition to terminate to each party andattorney

(a) A trustee of a testamentary trust orother trust subject to continuing jurisdictionof the court shall send a copy of the inventoryand each supplemental or substitute inven-tory, at the time of filing, to each party andattorney of record and shall certify to the courtthat the copy has been sent.


(b) A trustee of a testamentary trust, aninter vivos trust subject to the jurisdiction ofthe court under C.G.S. section 45a-175 oranother trust subject to continuing jurisdictionof the court shall send a copy of each financialreport or account, at the time of filing, to eachparty and attorney of record and shall certifyto the court that the copy has been sent.

(c) The trustee of a testamentary trust, aninter vivos trust subject to the jurisdiction ofthe court under C.G.S. section 45a-175 oranother trust subject to continuing jurisdictionof the court shall send a copy of a petition toterminate the trust under C.G.S. section 45a-484 or 45a-520, at the time of filing, to eachparty and attorney of record and shall certifyto the court that the copy has been sent.

(d) If a beneficiary of a trust is a charity orcharitable interest, the trustee shall send acopy of each filing under subsection (a), (b)or (c), at the time of filing, to the AttorneyGeneral and shall certify to the court that thecopy has been sent.

Section 32.5 When trustee to submitfinancial report or account

(a) A trustee of a testamentary trust orother trust subject to continuing ProbateCourt jurisdiction shall submit a periodicfinancial report or account at least once dur-ing each three-year period unless the court orthe will or other governing instrument directsmore frequent accounts. The first accountingperiod shall commence on the date that thecourt appoints the trustee.

(b) If the will excuses periodic accounts,the court shall not require the trustee of atestamentary trust to submit periodic financialreports or accounts. On motion of a party oron the court’s own motion and after noticeand hearing, the court may require a financialreport or account for a specified period if nec-essary to protect the interests of a party. Afterissuing a decision on the financial report oraccount under this subsection, the court shallnot require additional periodic financialreports or accounts if the will excuses periodicaccounts unless the court determines that thereports or accounts are necessary to protectthe interests of a party.

(c) Except as provided in section 32.7, thetrustee of a testamentary trust shall submit a

47

final financial report or account when the trustterminates or any beneficiary’s interest in thetrust terminates or when the fiduciary seeksto resign or is removed by the court.

(d) Except as provided in section 32.7, ifa trustee dies while administering the trust,the executor or administrator of the estate ofthe deceased trustee shall file, on behalf ofthe deceased trustee, a final financial reportor account for the trust.

(C.G.S. sections 45a-151 (b), 45a-175 (a),45a-177, 45a-180, 45a-478 and 45a-655 (e).)

Section 32.6 Required contents offinancial report or account of trustee


Section 32.7 When final financial reportor account of trustee excused

(a) The trustee of a testamentary trust maypetition the court to excuse the requirementof a final financial report or account requiredunder section 32.5 (c) or 32.5 (d) if:

(1) the will waives periodic accounts;and

(2) each current beneficiary and pre-sumptive remainder beneficiary of the trusthas signed a written instrument that waivesthe final report or account and acknowledgesthe amount of the distribution to which thebeneficiary is entitled.

(b) A petition under subsection (a) shallinclude:

(1) the signed waiver under subsection(a) (2);

(2) an itemized list of assets on hand,shown at current fair market value;

(3) an itemized proposed distribution toeach beneficiary; and

(4) for the period since the most recentfinancial report or account approved by thecourt or, if none, since the trustee acceptedthe trusteeship, a summary of:

(A) the method used to determine thecompensation of the trustee;

(B) the information that has been pro-vided to the beneficiaries; and

(C) the trustee’s management of thetrust.

(c) The court may excuse the final reportor account if the court determines that it wouldimpose an unreasonable burden to requirethe report or account and that each current


beneficiary and presumptive remainder ben-eficiary has knowingly and voluntarily waivedthe requirement of a report or account.


Section 32.8 Reimbursement of probatefees to petitioner in trust proceeding

On motion of a party or on the court’s ownmotion, the court may order the trustee of atrust to reimburse a party for any probatefees incurred in making a petition to the courtconcerning the trust if the court determinesthat reimbursement of the fees is equitable.The court may act without notice and hearing.If the court determines that reimbursement ofthe fees is equitable, but the court previouslywaived the petitioning party’s fees underC.G.S. section 45a-111 (c), the trustee shall

HISTORY: Rule 32 adopted effective July 1, 2013. Sections 32.3, 32.4 and 32.8 amended effective July 1, 2015. Section32.7 amended effective July 1, 2017.

48

remit payment to the probate court adminis-tration fund. The reimbursed fees shall bepaid from trust assets as an administrationexpense.

(C.G.S. sections 45a-105 through 45a-112and 52-251.)Section 32.9 Construction, title and cypres petition relating to trust

(a) If the court declines jurisdiction to heara construction, title or cy pres petition con-cerning a trust under C.G.S. section 45a-98a(a), the court shall send written notice of thedeclination to each party and attorney ofrecord.

(b) If a current or presumptive remainderbeneficiary of the trust is a charity or charita-ble interest, the court shall send written noticeof the declination to the Attorney General.



Rule 33

Conservators


may be used in conservatorship pro-ceeding

33.2 Petition for voluntary representation tobe heard before petition for involuntaryconservatorship

33.3 Appointment of temporary conserva-tor without notice and hearing

33.4 Extension of temporary conservator-ship pending decision on conservator-ship petition

33.5 Motion to close conservatorship hear-ing to public during presentation ofmedical evidence

33.6 Criminal background check33.7 Court to review qualifications of pro-

posed conservator33.8 Conservator of estate to send copy of

inventory, financial report and accountto each party and attorney

33.9 Jointly owned assets and joint lia-bilities

33.10 Establishment and funding of trust withconservatorship assets

33.11 Settlement of claims in favor of conser-vatorship estate

Section 33.1 When streamline noticeprocedure may be used in conservator-ship proceeding

See rule 8.6.

Section 33.2 Petition for voluntary rep-resentation to be heard before petition forinvoluntary conservatorship

(a) A respondent in an involuntary conser-vatorship proceeding may file a petition forvoluntary representation under C.G.S. sec-tion 45a-646 at any time before the courtdecides the involuntary conservatorshippetition.

(b) The court shall hear and decide a peti-tion for voluntary representation made under

49


33.12 Sale of real property from conservator-ship estate


33.13 Release of funds from restrictedaccount in conservatorship estate


33.15 Required contents of financial reportor account of conservator of estate

33.16 When conservator of estate to verifyrestricted account in force


33.18 Sterilization33.19 Reimbursement of probate fees to

petitioner in conservatorship ofestate proceeding

33.20 Petition to determine title relating toconservatorship

33.21 Notice of termination of voluntary con-servatorship

33.22 Petitions to change residence, sell realproperty or household contents or ter-minate tenancy

subsection (a) before acting on a petition forinvoluntary conservatorship. The court mayconduct the hearing on the petition for volun-tary representation at the same time as ahearing on an involuntary conservatorshippetition without giving notice of another hear-ing if:

(1) the respondent is present; and(2) each party entitled to notice under

C.G.S. section 45a-646 is present or has fileda written waiver of notice of the hearing onvoluntary representation.Section 33.3 Appointment of temporaryconservator without notice and hearing

(a) The court may act on a petition toappoint a temporary conservator under


C.G.S. section 45a-654 (d) without noticeand hearing.

(b) If the court determines that it is neces-sary to meet with the petitioner before decid-ing a petition to appoint a temporaryconservator on an ex parte basis, the courtshall make an audio recording of the meeting.The recording shall be available to the par-ties. If the court appoints a temporary conser-vator and the temporary conservatorshiphearing required by C.G.S. section 45a-654(d) (1) is contested, the judge who met withthe petitioner shall be disqualified from con-ducting the temporary conservatorshiphearing.

(C.G.S. section 45a-645a; Probate CourtRules, section 15.2 and rules 65 and 69.)Section 33.4 Extension of temporaryconservatorship pending decision onconservatorship petition

On written request of a party, the court mayextend the appointment of a temporary con-servator until disposition of a pending involun-tary conservatorship petition, provided thatthe extension may not exceed 30 days. Thecourt may act on the request without noticeand hearing.

(C.G.S. section 45a-654 (a); Probate CourtRules, rule 69.)Section 33.5 Motion to close conserva-torship hearing to public during presenta-tion of medical evidence

See rule 16.Section 33.6 Criminal backgroundcheck

At any time during a conservatorship pro-ceeding, the court may obtain a criminal back-ground check of:

(1) the conservator or proposed con-servator;

(2) an individual providing care to theperson under conservatorship;

(3) an individual living in the householdof the person under conservatorship; or

(4) any other person if necessary to pro-tect the interests of the person under conser-vatorship.

(C.G.S. section 45a-650 (h).)Section 33.7 Court to review qualifica-tions of proposed conservator

If a person under conservatorship has notdesignated or nominated a conservator, the

50

court shall, before making an appointment,give the parties an opportunity to present evi-dence and argument regarding the qualifica-tions of a proposed conservator or successorconservator. When deciding whether toappoint the proposed conservator or succes-sor conservator, the court shall consider thefactors set forth in C.G.S. section 45a-650(h) based on evidence in the record of theproceeding.

(Falvey v. Zurolo, 130 Conn. App. 243, 22A.3d 683 (2011).)

Section 33.8 Conservator of estate tosend copy of inventory, financial reportand account to each party and attorney

A conservator of the estate shall send acopy of the inventory and each supplementalor substitute inventory and each financialreport or account, at the time of filing, to eachparty and attorney of record and shall certifyto the court that the copy has been sent.

(C.G.S. sections 45a-175, 45a-655 (a) and45a-659 (c).)

Section 33.9 Jointly owned assets andjoint liabilities

(a) If a person under conservatorshipholds an asset jointly with another person oris jointly liable with another person on a debt,or if the person under conservatorship has apresent interest in an asset that would, on hisor her death, pass outside his or her probateestate, the conservator of the estate may peti-tion for instructions concerning administrationof the asset or liability.

(b) The court shall give notice of the hear-ing on a petition under subsection (a) to eachparty and attorney of record and to each per-son having an interest in an asset or liabilitydescribed in subsection (a). When decidinghow the conservator should administer theasset or liability, the court shall consider thefollowing factors:

(1) the provisions of any will, trust instru-ment or other estate planning document exe-cuted by the person under conservatorship;

(2) the original source of the asset or lia-bility;

(3) the current and anticipated needs ofthe person under conservatorship and anyindividual whom the person is obligated tosupport;


(4) the availability of other assets tomeet the needs of the person under conser-vatorship and any individual whom the personis obligated to support;

(5) the impact of the manner of adminis-tration of the joint asset or liability on the eligi-bility of the person under conservatorship forpublic assistance; and

(6) other relevant factors.(C.G.S. sections 45a-98 (a) (3) and 45a-

655 (a).)

Section 33.10 Establishment and fund-ing of trust with conservatorship assets

(a) A conservator of the estate may file apetition seeking authority to establish andfund a trust under C.G.S. section 45a-655(e). Before filing the petition, the conservatorshall make a diligent effort to obtain a copyof each will, trust instrument or other estateplanning document executed by the personunder conservatorship that may be affectedby the establishment and funding of the trust.

(b) The conservator shall accompany thepetition with:

(1) the proposed trust instrument;(2) a written explanation of the benefits

of the proposed trust for the person underconservatorship;

(3) a statement indicating whether theconservator has any beneficial interest in theproposed trust;

(4) the name and current address ofeach heir of the person under conserva-torship;

(5) a copy of each will, trust instrumentor other estate planning document obtainedunder subsection (a) together with a state-ment regarding the location of the originaldocument;

(6) the name and current address ofeach beneficiary under any will;

(7) the name and current address ofeach current and presumptive remainderbeneficiary of a trust that is required to bedisclosed under subsection (b) (5); and

(8) the name and current address ofeach beneficiary under any other estate plan-ning document that is required to be disclosedunder subsection (b) (5).

(c) The court shall give notice of the hear-ing on the petition to:

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(1) each party and attorney of record;(2) the heirs of the person under conser-

vatorship;(3) each beneficiary under any will;(4) each current and presumptive

remainder beneficiary under any trust identi-fied under subsection (b) (7);

(5) each beneficiary under any otherestate planning document identified undersubsection (b) (8);

(6) the commissioner of administrativeservices;

(7) the commissioner of social services;(8) the Attorney General; and(9) other persons as the court

determines.(d) The conservator shall have the burden

of proving the findings required under C.G.S.section 45a-655 (e).

(e) If the court approves the establishmentand funding of a trust, the conservator shallhave a continuing duty to report the discoveryof any will, trust instrument or other estateplanning document of the person under con-servatorship that was not previously submit-ted to the court.

(Probate Court Rules, section 7.2 and rules8 and 16.)

Section 33.11 Settlement of claims infavor of conservatorship estate

(a) A conservator of the estate may file apetition seeking authority to settle a claim infavor of the estate. The conservator shallaccompany the petition with a settlementstatement that includes:


(2) an itemized list of the expensesassociated with the settlement, including anyproposed attorney’s fee;


(4) the total amount of liens for publicassistance;



(b) The conservator shall present evi-dence that the proposed settlement is in the


best interests of the person under conserva-torship. The court may require the conserva-tor to submit additional information, including,but not limited to:


ist insurance coverage.(c) The court may approve the proposed

settlement if the court determines that thesettlement is in the best interests of the per-son under conservatorship.

(d) The conservator shall file an inventoryor supplemental or substitute inventory show-ing the proceeds of the settlement not laterthan 30 days after receipt.


Section 33.11a Petitions to compromisemultiple claims associated with sameinjury

(a) If a conservator of the estate simultane-ously files petitions to compromise more thanone claim associated with the same injury,the court may treat the petitions as a singlepetition subject to one filing fee.

(b) The court may charge a separate filingfee for a petition under subsection (a) if thecourt determines that it is necessary to hearthe petitions separately.

Section 33.12 Sale of real property fromconservatorship estate

(a) A conservator of the estate may file apetition seeking authority to sell real propertyby private sale. The conservator shall accom-pany the petition with a copy of the contractof sale and, if not previously filed, an inventoryor supplemental or substitute inventory thatlists the property and includes a copy ofthe deed.

(b) The conservator shall present evi-dence regarding the fair market value of theproperty. The court may require the conser-vator to submit a comparative market analy-sis, appraisal, municipal assessment or otherinformation about the value of the property.

(c) Notice of hearing on the petition shallnot be required to be made by publicationunless the court determines that notificationof the public is necessary to protect the inter-ests of the estate.

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(d) The court may approve the sale of theproperty if the court determines that the saleis in the best interests of the person underconservatorship, as required by C.G.S. sec-tion 45a-164 and, if the conservator wasappointed in an involuntary proceeding, thatthe sale is necessary or the conserved personconsents to the sale, as required by C.G.S.section 45a-656b (a).

(e) If a prospective purchaser other thanthe buyer identified in the petition indicatesa willingness to pay a price that is higher thanthe amount specified in the contract of sale,the court may deny the petition and order apublic sale or take other action as the courtdetermines to be in the best interests of theperson under conservatorship.

(f) If the property is specifically devisedunder the will of the person under conserva-torship, the conservator shall segregate thesale proceeds from other estate assets.

(C.G.S. sections 45a-164 through 45a-168, 45a-655 (a), 45a-660 (a) and 45a-667p(d) (4).)

Section 33.12a Petitions to sell multipleparcels of real property

(a) If a conservator of the estate simultane-ously files petitions to sell multiple parcels ofreal property, the court may treat the petitionsas a single petition subject to one filing fee.


Section 33.13 Release of funds fromrestricted account in conservatorshipestate

See section 35.7 (f).

Section 33.14 When conservator to sub-mit financial report or account

(a) A conservator of the estate shall submitan annual financial report or account for thefirst year following the conservator’s appoint-ment or, with prior court approval, for the firstyear following the conservator’s first receiptof funds on behalf of the estate.

(b) After submitting the first annual finan-cial report or account under subsection (a),the conservator shall thereafter submit a peri-odic financial report or account at least once


during each three-year period, unless thecourt directs more frequent accounts.

(c) Except as provided in section 33.17, aconservator shall submit a final financialreport or account when the conservatorshipis terminated, the person under conservator-ship dies or the conservator seeks to resignor is removed by the court.

(d) If a conservator dies while administer-ing an estate, the executor or administratorof the estate of the deceased conservatorshall file, on behalf of the deceased conserva-tor, a final financial report or account for theconservatorship estate. If an executor oradministrator has not been appointed for theestate of the deceased conservator, a suc-cessor conservator may file, on behalf of thedeceased conservator, a final financial reportor account for the conservatorship estate.

(C.G.S. sections 45a-177, 45a-180, 45a-597, 45a-654 (f), 45a-655 (c), 45a-660 (b)and 45a-667p (f).)

Section 33.15 Required contents offinancial report or account of conservatorof estate


Section 33.16 When conservator ofestate to verify restricted account in force

See section 35.7 (e).

Section 33.17 Periodic or final financialreport or account excused when personunder conservatorship is Title 19 recipient

(a) A conservator of the estate may peti-tion the court to terminate the conservator-ship of the estate and waive the requirementof a final financial report or account if theDepartment of Social Services has deter-mined that the person under conservatorshipis eligible for Medicaid under Title 19 of theSocial Security Act. The conservator’s peti-tion shall include:

(1) a copy of the determination letterfrom the Department of Social Services andapproved spend-down plan, if any;

(2) the manner in which the conservatorsatisfied the obligation to pay conservatorfees, attorney’s fees and probate fees whenexecuting the spend-down plan;

(3) the name of the funeral home atwhich a prepaid funeral has beenarranged; and

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(4) the amount of funds transferred tothe person under conservatorship or the per-son’s patient account.

(b) The court may excuse the requirementthat the conservator submit a final financialreport or account if the court determines that:

(1) no assets remain in the estate otherthan the amount permitted to be retained bya Title 19 recipient;

(2) the conservatorship of the estateshould be terminated; and

(3) submission of a final financial reportor account would serve no useful purpose.

(c) If the court determines that the conser-vatorship of the estate should continue afterthe person under conservatorship becomeseligible for Title 19, the court may permit theconservator to file, in lieu of a periodic finan-cial report or account, a copy of the documen-tation required by the Department of SocialServices to verify the person’s continued eli-gibility for Title 19 and the letter from thedepartment confirming that the person underconservatorship continues to be eligible.

(C.G.S. section 45a-660; Probate CourtRegulations, sections 16.3 (d) and 16.6.)

Section 33.18 SterilizationIf a conservator of the person petitions for

approval of a sterilization procedure underC.G.S. section 45a-698, each member of theinterdisciplinary team appointed underC.G.S. section 45a-695 shall file a report indi-cating whether the person under conservator-ship is able to give informed consent andwhether sterilization is in the best interestsof the person.


Section 33.19 Reimbursement of pro-bate fees to petitioner in conservatorshipof estate proceeding

On motion of a party or on the court’s ownmotion, the court may order a conservator ofthe estate to reimburse a party for any pro-bate fees incurred in making a petition to thecourt concerning the conservatorship if thecourt determines that reimbursement of thefees is equitable. The court may act withoutnotice and hearing. If the court determinesthat reimbursement of the fees is equitable,but the court previously waived the petitioningparty’s fees under C.G.S. section 45a-111


(c), the conservator shall remit payment tothe probate court administration fund. Thereimbursed fees shall be paid from the estateas an administration expense.

(C.G.S. sections 45a-105 through 45a-112.)Section 33.20 Petition to determine titlerelating to conservatorship

If the court declines jurisdiction to hear apetition concerning title to property relating toa conservatorship of the estate under C.G.S.section 45a-98a (a), the court shall send writ-ten notice of the declination to each party andattorney of record.

(Probate Court Rules, section 8.10.)Section 33.21 Notice of termination ofvoluntary conservatorship

On receipt of a notice to terminate a volun-tary conservatorship under C.G.S. section

HISTORY: Rule 33 adopted effective July 1, 2013. Sections 33.9, 33.14, 33.17 and 33.19 amended and section 33.21adopted effective July 1, 2015. Sections 33.11, 33.12 and 33.17 amended and sections 33.11a, 33.12a and 33.22 adoptedeffective July 1, 2017.

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45a-647, the court shall notify each party andattorney of record that the notice has beenreceived and the date on which the conserva-torship will terminate.

Section 33.22 Petitions to change resi-dence, sell real property or householdcontents or terminate tenancy

(a) If a conservator simultaneously filespetitions to change the residence of a personunder conservatorship, sell the person’s realproperty or household goods or terminate theperson’s tenancy, the court may treat the peti-tions as a single petition subject to one fil-ing fee.



Rule 34

Guardians of Estates of Minors


may be used in estate of minor pro-ceeding

34.2 Hearing to review duties of guardianof estate

34.3 Guardian of estate to send copy ofinventory, financial report and accountto each party and attorney

34.4 Restriction on use of estate of minorfor support obligations

34.5 Settlement of claims in favor of estateof minor


34.6 Sale of real property from estate ofminor

Section 34.1 When streamline noticeprocedure may be used in estate ofminor proceeding

See rule 8.6.

Section 34.2 Hearing to review duties ofguardian of estate

Before authorizing the guardian of theestate of a minor to take control of the assetsof the estate, the court shall require the guard-ian to attend a hearing to review the dutiesof the guardian. If the guardian has executeda form published by the probate court admin-istrator to acknowledge and agree to performthe duties of a guardian, the court may excuseattendance of the guardian at the hearing.

Section 34.3 Guardian of estate to sendcopy of inventory, financial report andaccount to each party and attorney

A guardian of the estate of a minor shallsend a copy of the inventory and each supple-mental or substitute inventory and each finan-cial report or account, at the time of filing, toeach party and attorney of record and shallcertify to the court that the copy has beensent.


55


34.7 Release of funds from restrictedaccount in estate of minor


34.9 Required contents of financial reportor account of guardian of estate

34.10 When guardian of estate to verifyrestricted account in force

34.11 When estate assets fall below statu-tory threshold for guardianship

34.12 Reimbursement of probate fees topetitioner in estate of minor pro-ceeding

34.13 Petition to determine title relating toestate of minor

Section 34.4 Restriction on use ofestate of minor for support obligations

(a) A guardian of the estate of a minor shallnot use the assets of the estate for supportexpenses of the minor without prior courtapproval.

(b) On petition of the guardian, the courtmay authorize use of the assets of the estatefor reasonable and necessary supportexpenses of the minor if the court deter-mines that:

(1) no person is legally liable for supportof the minor; or

(2) the minor has a parent who has asupport obligation, but the proposed expendi-ture is in the best interests of the minor.

Section 34.5 Settlement of claims infavor of estate of minor

(a) If a petitioner simultaneously files peti-tions seeking appointment as guardian of theestate of a minor and authority to settle adisputed or doubtful claim in favor of theestate, the court may treat the petitions as asingle petition subject to one filing fee.

(b) The petitioner shall accompany thepetition to settle the claim with a settlementstatement that includes:



(2) an itemized list of the expensesassociated with the settlement, including anyproposed attorney’s fee;




(c) The petitioner shall present evidencethat the proposed settlement is in the bestinterests of the minor. The court may requirethe petitioner to submit additional information,including, but not limited to:


ist insurance coverage.(d) The court may approve the proposed

settlement if the court determines that thesettlement is in the best interests of the minor.

(e) The guardian shall file an inventory orsupplemental or substitute inventory showingthe proceeds of the settlement not later than30 days after receipt.


Section 34.5a Petitions to compromisemultiple claims associated with sameinjury

(a) If a guardian of the estate of a minorsimultaneously files petitions to compromisemore than one claim associated with thesame injury, the court may treat the petitionsas a single petition subject to one filing fee.


Section 34.6 Sale of real property fromestate of minor

(a) A guardian of the estate of a minor mayfile a petition seeking authority to sell realproperty by private sale. The guardian shallaccompany the petition with a copy of thecontract of sale and, if not previously filed,an inventory or supplemental or substituteinventory that lists the property and includesa copy of the deed.

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(b) The guardian shall present evidenceregarding the fair market value of the prop-erty. The court may require the guardian tosubmit a comparative market analysis,appraisal, municipal assessment or otherinformation about the value of the property.

(c) Notice of hearing on the petition shallnot be required to be made by publicationunless the court determines that notificationof the public is necessary to protect the inter-ests of the minor.

(d) The court may approve the sale of theproperty if the court determines that the saleis in the best interests of the minor.

(e) If a prospective purchaser other thanthe buyer identified in the petition indicatesa willingness to pay a price that is higher thanthe amount specified in the contract of sale,the court may deny the petition and order apublic sale or take other action as the courtdetermines to be in the best interests ofthe minor.

(C.G.S. sections 45a-164 through 45a-168and 45a-636.)

Section 34.6a Petitions to sell multipleparcels of real property

(a) If a guardian of the estate of a minorsimultaneously files petitions to sell multipleparcels of real property, the court may treatthe petitions as a single petition subject toone filing fee.


Section 34.7 Release of funds fromrestricted account in estate of minor

See section 35.7 (f).

Section 34.8 When guardian of estate tosubmit financial report or account

(a) A guardian of the estate of a minor shallsubmit an annual financial report or accountfor the first year following the guardian’sappointment or, with prior court approval, forthe first year following the guardian’s firstreceipt of funds on behalf of the estate.

(b) After submitting the first annual finan-cial report or account under subsection (a),the guardian shall thereafter submit a periodic


financial report or account at least once dur-ing each three-year period, unless the courtdirects more frequent accounts.

(c) The guardian shall submit a final finan-cial report or account when the minor reachesage 18 or when the guardian seeks to resignor is removed by the court.

(d) If the guardian dies while administeringthe estate, the executor or administrator ofthe estate of the deceased guardian shall file,on behalf of the deceased guardian, a finalfinancial report or account for the guardian-ship estate.

(C.G.S. sections 45a-177, 45a-180 and45a-597.)

Section 34.9 Required contents offinancial report or account of guardianof estate


Section 34.10 When guardian of estateto verify restricted account in force

See section 35.7 (e).

Section 34.11 When estate assets fallbelow statutory threshold for guard-ianship

(a) Except as provided in subsection (b),the court shall retain jurisdiction over theestate of a minor for which a guardian of theestate has been appointed even if the valueof the estate falls below the maximum amountthat a parent or guardian of the person mayhold without a guardianship under C.G.S.section 45a-631.

(b) On petition of the guardian, the courtmay authorize the guardian to transfer funds

HISTORY: Rule 34 adopted effective July 1, 2013. Section 34.12 amended effective July 1, 2015. Sections 34.5 and 34.6amended and sections 34.5a and 34.6a adopted effective July 1, 2017.

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from the estate to a custodian under the Con-necticut Uniform Transfers to Minors Act ifthe court finds that the requirements of C.G.S.section 45a-558c are met.Section 34.12 Reimbursement of pro-bate fees to petitioner in estate of minorproceeding

(a) On motion of a party or on the court’sown motion, the court may order a guardianof the estate of a minor to reimburse a partyfor any probate fees incurred in making apetition to the court concerning the guardian-ship if the court determines that reimburse-ment of the fees is equitable. The court mayact without notice and hearing. If the courtdetermines that reimbursement of the fees isequitable, but the court previously waived thepetitioning party’s fees under C.G.S. section45a-111 (c), the guardian shall remit paymentto the probate court administration fund. Thereimbursed fees shall be paid from the estateas an administration expense.

(b) If the court determines that expendi-tures from the estate must be restricted tomaintain the minor’s eligibility for public assis-tance, the court may deny a motion undersubsection (a).

(C.G.S. sections 45a-105 through 45a-112.)Section 34.13 Petition to determine titlerelating to estate of minor

If the court declines jurisdiction to hear apetition concerning title to property relatingto the estate of a minor under C.G.S. section45a-98a (a), the court shall send writtennotice of the declination to each party andattorney of record.



Rule 35

Probate Bonds

Section Section35.1 When probate bond required35.2 Probate bond to be filed before

appointment35.3 Corporate surety required35.4 Form of probate bond35.5 Probate bond to secure performance

of all cofiduciaries35.6 Amount of probate bond

Section 35.1 When probate bondrequired

(a) Except as otherwise provided in thisrule, the court shall require a fiduciary to sub-mit a probate bond whenever required bystatute or by the provisions of a will or othergoverning instrument.

(b) The court may excuse the requirementof a bond if:

(1) the value of the assets of the estateor the amount of the estate that is not heldin a restricted account is less than the amountunder C.G.S. section 45a-139 (c);

(2) the fiduciary is a corporate fiduciary;(3) in a decedent’s estate:

(A) the will or other governing instru-ment excuses bond; or

(B) each heir or beneficiary of a dece-dent’s estate waives the requirement of abond;

(4) in a trust, the will or other governinginstrument excuses bond;

(5) in a voluntary conservatorship, thepetitioner waives the requirement of abond; or

(6) in an involuntary conservatorship,the respondent or conserved person excusedbond in a written designation of conservatorunder C.G.S. section 45a-645.

(c) Notwithstanding subsection (b), onmotion of a party or on the court’s own motion,the court may require a fiduciary to submit abond if the court determines that a bond isnecessary to protect parties or creditors or to

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35.7 Restricted account35.8 Fiduciary to report increase in value

of estate35.9 Adjustments to amount of probate

bond35.10 Surety on additional probate bond35.11 Release of probate bond35.12 Action on probate bond

assure the payment of taxes or administra-tion expenses.

(C.G.S. sections 36a-250, 45a-144 (c),45a-163 (a), 45a-164 (b), 45a-165, 45a-167(a), 45a-169, 45a-206 (b), 45a-242 (d),45a-289, 45a-290, 45a-303 (d), 45a-316,45a-317a, 45a-326 (c), 45a-430, 45a-451,45a-473, 45a-474, 45a-477, 45a-478 (c),45a-483,45a-559c (f), 45a-629 (b), 45a-632,45a-635, 45a-646, 45a-650 (i), 45a-654 (a),45a-659 (c) and 45a-660 (a).)

Section 35.2 Probate bond to be filedbefore appointment

If the court requires a probate bond froma fiduciary, the court shall not issue a decreeappointing the fiduciary or issue a probatecertificate evidencing the appointment untilthe fiduciary has filed the bond. If necessaryto obtain the probate bond, the court mayissue a decree or fiduciary certificate grantingthe fiduciary limited interim authority.

(C.G.S. section 45a-139 (b).)

Section 35.3 Corporate surety required(a) A probate bond filed on and after the

effective date of this rule shall be secured bya corporate surety.

(b) An individual signing a bond on behalfof a corporate surety shall provide written evi-dence of the individual’s authority to sign onbehalf of the surety.

(c) A bond filed before the effective date ofthis rule that is secured by a personal surety isdeemed to meet requirements of this rule,


provided that a court may require that a cor-porate surety be substituted for a personalsurety if the court determines that the per-sonal surety does not provide adequate secu-rity for the bond.

(d) A personal surety under subsection (c)who is not a resident of this state shall filea certificate, acknowledged before an officerauthorized to take acknowledgments ofdeeds, appointing the judge of probate andthe judge’s successors in office to be thesurety’s agent for service of process.

(C.G.S. sections 45a-139 (b) and 52-60.)

Section 35.4 Form of probate bondA probate bond shall be on a form pub-

lished by the probate court administrator oron a substantially similar form.


Section 35.5 Probate bond to secureperformance of all cofiduciaries

If an estate has more than one fiduciary,the cofiduciaries shall submit a single bondsecuring the faithful performance of all cofi-duciaries.


Section 35.6 Amount of probate bond(a) Except as otherwise directed by the

terms of a will or other governing instrumentor provided by statute or this section, theamount of a probate bond shall be equal tothe value of the assets under the control ofthe fiduciary and anticipated additionalreceipts of income or assets during the appli-cable accounting period.

(b) The amount of the bond may be lessthan provided in subsection (a) as follows:

(1) if the fiduciary does not have thepower to sell or mortgage real property, thecourt may reduce the amount of the bond bythe value of the real property;

(2) if the fiduciary deposits assets in arestricted account, the court may reduce theamount of the bond by the value of the assetsthat are restricted;

(3) if all heirs or all beneficiaries of adecedent’s estate request bond in a smalleramount, the court may order bond in anamount equal to the amount requested;

(4) if a fiduciary is an heir or beneficiaryof a decedent’s estate, the court may reduce

59

the amount of the bond by the fiduciary’sshare of the estate; or

(5) if the court has approved a structuredsettlement, the court may order bond in anamount equal to the funds that are anticipatedto come under the fiduciary’s control duringthe applicable accounting period.

(C.G.S. sections 45a-139, 45a-151 (b) and45a-289 (b).)

Section 35.7 Restricted account(a) The court may authorize a fiduciary to

establish a restricted account to hold theassets of an estate. Except as specified inan order of the court, the fiduciary shalldeposit all assets and income in the restrictedaccount immediately on receipt.

(b) A restricted account may be estab-lished only by execution of an agreement inthe exact form published by the probate courtadministrator under which the fiduciary anda financial institution approved by the courtagree that no disbursements may be madeexcept on written approval of the court.

(c) If the court requires the fiduciary toestablish a restricted account, the court shallnot issue a decree appointing a fiduciary orissue a probate certificate evidencing theappointment until the fiduciary has filed thefully executed agreement establishing therestricted account. If necessary to obtain therestricted account, the court may issue adecree or fiduciary certificate granting thefiduciary limited interim authority.

(d) Not later than ten days after receiptof any income or assets, the fiduciary shallsubmit proof of deposit into the restrictedaccount.

(e) Whenever the fiduciary is required tosubmit a financial report or account, the fidu-ciary shall submit verification that therestricted account remains in force and themost recent statement for the restrictedaccount. The verification shall be on a formpublished by the probate court administratoror on a substantially similar form.

(f) On request of the fiduciary, the courtmay authorize disbursement of funds fromthe restricted account. The court may act onthe request without notice and hearing. If thecourt authorizes funds to be disbursed with-out a hearing, the disbursement is subject


to review in connection with the fiduciary’sfinancial report or account covering the periodin which the disbursement is made.

(C.G.S. section 45a-139 (c).)

Section 35.8 Fiduciary to reportincrease in value of estate

A fiduciary from whom a probate bond isrequired shall file a report listing the receiptof additional assets or income or the recogni-tion of capital gain from the sale of an assetif the aggregate amount of the additionalassets, income and capital gain exceeds tenpercent of the amount of the bond or $50,000,whichever is greater. The fiduciary shall filethe report not later than 30 days after thereceipt or sale occurs. The court may requirethe fiduciary to increase the amount of thebond in accordance with section 35.6 ordeposit the additional assets, income andcapital gain in a restricted account under sec-tion 35.7.


Section 35.9 Adjustments to amount ofprobate bond

The court may adjust the amount of theprobate bond to reflect a change in the valueof the estate in connection with the reviewof an inventory, substitute or supplementalinventory, account or financial report, onreceipt of a report under section 35.8 or atany other time.



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Section 35.10 Surety on additional pro-bate bond

If the court orders a fiduciary to increasethe amount of a probate bond, the additionalamount shall be secured by the same suretyas the original bond, except that the courtmay permit a different surety for the additionalamount if both the original surety and differentsurety agree to joint and several liability forthe original and additional amounts.


Section 35.11 Release of probate bond(a) Except as provided under subsection

(b) or under C.G.S. sections 45a-245 and45a-331 (b), the court shall not issue a certifi-cate releasing a probate bond until the courthas approved the fiduciary’s final financialreport or account and, if required, the affidavitof closing.

(b) The court may issue a certificatereleasing the bond if the court excuses therequirement of a final financial report oraccount under section 32.7 or 33.17.

Section 35.12 Action on probate bondThe court shall give notice of a hearing on

an application to recover on a probate bondto each party and attorney of record. Thecourt shall send notice to the surety by certi-fied mail.



Rule 36

Fiduciary Accounting: General Provisions

Section Section36.1 Methods of accounting36.2 Financial reports distinguished from

accounts36.3 When account is required instead of

financial report36.4 Financial reports and accounts to pre-

sent information in clear manner andbe signed under penalty of falsestatement

36.5 Fiduciary to send copy of financialreport or account and affidavit of clos-ing to each party and attorney

36.6 When executor or administrator tosubmit financial report or account

Section 36.1 Methods of accounting

Except as provided in section 36.3, a fidu-ciary required or permitted to account to thecourt for the management of an estate maysatisfy the legal requirements of an accountby submitting a financial report meeting therequirements of rule 37. If an account isrequired instead of a financial report, the fidu-ciary shall submit an account meeting therequirements of rule 38. Nothing in this ruleprevents a fiduciary from submitting anaccount instead of a financial report.

(C.G.S. sections 19a-301, 45a-98 (a) (6),45a-143, 45a-175 through 45a-180,45a-242 (b), 45a-317 (f), 45a-489a (d),45a-517, 45a-559d, 45a-654 (f), 45a-655 (c)and 45a-660 (b).)

Section 36.2 Financial reports distin-guished from accounts

A financial report is a simplified form ofaccounting by which a fiduciary providessummary information about the managementof an estate. A financial report differs from anaccount in the following ways:

(1) principal and income need not bereported separately;

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36.12 Affidavit of closing36.13 Records to be maintained by fiduciary36.14 Definition of fiduciary acquisition value

(2) assets may be reported at currentfair market value rather than fiduciary acquisi-tion value; and

(3) a financial report need not balancein the manner required for an account.


Section 36.3 When account is requiredinstead of financial report

(a) A fiduciary shall submit an accountrather than a financial report if the fiduciaryis required to account separately for principaland income under section 38.1.

(b) On motion of a party or on the court’sown motion made before approval of a finan-cial report, the court may require the fiduciaryto submit an account instead of a financialreport if the court determines that an accountis necessary to review the fiduciary’s man-agement of the estate.

Section 36.4 Financial reports andaccounts to present information in clearmanner and be signed under penalty offalse statement

(a) A fiduciary submitting either a financialreport or an account to the court shall presentall required information in a concise, clearand understandable manner and in sufficient


detail so that the court and the parties canreview the fiduciary’s management of theestate.

(b) A fiduciary shall sign a financial reportor account under penalty of false statement.

(c) A fiduciary may submit a financialreport or account on a form published by theprobate court administrator or in any formatthat satisfies the requirements of rules 36through 38.

Section 36.5 Fiduciary to send copy offinancial report or account and affidavitof closing to each party and attorney

(a) A fiduciary submitting a financial report,account or affidavit of closing shall send acopy, at the time of filing, to each party andattorney of record and shall certify to the courtthat the copy has been sent.

(b) If a beneficiary is a charity or charitableinterest, the fiduciary shall send a copy ofeach financial report, account or affidavit ofclosing, at the time of filing, to the AttorneyGeneral and shall certify to the court that thecopy has been sent.


Section 36.6 When executor or adminis-trator to submit financial report or account

See section 30.19.

Section 36.7 When trustee to submitfinancial report or account

See section 32.5.

Section 36.8 When final financial reportor account of trustee excused

See section 32.7.

Section 36.9 When conservator to sub-mit financial report or account

See section 33.14.

Section 36.10 Periodic or final financialreport or account excused when personunder conservatorship is Title 19 recipient

See section 33.17.

Section 36.11 When guardian of estateto submit financial report or account

See section 34.8.

Section 36.12 Affidavit of closing(a) If the court directs the fiduciary to file

an affidavit of closing, the fiduciary shall file

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the affidavit in accordance with this sectionnot later than 30 days after completing distri-bution of all assets on hand.

(b) The affidavit of closing shall itemizeeach transaction since the end of theaccounting period of the fiduciary’s final finan-cial report or account and shall include:

(1) the reserve shown on the final finan-cial report or account;

(2) income or assets received; and(3) amounts disbursed from the reserve

and additional income and assets.(c) The affidavit shall include a statement

that assets in the fiduciary’s control havebeen distributed in accordance with the finalfinancial report or account and that the estateis fully settled.

(d) Except for amounts shown as reserveon the financial report or account or additionalincome or assets received after the end ofthe accounting period, the affidavit shall notmodify any item that would alter a beneficialinterest previously adjudicated in the allow-ance of a financial report or account.

(e) The affidavit shall be signed under pen-alty of false statement.

(f) The court may accept the affidavit with-out notice and hearing.Section 36.13 Records to be maintainedby fiduciary

(a) A fiduciary shall maintain completerecords of the fiduciary’s management of theestate including, but not limited to:

(1) each accounting, report, journal orledger used in managing the estate and eachelectronic equivalent thereof, including alldata recorded with accounting software;

(2) each statement and passbook foreach bank account, including savings, check-ing, money market, certificates of deposit andother types of accounts;

(3) each canceled check or check imagefor each bank account, if provided by thebank;

(4) each statement for each invest-ment account;

(5) a receipt for each deposit made intoeach bank or investment account and sup-porting information relating to the deposit;

(6) supporting information relating toeach disbursement made from each bank orinvestment account, including original sup-porting vendor invoices and receipts;


(7) each statement for each creditcard account;

(8) each statement for each store cardaccount;

(9) supporting information relating toeach charge made on each credit card, storecard or debit card, including supporting ven-dor invoices and charge slips or receipts;

(10) supporting information relating toeach distribution made from the estate or trustto any heir, beneficiary, conserved person orminor, as applicable;

(11) with respect to a conservatorship ofthe estate, supporting information relating toeach gift or other transfer for less than fullconsideration made from the estate to a partyother than the conserved person, provided,however, that a conservator may make giftsand transfers only with prior court approvalunder C.G.S. section 45a-655 (e);

(12) detailed payroll information foreach employee engaged or paid by the estatefor each pay period, including time reportingrecords, original payroll registers, journals,and reports and copies of all Internal Reve-nue Service Forms 941, 942, W-3 and W-2and other payroll tax returns;

(13) details of each contracted serviceprovider engaged or paid by the estate foreach calendar year, including originalinvoices from contractors and copies of allInternal Revenue Service Forms 1096 and1099 and other tax forms;

(14) a detailed journal describing thefiduciary’s services and compensation paidto the fiduciary;

(15) with respect to a decedent’s estateor trust, a copy of each state and federalfiduciary income tax return filed by or onbehalf of the estate or trust;

(16) with respect to a conservatorship ofthe estate or guardianship of the estate ofa minor, a copy of each state and federalpersonal income tax return filed by or onbehalf of the person under conservatorshipor minor, including each form and informationreceived for each tax year used in the comple-tion of each return;

HISTORY: Rule 36 adopted effective July 1, 2013. Sections 36.5 and 36.13 amended effective July 1, 2015. Section 36.13amended effective July 1, 2017.

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(17) with respect to a conservatorship ofthe estate, a copy of each state and federalgift tax return filed by or on behalf of the per-son under conservatorship; and

(18) any other record not specified inthis section documenting the fiduciary’sactions in the management of the trust orestate.

(b) The fiduciary shall not destroy anyestate financial records until the courtapproves the fiduciary’s final financial reportor account, the conclusion of any appeal, orthe termination of any other applicable recordretention requirement, whichever is later.

Section 36.14 Definition of fiduciaryacquisition value

(a) The fiduciary acquisition value of anasset is:

(1) for a decedent’s estate, the fair mar-ket value of the asset on the date of death;

(2) for a trust, the fair market value ofthe asset on the date of death of the testatoror settlor or on any other basis for value thatthe court directs after considering the natureof the trust and the manner in which it wasfunded; and

(3) for a conservatorship, guardianshipor any other estate not specified in this sec-tion, the fair market value of the asset on thedate of appointment of the first fiduciary.

(b) The fiduciary acquisition value of anasset that a fiduciary purchases during thecourse of administration is the sum of thepurchase price of the asset and expensesdirectly related to the purchase.

(c) The fiduciary acquisition value of anasset shall not be changed based on unreal-ized gain or loss owing to fluctuations in mar-ket value.

(d) The fiduciary acquisition value of anasset shall be adjusted to reflect transactionsin which:

(1) additional investments, such as capi-tal improvements to real property, are madein an asset; and

(2) some of the original investment isreturned to the fiduciary, such as the sale ofa partial interest in an asset or the receipt ofprincipal payments on a promissory note.


Rule 37

Fiduciary Accounting:Requirements for Financial Reports

Section Section37.1 Decedent’s estate: requirements for

financial report37.2 Trusts: requirements for financial

report

Section 37.1 Decedent’s estate:requirements for financial report

(a) Except as otherwise directed by thecourt, a financial report for a decedent’sestate shall include the following informationfor the accounting period:

(1) the aggregate value of estate prop-erty at the beginning of the accounting periodas reported on the inventory or the mostrecent interim financial report or account;

(2) the total amount of additionalassets received;

(3) the total amount of income receivedin each major category including, but not lim-ited to, interest, dividends and rent;

(4) the net of capital gains and lossesrealized on the sale of any assets;

(5) funeral expenses;(6) the total amount of administration

expenses in each major category including,but not limited to, fiduciary fees, attorney’sfees, accounting expenses, probate fees,taxes, probate bond premiums, publicationexpenses and other expenses;

(7) the total amount of claims paid tocreditors;

(8) an itemized list of distributions madeto each heir or beneficiary before the end ofthe accounting period; and

(9) if a final financial report, an itemizedlist of proposed distributions to each heir orbeneficiary, the proposed reserve and astatement that all funeral expenses, adminis-tration expenses, taxes and claims have beenpaid and all bequests and devises have beenor will be distributed.

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37.3 Conservatorship, guardianship andother estates: requirements for finan-cial reports

37.4 Reporting distributions in financialreport

(b) A financial report may include support-ing schedules to provide additional details orexplanatory notes.


Section 37.2 Trusts: requirements forfinancial report

(a) Except as otherwise directed by thecourt, a financial report for a trust shall includethe following information for the accountingperiod:

(1) the aggregate value of estate prop-erty at the beginning of the accounting periodas reported on the inventory or the mostrecent financial report or account;


(3) the total amount of income receivedin each major category including, but not lim-ited to, interest, dividends, annuities and rent;


(5) the total amount of administrationexpenses in each major category including,but not limited to, fiduciary fees, attorney’sfees, accounting expenses, probate fees,taxes, probate bond premiums, publicationexpenses and other expenses;

(6) the total amount of distributions to,or for the benefit of, each beneficiary,together with a brief explanation of the basisfor any discretionary distributions;

(7) the total amount of assets on hand atfair market value at the end of the accountingperiod, except that real property and assetsthat are difficult to value may be reported at


fiduciary acquisition value; and(8) if a final financial report, an itemized

list of proposed distributions to each benefi-ciary and any proposed reserve.


(C.G.S. section 45a-177 (b); Probate CourtRules, rule 36.)

Section 37.3 Conservatorship, guard-ianship and other estates: requirementsfor financial reports

(a) Except as otherwise directed by thecourt, a financial report for a conservatorship,guardianship or any other type of estate notspecified in this rule shall include the followinginformation with respect to the accountingperiod:

(1) the aggregate value of estate prop-erty at the beginning of the accounting periodreported on the inventory or the most recentfinancial report or account;


(3) the total amount of income receivedin each major category including, but not lim-ited to, interest, dividends, pension, socialsecurity, annuities, wages and rent;


(5) the total amount of administrationexpenses in each major category including,but not limited to, fiduciary fees, attorney’sfees, accounting expenses, probate fees,taxes, probate bond premiums, publicationexpenses and other expenses;

(6) the total amount of distributions to,


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or for the benefit of, the person for whom theestate is administered in each major categoryincluding, but not limited to, medical, housing,utilities, automobile, spending money, gro-ceries, clothing and tuition;

(7) the total amount of assets on hand atfair market value at the end of the accountingperiod, except that real property and assetsthat are difficult to value may be reported atfiduciary acquisition value; and

(8) if a final financial report, an itemizedproposed distribution and any proposedreserve.



Section 37.4 Reporting distributions infinancial report

(a) Except as provided in subsection (b),the fiduciary shall report distributions on afinancial report at fair market value as of thedate of distribution.

(b) Distributions may be shown at fiduciaryacquisition value if each beneficiary in a classof beneficiaries entitled to the distribution willreceive a proportionate share of each asset.

(c) Unless otherwise directed by the court,miscellaneous tangible personal property notitemized on the inventory need not be item-ized in a financial report.

(d) A schedule itemizing distributions orproposed distributions shall include referenceto the provisions of the will or other governinginstrument directing or authorizing the distri-butions.


Rule 38

Fiduciary Accounting:Requirements for Accounts

Section Section38.1 When principal and income to be

reported separately38.2 Contents of account when principal

and income transactions combined38.3 Contents of account when principal

and income activities reported sepa-rately

Section 38.1 When principal andincome to be reported separately

(a) Except as provided in subsections (b)through (d), a fiduciary submitting an accountmay combine principal and income transac-tions in accordance with section 38.2.

(b) The fiduciary of a decedent’s estateshall report principal and income transactionsseparately in accordance with section 38.3 if:

(1) the will provides for a distribution toa trustee of a trust that has differing incomeand principal interests;

(2) the will establishes a life interest inintangible personal property; or

(3) the surviving spouse elects againstthe will under C.G.S. section 45a-436.

(c) The trustee of a trust shall report princi-pal and income transactions separately inaccordance with section 38.3 if the will orother governing instrument provides for dif-fering income and principal interests.

(d) On motion of a party or on the court’sown motion, the court may require a fiduciaryto submit an account reporting principal andincome transactions separately in accord-ance with section 38.3 if the court determinesthat separate accounting is necessary toaccomplish the purposes of the estate.


Section 38.2 Contents of account whenprincipal and income transactionscombined

(a) An account that combines income andprincipal transactions shall contain the follow-ing summary parts:

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38.4 Reporting distributions in account38.5 Account required to balance

(1) assets and income received by thefiduciary; and

(2) payments and distributions by thefiduciary and estate on hand.

(b) The part reporting assets and incomereceived by the fiduciary shall summarize alltransactions during the accounting periodthat result in an increase in the amount of theestate and shall include:

(1) the fiduciary acquisition value ofassets at the beginning of the accountingperiod as reported on the inventory or themost recent financial report or account;

(2) the fiduciary acquisition value ofadditional assets received;

(3) cash advanced to the estate by thefiduciary or another person;

(4) income received;(5) capital gains realized on the sale of

assets; and(6) adjustments increasing fiduciary

acquisition value under section 36.14.(c) The part reporting payments and distri-

butions by the fiduciary and estate on handshall summarize all transactions during theaccounting period that reduce the amount ofthe estate and shall include:

(1) administration expenses;(2) in a decedent’s estate:

(A) funeral expenses; and(B) claims paid to creditors;

(3) capital losses realized on the saleof assets;

(4) adjustments decreasing fiduciaryacquisition value under section 36.14;


(5) the fiduciary acquisition value of dis-tributions to heirs or beneficiaries before theend of the accounting period;

(6) the fiduciary acquisition value ofassets on hand at the end of the accountingperiod; and

(7) if a final account, the fiduciary acqui-sition value of proposed distributions and anyproposed reserve.

(d) The account shall include:(1) a schedule itemizing additional

assets received;(2) a schedule listing the total amount

of administration expenses in each major cat-egory including, but not limited to, fiduciaryfees, attorney’s fees, accounting expenses,probate fees, taxes, probate bond premiums,publication expenses and other expenses;

(3) a statement indicating whether anyperson who made a cash advance to theestate expects to be reimbursed;

(4) a schedule listing the total amountof income in each major category including,but not limited to, interest, dividends, pension,social security, annuities, wages and rent;

(5) schedules showing the calculation ofcapital gain or loss for each asset sold duringthe accounting period;

(6) a schedule itemizing asset pur-chases;

(7) a schedule itemizing sales of assetsor other capital changes not resulting in capi-tal gains or losses;

(8) a schedule itemizing assets on hand,shown at both fiduciary acquisition value andfair market value at the end of the accountingperiod, except that real property and difficultto value assets may be reported at fiduciaryacquisition value;

(9) a schedule itemizing distributionsmade to each heir or beneficiary during theaccounting period;

(10) if a final account:(A) a schedule itemizing distributions

proposed to be made to each heir or benefi-ciary after approval of the account; and

(B) a schedule explaining the purposeof any proposed reserve; and

(11) any other schedule necessary toprovide details or explanatory notes.

(e) The account shall include a cashaccount balancing all cash receipts with cash

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disbursements and cash on hand at the endof the accounting period. Cash receipts shallbe reported in each major category including,but not limited to, cash on hand at the begin-ning of the accounting period, additional cashreceipts, income receipts and proceeds fromsales of assets. Cash disbursements shall bereported in each major category including,but not limited to, administration expenses,claims, purchases of assets and distributions.

(f) A final account for a decedent’s estateshall include a statement that all funeralexpenses, administration expenses, taxesand claims have been paid and all bequestsand devises have been or will be distributed.

(g) On motion of a party or on the court’sown motion, the court may modify therequired contents of an account under thissection.


Section 38.3 Contents of account whenprincipal and income activities reportedseparately

(a) If a fiduciary is required to report princi-pal and income activities separately, the fidu-ciary shall designate each transaction as aprincipal or income transaction in accordancewith the will or governing instrument and theConnecticut Principal and Income Act andshall report the transactions in accordancewith this section.

(b) An account that reports income andprincipal activities separately shall containthe following summary parts:

(1) principal charges;(2) principal credits;(3) income charges; and(4) income credits.

(c) The part reporting principal chargesshall summarize all transactions during theaccounting period that increase the principalof the estate and shall include:

(1) the fiduciary acquisition value ofassets at the beginning of the accountingperiod as reported on the inventory or themost recent financial report or account;

(2) the fiduciary acquisition value of anyadditional principal assets received;

(3) cash advanced to the estate by thefiduciary or another person;

(4) capital gains realized on the sale ofprincipal assets; and


(5) adjustments increasing the fiduciaryacquisition value of any principal assetsunder section 36.14.

(d) The part reporting principal creditsshall summarize all transactions during theaccounting period that decrease the principalof the estate and shall include:

(1) administration expenses attributableto principal;

(2) in a decedent’s estate:(A) funeral expenses; and(B) claims paid to creditors;

(3) capital losses realized on the sale ofprincipal assets;

(4) adjustments decreasing the fiduciaryacquisition value of any principal assetsunder section 36.14;

(5) the fiduciary acquisition value of dis-tributions of principal assets to heirs or benefi-ciaries before the end of the accountingperiod;

(6) the fiduciary acquisition value of prin-cipal assets on hand at the end of theaccounting period; and

(7) if a final account, the fiduciary acqui-sition value of proposed distributions of princi-pal assets and any proposed reserve ofprincipal assets.

(e) The part reporting income chargesshall summarize all income receipts duringthe accounting period and shall include:

(1) the amount of income on hand at thebeginning of the accounting period asreported on the inventory or the most recentfinancial report or account; and

(2) the total amount of income received.(f) The part reporting income credits shall

summarize all transactions during theaccounting period that reduce the income ofthe estate and shall include:

(1) administration expenses attributableto income;

(2) distributions of income to heirs orbeneficiaries before the end of the account-ing period;

(3) income on hand at the end of theaccounting period; and

(4) if a final account, proposed incomedistributions and any proposed reserve ofincome assets.

(g) The account shall include the followingschedules regarding principal transactions:

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(1) a schedule itemizing additional prin-cipal assets received;

(2) a schedule itemizing administrationexpenses attributable to principal in eachmajor category, including, but not limited to,fiduciary fees, attorney’s fees, accountingexpenses, probate fees, taxes, probate bondpremiums, publication expenses and otherexpenses;

(3) a statement indicating whether anyperson who made a cash advance to theestate expects to be reimbursed;

(4) schedules showing the calculation ofthe capital gain or loss for each principal assetsold during the accounting period;

(5) a schedule itemizing principalasset purchases;

(6) a schedule itemizing sales of princi-pal assets and other capital changes notresulting in capital gains or losses;

(7) a schedule itemizing principal assetson hand, shown at both fiduciary acquisitionvalue and fair market value at the end of theaccounting period, except that real propertyand difficult to value assets may be reportedat fiduciary acquisition value;

(8) a schedule itemizing principal distri-butions made to each heir or beneficiary dur-ing the accounting period;

(9) if a final account:(A) a schedule itemizing principal dis-

tributions proposed to be made to each heir orbeneficiary after approval of the account; and

(B) a schedule explaining the purposeof any proposed principal reserve; and

(10) any other schedule necessary toprovide details or explanatory notes.

(h) The account shall include the followingschedules regarding income transactions:

(1) a schedule listing the total amountof income in each major category including,but not limited to, interest, dividends, pension,social security, annuities, wages and rent;

(2) a schedule itemizing administrationexpenses attributable to income in eachmajor category including, but not limited to,fiduciary fees, attorney’s fees, accountingexpenses, probate fees, taxes, probate bondpremiums, publication expenses and otherexpenses;


(3) a schedule itemizing income distri-butions made to each heir or beneficiary dur-ing the accounting period; and

(4) if a final account:(A) a schedule itemizing income dis-

tributions proposed to be made to each heir orbeneficiary after approval of the account; and

(B) a schedule explaining the purposeof any proposed income reserve; and

(5) any other schedule necessary to pro-vide details or explanatory notes.

(i) The account shall include a cashaccount balancing all principal cash receiptswith principal disbursements and principal onhand at the end of the accounting period.Cash receipts shall be reported in each majorcategory including, but not limited to, principalcash on hand at the beginning of the account-ing period, additional principal cash receiptsand proceeds from sales of assets. Cash dis-bursements shall be reported in each majorcategory including, but not limited to, adminis-tration expenses attributable to principal,claims, purchases of principal assets andprincipal distributions.

(j) A final account for a decedent’s estateshall include a statement that all funeralexpenses, administration expenses, taxesand claims have been paid and all bequestsand devises have been or will be distributed.

(k) On motion of a party or on the court’sown motion, the court may modify therequired contents of an account under thissection.

(C.G.S. sections 45a-176, 45a-542through 45a-542ff and 45a-597.)Section 38.4 Reporting distributions inaccount

(a) Except as provided in subsection (b), aschedule itemizing distributions shall indicate


69

both fiduciary acquisition value and fair mar-ket value as of the date of distribution.

(b) Distributions may be shown at fiduciaryacquisition value if each beneficiary in a classof beneficiaries entitled to the distribution willreceive a proportionate share of each asset.

(c) Unless otherwise directed by the court,miscellaneous tangible personal property notitemized on the inventory need not be item-ized on an account.

(d) A schedule itemizing distributions orproposed distributions shall include referenceto the provisions of the will or other governinginstrument directing or authorizing the distri-butions.

Section 38.5 Account required tobalance

(a) An account shall balance in the mannerprovided in subsections (b) and (c).

(b) In an account in which principal andincome transactions are combined, the sumof all assets and income received by the fidu-ciary reported under section 38.2 (b) shallequal the sum of all payments and distribu-tions by the fiduciary and estate on handreported under section 38.2 (c).

(c) In an account in which principal andincome transactions are reported separately:

(1) the sum of all principal chargesreported under section 38.3 (c) shall equalthe sum of all principal credits reported undersection 38.3 (d); and

(2) the sum of all income chargesreported under section 38.3 (e) shall equalthe sum of all income credits reported undersection 38.3 (f).


Rule 39

Fiduciary and Attorney’s Fees

Section Section39.1 Fiduciary and attorney’s fees

Section 39.1 Fiduciary and attorney’sfees

(a) On motion of a fiduciary, the courtmay approve:

(1) a proposed fee arrangement for thefiduciary or for the fiduciary’s attorney beforethe fiduciary or attorney has rendered ser-vices; or

(2) a proposed fee for services alreadyrendered by the fiduciary or attorney.

(b) On motion of an attorney who does notrepresent a fiduciary but whose fees are pay-able by an estate, the court may approve aproposed fee arrangement before the attor-ney renders services or a proposed fee forservices already rendered.

(c) The court may require the fiduciary tofile a financial report or account beforeapproving a proposed fee arrangement orproposed fee pursuant to this section if itdetermines that additional information aboutthe estate is necessary to evaluate the rea-sonableness of the proposal.

(d) Fiduciary and attorney’s fees not pre-viously approved by the court are subject toreview in connection with the financial reportor account covering the period in which thefees are paid. The court shall determinewhether the fiduciary and attorney’s fees arereasonable, whether or not an interestedparty raises an objection to the fees.

(C.G.S. sections 17b-95 (c) and 45a-594.)

Section 39.2 Task statement of fidu-ciary and attorney

(a) In reviewing a proposed fee for ser-vices already rendered, the court may requirea fiduciary or attorney to submit a task state-ment describing the services performed.

(b) A fiduciary’s task statement shalladdress:


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39.2 Task statement of fiduciary andattorney

(1) size of the estate;(2) responsibilities involved;(3) character of the work required;(4) special problems and difficulties met

in doing the work;(5) results achieved;(6) knowledge, skill and judgment

required;(7) manner and promptness in which the

matter was handled;(8) time required; and(9) other relevant and material circum-

stances.(c) An attorney’s task statement shall

include a copy of the attorney’s engagementletter and shall address:

(1) time and labor required;(2) novelty and difficulty of the ques-

tions involved;(3) skill required to perform the legal ser-

vice properly;(4) likelihood, if made known to the cli-

ent, that the acceptance of the particularemployment will preclude other employmentby the attorney;

(5) fee customarily charged in the local-ity for similar legal services;

(6) value of the estate involved, resultsobtained and time limitations imposed by theclient or circumstances;

(7) nature and length of the attorney’sprofessional relationship with the personwhose estate is being administered or withthe fiduciary;

(8) experience, reputation and ability ofthe attorney performing the services; and

(9) whether the fee is fixed or con-tingent.

(C.G.S. sections 17b-95 (c) and 45a-594;Hayward v. Plant, 98 Conn. 374, 384, 118A. 634 (1923); Connecticut Practice Book,Rules of Professional Conduct, rule 1.5.)


Rule 40

Children’s Matters:General Provisions


may be used in children’s matter40.2 Appointment of attorney and guardian

ad litem for minor40.3 Immediate temporary custody of a

minor40.4 Order for immediate temporary cus-

tody without notice and hearing40.5 Appointment of temporary custodian

on consent40.6 Removal and appointment of guardian

on consent40.6a Notice of hearing on competing

removal petition40.7 Reinstatement as guardian40.8 Temporary guardianship40.9 Public notice in termination proceed-

ing when name or location of parentunknown

40.10 Pre-adoption hearing40.11 Appointment of out-of-state child-plac-

ing-agency as statutory parent to give

Section 40.1 When streamline noticeprocedure may be used in children’smatter

See rule 8.6.Section 40.2 Appointment of attorneyand guardian ad litem for minor

(a) The court may appoint an attorney fora minor under C.G.S. section 45a-620.

(b) If the court determines that the minoris unable to express his or her wishes to theattorney, the court may appoint the attorneyto serve as both attorney and guardian adlitem.

(c) If the court determines that the minor’swishes, if followed, could lead to substantialphysical, financial or other harm to the minor,the court may appoint an individual as attor-ney for the minor and another individual asguardian ad litem for the minor.

(C.G.S. sections 45a-132, 45a-717 (b) and46b-172a (c); Probate Court Rules, rule 13.)

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child in adoption40.12 Adoption by same sex married couple40.13 Notice in adult adoption proceeding40.14 In-court review for possible modifica-

tion of order40.15 Criminal background check40.16 Transfer of contested removal or ter-

mination petition to Superior Court40.17 Appointment of commissioner of chil-

dren and families as temporary custo-dian or guardian

40.18 Single petition for special immigrantjuvenile findings and related chil-dren’s matter

40.19 Single petition to terminate parentalrights and approve adoption

40.20 Court to advise respondent parent ofrights in proceeding to terminateparental rights or appoint permanentguardian

Section 40.3 Immediate temporary cus-tody of a minor

(a) A petitioner seeking to remove a parentor other guardian under C.G.S. section 45a-613 or 45a-614 or to terminate parental rightsunder C.G.S. section 45a-715 (a) may peti-tion for immediate temporary custody of theminor. A parent may file a petition underthis section.

(b) In subsections (c), (d) and (e), thephrase ‘‘in the custody of the parent or otherguardian,’’ when used in C.G.S. section 45a-607 (b), refers to the current physical care ofthe minor at the time a petition for immediatetemporary custody is filed, not the legal rightsof the parent or guardian regarding the cus-tody or guardianship of the minor.

(c) Except as provided in C.G.S. section45a-607 (b) (2), the court may not grant a


petition for immediate temporary custody ofthe minor on an ex parte basis if the minor isin the custody of the parent or other guardian.

(d) If the minor is not in the custody of aparent or other guardian, the court may granta petition for immediate temporary custodyof the minor on an ex parte basis as providedin C.G.S. sections 45a-607 (b) (1) through45a-607 (b) (3).

(e) If the minor is in the custody of a parentor guardian who is the petitioner, the courtmay grant a petition for immediate temporarycustody of the minor on an ex parte basis asprovided in C.G.S. sections 45a-607 (b) (1)through 45a-607 (b) (3).


Section 40.4 Order for immediate tem-porary custody without notice andhearing

(a) The court may act on a petition forimmediate temporary custody under C.G.S.section 45a-607 (b) without notice andhearing.

(b) If the court determines that it is neces-sary to meet with the petitioner before decid-ing a petition for immediate temporarycustody on an ex parte basis, the court shallmake an audio recording of the meeting. Therecording shall be available to the parties. Ifthe court grants immediate temporary cus-tody and the temporary custody hearingrequired by C.G.S. section 45a-607 (b) (3) iscontested, the judge who met with the peti-tioner shall be disqualified from conductingthe temporary custody hearing.

(c) In a proceeding under this section, thecourt may, in addition to the criminal back-ground check required under section 40.15,obtain a search of the registry of protectionorders to determine whether there have beenany orders protecting or restraining any ofthe following individuals:

(1) a proposed temporary custodian;(2) an individual living in the household

of the proposed temporary custodian; or(3) any other person if necessary to pro-

tect the interests of the minor.(Probate Court Rules, rules 65 and 69.)

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Section 40.5 Appointment of temporarycustodian on consent

(a) If a parent or guardian of a minor con-sents to the grant of temporary custody inconnection with a petition that names a pro-posed temporary custodian, the court shallnot appoint another individual as custodianunless:

(1) the parent or guardian consents tothe appointment of the other individual;

(2) the original petition alleges groundsfor temporary custody other than consent ofthe parent or guardian, and the court makesthe findings required under C.G.S. section45a-607 (d);

(3) a person authorized under C.G.S.section 45a-614 files a petition for immediatetemporary custody, and the court makes thefindings required under C.G.S. section 45a-607 (b); or

(4) a person authorized under C.G.S.section 45a-614 files a new or amended peti-tion alleging grounds for temporary custody,and the court, after notice and hearing inaccordance with C.G.S. section 45a-607 (c),makes the findings required under C.G.S.section 45a-607 (d).

(b) If the court grants immediate temporarycustody under subsection (a) (3), the courtshall give notice and conduct a temporarycustody hearing in accordance with C.G.S.section 45a-607 (b) (3).


Section 40.6 Removal and appointmentof guardian on consent

If a parent or guardian consents to removalas guardian in connection with a petition thatnames a proposed guardian, the court shallnot appoint another individual as guardianunless:

(1) the parent or guardian consents tothe appointment of the other individual asguardian;

(2) the original petition alleges groundsfor removal other than consent of the parentor guardian, and the court makes the findingsrequired under C.G.S. section 45a-610; or

(3) a person authorized under C.G.S.section 45a-614 files a new or amended peti-tion alleging grounds for removal, and the


court, after notice and hearing in accordancewith C.G.S. section 45a-609, makes the find-ings required under C.G.S. section 45a-610.

(C.G.S. sections 45a-604 and 45a-617;Probate Court Rules, rule 70.)

Section 40.6a Notice of hearing on com-peting removal petition

If the court has previously given notice ofhearing on a petition to remove a parent orother guardian, the court shall give notice ofhearing on any subsequent competingremoval petition by regular mail to each partyand attorney of record and each other personlisted in C.G.S. section 45a-609 (b). Deliveryof the notice of the competing removal peti-tion by personal service on the respondentis not required.

(C.G.S. sections 45a-613 and 45a-614;Probate Court Rules, section 6.1 (a) (3) andrule 8.)

Section 40.7 Reinstatement as guardianExcept as provided under C.G.S. section

45a-611, a parent or guardian who wasremoved as guardian of a minor may file apetition seeking reinstatement as guardian.The petitioner shall have the burden of prov-ing that the factors that resulted in removalhave been resolved satisfactorily. If the courtfinds that the parent or former guardian hasmet the burden of proof, the court shall deter-mine whether reinstatement of the parent orformer guardian is in the minor’s best inter-ests. The evidentiary standard for the findingsin this section and C.G.S. section 45a-611 ispreponderance of the evidence.


Section 40.8 Temporary guardianshipA parent or guardian may petition to

appoint a temporary guardian for a minorwithout another parent or guardian joining ascopetitioner. The court shall give notice toeach party, including a nonpetitioning parentor guardian, and each attorney of record.


Section 40.9 Public notice in termina-tion proceeding when name or location ofparent unknown

(a) A petitioner seeking to terminate theparental rights of a parent shall make diligent

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effort to determine the name and currentaddress of the parent. If the petitioner cannotdetermine the name or address, the petitionshall include a statement signed under pen-alty of false statement indicating:

(1) that the petitioner cannot determinethe name or address of the parent;

(2) the last known address, if any, ofthe parent;

(3) the search efforts that the petitionerhas made; and

(4) other relevant information that mightassist in determining the name or address ofthe parent.

(b) If the name or address of a parent isunknown, the court shall publish notice of thehearing on the petition to terminate parentalrights in a newspaper having general circula-tion where the parent was last known toreside or, if no such address is known, in theprobate district in which the petition was filed.The notice shall include the full name of anyknown parent, the first name and first initialof the last name of the minor and the minor’sdate and place of birth.

(C.G.S. sections 45a-707, 45a-715(c) and45a-716 (c).)

Section 40.10 Pre-adoption hearingThe court may conduct a pre-adoption

hearing to address any issues associatedwith the proposed adoption. The notice ofhearing shall indicate that the adoption willnot be finalized at the pre-adoption hearing.

(C.G.S. section 45a-727 (c).)

Section 40.11 Appointment of out-of-state child-placing-agency as statutoryparent to give child in adoption

An out-of-state child-placing-agency maypetition to be appointed as statutory parentof a minor whom the agency has placed foradoption in this state under the InterstateCompact on the Placement of Children. Thecourt may appoint the agency as statutoryparent if the court finds that:

(1) the minor is free for adoption;(2) no statutory parent has been

appointed for the minor in this state; and(3) the agency is licensed or approved

by the Department of Children and Families.(C.G.S. sections 17a-175, 45a-707, 45a-

718, 45a-725 and 45a-727.)


Section 40.12 Adoption by same sexmarried couple

(a) Even if both spouses of a same sexmarried couple are considered parents of aminor under the law of this state, a spousemay petition under C.G.S. section 45a-724(a) (2) for a stepparent adoption of the minorby the other spouse or under C.G.S. section45a-724 (a) (3) for a co-parent adoption ofthe minor by the other spouse.

(b) In a proceeding under subsection (a),the court may waive notice to the commis-sioner of children and families and shallwaive, unless cause is shown, all require-ments for an investigation and report by theDepartment of Children and Families or by achild-placing agency.


Section 40.13 Notice in adult adoptionproceeding

In a proceeding to approve an adult adop-tion, the court shall give notice to each partyand attorney of record. The court may givenotice to other persons interested in the wel-fare of the parties, including relatives andfriends of the proposed adoptive parent andadopted person.

(C.G.S. section 45a-734, Probate CourtRules, rule 8.)

Section 40.14 In-court review for possi-ble modification of order

On motion of a party or on the court’s ownmotion, the court may conduct an in-courtreview to consider possible modification ofan order of the court regarding custody,guardianship or visitation. The notice of hear-ing for the in-court review shall specify theorder that is the subject of review.

Section 40.15 Criminal backgroundcheck

(a) Unless an immediate appointment isnecessary to ensure the safety of a minor,the court shall obtain a criminal backgroundcheck of a proposed temporary custodian,guardian of the person, temporary guardianor coguardian of the person before issuing adecree appointing the fiduciary.

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(b) If the requirement of a criminal back-ground check is waived at the time of appoint-ment under subsection (a), the court shallobtain a criminal background check as soonas reasonably possible after issuing thedecree making the appointment.

(c) At any time during a proceeding con-cerning a minor, the court may obtain a crimi-nal background check of:

(1) an individual providing care to theminor;

(2) an individual living in the householdin which the minor resides or will reside; or

(3) any other person if necessary to pro-tect the interests of the minor.


Section 40.16 Transfer of contestedremoval or termination petition to Supe-rior Court

(a) A party may file a motion in the ProbateCourt to transfer a contested petition toremove a parent or other guardian or termi-nate parental rights to the Superior Court forJuvenile Matters. Unless the Probate Courtgrants an extension of time to file, the partyshall file the motion at least three days beforethe first hearing on the petition for removalor termination.

(b) The party moving for transfer undersubsection (a) shall send a copy of the motionto each party and attorney of record and shallcertify to the court that the copy has beensent.

(c) If the motion to transfer is filed by aparty other than the party who petitioned forremoval or termination, the court shall, with-out notice and hearing, grant the transfer notlater than five days after receipt of the motion.

(d) If the motion to transfer is filed by theparty who petitioned for removal or termina-tion, the court shall hear and decide themotion before conducting the hearing onremoval or termination.

(e) On the court’s own motion and withoutnotice and hearing, the court may transfera petition for removal or termination to theSuperior Court.

(C.G.S. sections 45a-623 and 45a-715(g).)


Section 40.17 Appointment of commis-sioner of children and families as tempo-rary custodian or guardian

If the court appoints the commissioner ofchildren and families as temporary custodianor guardian of the person of a minor, the courtshall make written findings to indicatewhether the commissioner made reasonableefforts to maintain the minor in the home andwhether continuation in the home is contraryto the best interests of the minor.

(C.G.S. sections 45a-607 (b) (3) and45a-610.)

Section 40.18 Single petition for specialimmigrant juvenile findings and relatedchildren’s matter

(a) If a petitioner simultaneously files apetition for special immigrant juvenile findingswith any one of the following petitions, thecourt may treat the petitions as a single peti-tion subject to one filing fee:

(1) removal of a guardian;(2) appointment of a guardian or

coguardian;(3) termination of parental rights; or(4) approval of an adoption.


Section 40.19 Single petition to termi-nate parental rights and approve adoption

(a) If a petitioner simultaneously files apetition to terminate parental rights and a peti-tion to approve an adoption of the child underC.G.S. section 45a-724 (b), the court maytreat the petitions as a single petition subjectto one filing fee.

(b) The court may charge a separate filing

HISTORY: Rule 40 adopted effective July 1, 2013. Sections 40.3, 40.7, 40.9, 40.13 and 40.16 amended and section 40.6aadopted effective July 1, 2015. Sections 40.4, 40.5, 40.6, 40.12, 40.14 and 40.15 amended and sections 40.18, 40.19 and40.20 adopted effective July 1, 2017.

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fee for a petition under subsection (a) if thecourt determines that it is necessary to hearthe petitions separately.

Section 40.20 Court to advise parent ofrights in proceeding to terminate parentalrights or appoint permanent guardian

(a) In a proceeding to terminate parentalrights or appoint a permanent guardian of aminor, the court shall canvass a respondentparent in accordance with subsection (b):

(1) on the first occasion, if any, that theparent attends a hearing; and

(2) at the beginning of the hearing onthe merits, if the parent is present.

(b) In conducting a canvass under this sec-tion, the court shall advise the parent:

(1) of the nature of the proceeding andthe legal effect of a decree terminating paren-tal rights or appointing a permanent guardian;

(2) of the parent’s right to:(A) defend against the allegations in

the petition;(B) confront and cross-examine wit-

nesses;(C) object to the admission of exhibits;(D) present evidence opposing the

allegations;(E) be represented by an attorney;(F) testify on the parent’s own behalf;

(3) that, if the parent does not testify,the court may conclude that the testimonywould not have been helpful to the parent’scase; and

(4) that, if the parent does not testify,present witnesses on the parent’s behalf,object to exhibits or cross-examine wit-nesses, the court will decide the matter basedon the other evidence presented at thehearing.

(C.G.S. sections 45a-616a and 45a-715;In re Yasiel R., 317 Conn. 773 (2015).)


Rule 41

Children’s Matters:Regional Children’s Probate Courts

Section Section41.1 Transfer of children’s matter to

Regional Children’s Probate Court41.2 Duties of probate court officer

Section 41.1 Transfer of children’s mat-ter to Regional Children’s Probate Court

(a) On the court’s own motion, a ProbateCourt may, without notice and hearing, trans-fer a children’s matter to a Regional Chil-dren’s Probate Court.

(b) On motion of a party, a Probate Courtmay, after notice and hearing, transfer a chil-dren’s matter to a Regional Children’s Pro-bate Court. The party shall send a copy ofthe motion to each party and attorney ofrecord and shall certify to the court that thecopy has been sent.

(c) Before deciding a motion to transfer,the court shall consult with the administrativejudge of the children’s court concerning theresources available at the children’s court tohandle the matter.

(d) A judge who transfers a matter underthis section or a judge who participates in thechildren’s court may hear the matter in thechildren’s court.

(C.G.S. sections 45a-8a, 45a-623 and 45a-715 (g).)

Section 41.2 Duties of probate courtofficer

In a proceeding in a Regional Children’sProbate Court, the court may assign a pro-bate court officer to perform any of the follow-ing duties:

(1) conduct conferences with the partiesand their attorneys, representatives of theDepartment of Children and Families andsocial service providers;

(2) facilitate development of the family’splan for the care of the minor;

HISTORY: Rule 41 effective July 1, 2013.

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41.3 Files and reports of probate courtofficer

(3) facilitate development of a visita-tion plan;

(4) coordinate with the Department ofChildren and Families to facilitate a thoroughreview of the matter;

(5) assess whether the family’s plan forthe care of the minor is in the minor’s bestinterests;

(6) assist the family in engaging commu-nity services;

(7) testify at hearings; and(8) conduct follow-up regarding orders

of the court.(C.G.S. section 45a-8d.)

Section 41.3 Files and reports of pro-bate court officer

(a) A probate court officer shall maintainall notes, correspondence, reports and othermaterials gathered or created in the scope ofthe officer’s duties in a file separate from thecourt file. Except as provided in subsection(c), the court shall not review materials in theofficer’s file unless admitted into evidence.

(b) Except as provided in C.G.S. section45a-754, all materials in the officer’s file in aproceeding for removal of parent as guardian,termination of parental rights, appointment ofstatutory parent, adoption, temporary guard-ianship or emancipation of a minor are confi-dential and not open to public inspection andshall not be disclosed to any person.

(c) Before any scheduled hearing on amatter, the officer shall file with the court acopy of each report prepared by the officerin the matter under C.G.S. 45a-8d.



Rule 42

Children’s Matters:Overlapping Jurisdiction

in Superior and Probate Courts

Section Section42.1 Prior pending matter in Superior Court42.2 Petition in Superior Court when prior

matter pending in Probate Court42.3 Petition in Superior Court when Pro-

bate Court grants custody or guardian-ship to commissioner of children andfamilies

Section 42.1 Prior pending matter inSuperior Court

If a matter concerning a minor is pendingin the Superior Court for Juvenile Mattersbefore a petition is filed in a Probate Courtconcerning the same minor, the ProbateCourt shall dismiss the petition.

Section 42.2 Petition in Superior Courtwhen prior matter pending in ProbateCourt

(a) If a matter concerning a minor is pend-ing in a Probate Court before the filing ofa petition in the Superior Court for JuvenileMatters concerning the same minor, the com-missioner of children and families and anyparty having knowledge of the pending mat-ters shall immediately notify the SuperiorCourt and the Probate Court that the matteris pending in both courts.

(b) On notification that the Superior Courthas a pending matter concerning a child forwhom there was a prior pending matter in aProbate Court, the judges of the SuperiorCourt and Probate Court shall communicateto determine which court should proceed andwhich court should dismiss the matter. Thecourts may allow the parties to participate inthe communication.

(c) The Superior Court and the ProbateCourt shall make an audio recording orarrange for a court reporter to make a steno-graphic record of a communication madeunder subsection (b). The parties shall be

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42.4 Emergency action by the commis-sioner of children and families whenprior matter pending in Probate Court

42.5 Safety and service agreement

promptly informed of the communication andgranted access to the audio recording or tran-script.

(d) The courts may communicate onscheduling, calendars, court records andother administrative issues without making arecord and without informing the parties ofthe communication.


Section 42.3 Petition in Superior Courtwhen Probate Court grants custody orguardianship to commissioner of childrenand families

If a Probate Court appoints the commis-sioner of children and families as temporarycustodian or guardian of the person of aminor, the commissioner shall immediatelyfile a petition under C.G.S. section 46b-129in the Superior Court for Juvenile Matters andnotify the Probate Court of the filing. TheSuperior Court shall assume jurisdiction. TheProbate Court shall defer further action anddismiss the matter on issuance of a SuperiorCourt order regarding custody of the minor.

Section 42.4 Emergency action by thecommissioner of children and familieswhen prior matter pending in ProbateCourt

(a) If the commissioner of children andfamilies determines that exigent circum-stances necessitate a 96-hour hold or amotion for an order of temporary custody inthe Superior Court for Juvenile Matters for a


minor for whom a matter is pending in a Pro-bate Court, the commissioner shall immedi-ately notify the Probate Court of thecommissioner’s action and report to the Pro-bate Court the outcome of the temporary cus-tody hearing in the Superior Court underC.G.S. section 46b-129.

(b) If the Superior Court grants the motionfor an order of temporary custody under sub-section (a), the Probate Court shall dismissthe matter.

(C.G.S. section 17a-101g; Probate CourtRules, rule 19.)Section 42.5 Safety and serviceagreement

(a) If the Probate Court becomes awarethat a family member has entered into asafety and service agreement with the com-missioner of children and families for a minorfor whom the court has a pending matter, thecourt shall contact a social worker or supervi-sor in the Department of Children and Fami-lies to determine whether the commissionerintends to file a petition regarding the minorin the Superior Court for Juvenile Matters.


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(b) If the commissioner indicates that thecommissioner does not plan to file a petitionregarding the minor in the Superior Court,the Probate Court shall proceed to hear anddecide the matter.

(c) If the commissioner indicates that thecommissioner plans to file a petition in theSuperior Court, the commissioner shall filethe petition not later than eight days afterinforming the Probate Court of the intendedaction and notify the Probate Court of thefiling. The Probate Court may hear anddecide a pending petition for temporary cus-tody before receipt of notification that the peti-tion has been filed in the Superior Court. Onreceipt of notification that the petition hasbeen filed in the Superior Court, the ProbateCourt shall defer further action and dismissthe matter on issuance of a Superior Courtorder regarding custody of the minor.

(d) If the commissioner fails to file a peti-tion within eight days of informing the ProbateCourt of the intention to file, the Probate Courtshall proceed to hear and decide the matter.



Rule 43

Guardians of Adults with Intellectual Disability

Section Section43.1 Criminal background check

Section 43.1 Criminal backgroundcheck

At any time during a proceeding concerningthe guardianship of an adult with intellectualdisability, the court may obtain a criminalbackground check of:

(1) the guardian or proposedguardian;

(2) an individual providing care to theprotected person;

(3) an individual living in the house-hold of the protected person; or

(4) any other person if necessary toprotect the interests of the protected person.

(C.G.S. section 45a-676 (f).)


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43.2 Sterilization

Section 43.2 Sterilization

If a guardian of an adult with intellectualdisability petitions for approval of a steriliza-tion procedure under C.G.S. section 45a-698,each member of the interdisciplinary teamappointed under C.G.S. section 45a-695shall file a report indicating whether the pro-tected person is able to give informed consentand whether sterilization is in the best inter-ests of the person.



Rule 44

Commitment for Treatment of Psychiatric Disability

Section Section44.1 Confidentiality of psychiatric commit-

ment proceeding44.2 Audio recording of psychiatric commit-

ment proceeding44.3 Notice and procedures in probable

cause hearing44.4 Notice of hearing on psychiatric com-

mitment44.5 Warrant for examination of individual

16 years or older at general hospital

Section 44.1 Confidentiality of psychi-atric commitment proceeding

The court shall exclude a person who isnot a party or an attorney for a party fromattending or participating in any hearing relat-ing to commitment for treatment of psychiatricdisability under C.G.S. sections 17a-75through 17a-83 or sections 17a-495 through17a-528, except that:

(1) a parent of a respondent who isunder the age of 16 may participate in thehearing; and

(2) the court may:(A) on request of the respondent, per-

mit a person to participate in the hearing;(B) after considering any objection of

the respondent, permit a relative or friend whois interested in the welfare of the respondentto participate in the hearing; and

(C) permit a witness to attend any partof the hearing.


Section 44.2 Audio recording of psychi-atric commitment proceeding

The court shall make an audio recordingof each hearing relating to commitment fortreatment of psychiatric disability underC.G.S. sections 17a-75 through 17a-83 orsections 17a-495 through 17a-528.


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44.6 Warrant for examination of child atgeneral hospital

44.7 Warrant for court to examine individual16 years or older

44.8 Voluntary admission of person underconservatorship

Section 44.3 Notice and procedures inprobable cause hearing

(a) The court shall give notice of a proba-ble cause hearing under C.G.S. section 17a-78 (d), 17a-502 (d) or 17a-506 (e) to the facil-ity in which the respondent is confined. Thenotice may be given by telephone, electroniccommunication or other reasonable means.

(b) If the respondent wishes to attend theprobable cause hearing, the facility at whichthe respondent is confined shall arrange forthe respondent’s presence at the hearing.

(c) The facility shall have the burden ofproving that there is probable cause to con-tinue the confinement. The facility shall pre-sent medical evidence at the hearingconcerning the condition of the respondentat the time of the admission and at the timeof the hearing, the effects of medication, ifany, and the advisability of continuingtreatment.


Section 44.4 Notice of hearing on psy-chiatric commitment

(a) The court shall give notice of a hearingon the commitment of an individual 16 yearsof age or older under C.G.S. section 17a-498to the respondent by personal service. Thecourt shall give notice of the hearing to thefacility in which the respondent is confinedby certified mail and to other persons as the


court directs under section 44.1 by regularmail or other reasonable means. The courtshall give notice of a review hearing underC.G.S. section 17a-498 (g) or 17a-510 to therespondent and the facility in which therespondent is confined by certified mail andto other persons as the court directs undersection 44.1 by regular mail or other reason-able means.

(b) The court shall give notice of a hearingon the commitment of a child under the ageof 16 under C.G.S. section 17a-77 to therespondent child and to the parents or guard-ians of the respondent child by personal ser-vice. The court shall give notice of the hearingto the facility in which the respondent is con-fined by certified mail and to other personsas the court directs under section 44.1 byregular mail or other reasonable means. Thecourt shall give notice of a review hearingunder C.G.S. section 17a-80 to the respon-dent child, the parents or guardians of therespondent child and the facility in which therespondent child is confined by certified mailand to other persons as the court directsunder section 44.1 by regular mail or otherreasonable means.

(C.G.S. sections 4a-17, 17a-75 and 17a-495; Probate Court Rules, rule 8.)

Section 44.5 Warrant for examination ofindividual 16 years or older at generalhospital

(a) If an individual 16 years of age or olderin a commitment proceeding under C.G.S.section 17a-498 refuses to be examined bythe court-appointed physicians, a party maypetition the court to issue a warrant for apolice officer to apprehend and transport therespondent to a general hospital for examina-tion. The court may issue the warrant withoutnotice and hearing.

(b) If, after examination, the respondent ishospitalized under an emergency certificateunder C.G.S. section 17a-502 (a), the courtshall dismiss the commitment petition.

(c) If, after examination, the respondent isreleased, the examining physicians shallsend their reports to the court, and the courtshall hear and decide the commitmentpetition.


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Section 44.6 Warrant for examination ofchild at general hospital

(a) If a child under the age of 16 in a com-mitment proceeding under C.G.S. section17a-77 refuses to be examined by the court-appointed physicians, a party may petitionthe court to issue a warrant for a police officerto apprehend and transport the respondentchild to a general hospital for examination.The court may issue the warrant withoutnotice and hearing.

(b) If, after examination, the respondentchild is hospitalized under an emergency ordiagnostic certificate under C.G.S. section17a-78 (a), the court shall dismiss the com-mitment petition.

(c) If, after examination, the respondentchild is released, the examining physiciansshall send their reports to the court, and thecourt shall hear and decide the commit-ment petition.

(C.G.S. section 17a-495 (a).)

Section 44.7 Warrant for court to exam-ine individual 16 years or older

(a) On petition of a person alleging thatan individual 16 years of age or older hasa psychiatric disability and is dangerous tohimself or herself or others or gravely disa-bled, the court may issue a warrant underC.G.S. section 17a-503 (b) for a police officerto apprehend and bring the respondentbefore the court to determine whether therespondent should be brought to a generalhospital for examination. The court may issuethe warrant without notice and hearing.

(b) The court may conduct the hearingunder this section at any location suitable tofacilitate participation of the respondent.

(c) If the court orders that the respondentbe taken to a general hospital for examina-tion, the examining physicians shall deter-mine whether to confine the respondentunder an emergency certificate in accord-ance with C.G.S. section 17a-502 (a).


Section 44.8 Voluntary admission ofperson under conservatorship

On receipt of the report of a psychiatristunder C.G.S. section 17a-506 (c), the court


shall determine whether a person under con-servatorship gave informed consent to volun-tary admission to a hospital for psychiatricdisabilities. The court may issue its decision


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without notice and hearing. The court shallsend a copy of the decree to the facility andto each party and attorney of record in theconservatorship proceeding.


Rule 45

Proceedings for Medication andTreatment of Psychiatric Disability

Section Section45.1 Confidentiality of proceeding for shock

therapy or medication to treat psychi-atric disability

45.2 Audio recording of proceeding forshock therapy or medication to treatpsychiatric disability

Section 45.1 Confidentiality of proceed-ing for shock therapy or medication totreat psychiatric disability

The court shall exclude a person who isnot a party or attorney for a party fromattending or participating in a hearing on apetition for medication for treatment of a psy-chiatric disability under C.G.S. section 17a-543 (e), 17a-543 (f), 17a-543 (g) or 17a-543aor a hearing on a petition for shock therapyunder C.G.S. section 17a-543 (c), except thatthe court may:

(1) on request of the patient, permit aperson to participate in the hearing;

(2) after considering any objection of thepatient, permit a relative or friend who is inter-ested in the welfare of the patient to partici-pate in the hearing; and

(3) permit a witness to attend any partof the hearing.

(C.G.S. sections 17a-500 (a) and 17a-540;Probate Court Rules, rules 16 and 63.)

Section 45.2 Audio recording of pro-ceeding for shock therapy or medicationto treat psychiatric disability

The court shall make an audio recordingof each hearing on a petition for medicationfor treatment of a psychiatric disability underC.G.S. sections 17a-543 (e), 17a-543 (f),17a-543 (g) and 17a-543a and each hearingon a petition for shock therapy under C.G.S.section 17a-543 (c).

(C.G.S. section 45a-645a; Probate CourtRules, rule 65.)

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45.3 Where to file petition for medication totreat psychiatric disability

45.4 Notice of hearing on petition for medi-cation to treat psychiatric disability

45.5 Petition for shock therapy

Section 45.3 Where to file petition formedication to treat psychiatric disability

(a) A petition under C.G.S. section 17a-543 (e) alleging that a patient in a facilityis incapable of giving informed consent tomedication for treatment of a psychiatric dis-ability and seeking appointment of a conser-vator for the patient shall be filed in a courthaving jurisdiction of an involuntary conser-vatorship petition for the patient under C.G.S.section 45a-648 (a).

(b) A petition under C.G.S. section 17a-543 (e) alleging that a patient in a facilityis incapable of giving informed consent tomedication for treatment of a psychiatric dis-ability and requesting that a previouslyappointed conservator be authorized to con-sent to medication shall be filed in the court:

(1) having jurisdiction over the conser-vator; or

(2) for the probate district in which thefacility is located.

(c) A petition under C.G.S. section 17a-543 (f) alleging that a patient in a facility iscapable of giving informed consent to medi-cation for treatment of a psychiatric disabilitybut refuses to consent shall be filed in thecourt for the probate district in which the facil-ity is located.

(d) A patient seeking a hearing underC.G.S. section 17a-543 (g) concerning medi-cation for treatment of a psychiatric disabilityshall file the petition in the court for the pro-bate district in which the facility is located.



Section 45.4 Notice of hearing on peti-tion for medication to treat psychiatric dis-ability

The court shall give notice of hearing ona petition for medication for treatment of apsychiatric disability under C.G.S. section17a-543 (e), 17a-543 (f) or 17a-543 (g) to thepatient and the facility in which the patient isbeing treated by certified mail and to otherpersons as the court directs under section45.1 by regular mail or other reasonablemeans, except that, if the petition seeksappointment of a conservator, the court shallgive notice in accordance with C.G.S. section45a-649.

(C.G.S. sections 4a-17 and 17a-540; Pro-bate Court Rules, rule 8.)

HISTORY: Rule 45 adopted effective July 1, 2013. Sections 45.1, 45.2, 45.3, 45.4 and 45.5 amended effective July 1, 2015.Section 45.4 amended effective July 1, 2017.

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Section 45.5 Petition for shock therapy

(a) A petition for shock therapy underC.G.S. section 17a-543 (c) shall be filed inthe court for the probate district in which thepatient is hospitalized.

(b) The court shall give notice of hearingon the petition to the patient by personal ser-vice. The court shall give notice of the hearingto the petitioner and to other persons as thecourt directs under section 45.1 by regularmail or other reasonable means.



Rule 46

Commitment for Treatment of Drug andAlcohol Dependency

Section46.1 Confidentiality of drug and alcohol

dependency commitment proceeding

Section 46.1 Confidentiality of drug andalcohol dependency commitment pro-ceeding

The court shall exclude a person who isnot a party or attorney for a party fromattending or participating in a hearing on apetition for commitment for treatment of drugor alcohol dependency, except that thecourt may:

(1) on request of the respondent, permita person to participate in the hearing;


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(2) after considering any objection of therespondent, permit a relative or friend inter-ested in the welfare of the respondent to par-ticipate in the hearing; and

(3) permit a witness to attend any partof the hearing.

(C.G.S. sections 17a-680, 17a-685 and17a-688 (a); Probate Court Rules, rules 16and 63.)


Rule 47

Change of Name

Section Section47.1 Change of name of adult47.2 Change of name of minor47.3 Single petition for change of name

for family

Section 47.1 Change of name of adult(a) An individual 18 years of age or older

seeking to change his or her name shall filea petition in the court for the probate districtin which the individual resides.

(b) The petition shall be accompanied by:(1) an affidavit on a form published by

the probate court administrator;(2) a certified copy of the petitioner’s

long-form birth certificate, unless the courtaccepts other evidence of the birth name ofthe petitioner; and

(3) other information if required by thecourt.

(c) The court shall send notice of the hear-ing on the petition to the petitioner and thepetitioner’s spouse, except that the court mayexcuse notice to the spouse if notice to thespouse might jeopardize the safety of thepetitioner.

(d) Unless otherwise directed by the court,the petitioner shall appear in court and pre-sent two forms of identification, including atleast one form of photographic identification.The judge or clerk shall administer an oathor affirmation to the petitioner and each otherperson who will testify.

(C.G.S.sections45a-99,46b-63and52-11;Don v. Don, 142 Conn. 309, 114 A.2d 203(1955).)Section 47.2 Change of name of minor

(a) A petition to change the name of aminor may be initiated only by a next friend aspetitioner. A parent or guardian of the minor orother person permitted by the court may actas next friend.

(b) The petitioner shall file the petition inthe court for the probate district in which theminor resides.

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47.4 Criminal background and sex offenderand deadly weapon offender registrychecks; notification to Department ofEmergency Services and Public Pro-tection

(c) The petition shall be accompanied by:(1) an affidavit on a form published by

the probate court administrator;(2) a certified copy of the minor’s long-

form birth certificate, unless the court acceptsother evidence of the birth name of theminor; and

(3) other information if required by thecourt.

(d) The court shall send notice of the hear-ing on the petition to the:

(1) petitioner;(2) parents of the minor, if not the peti-

tioner;(3) guardian of the minor, if not the peti-

tioner; and(4) minor, if 12 years of age or older.

(e) The petitioner shall appear in court.The judge or clerk shall administer an oathor affirmation to the petitioner and each otherperson who will testify.

(C.G.S.sections45a-99,46b-63and52-11;Don v. Don, 142 Conn. 309, 114 A.2d 203(1955); Shockley v. Okeke, 92 Conn. App. 76,882 A.2d 1244 (2005), appeal dismissed, 280Conn. 777, 912 A.2d 991 (2007).)Section 47.3 Single petition for changeof name for family

(a) If petitions for change of name ofspouses, parents or minor children of thesame family living at the same residence arefiled simultaneously, the court may treat thepetitions as a single petition subject to onefiling fee. The court shall issue a separatedecree for each member of the family.



Section 47.4 Criminal background andsex offender and deadly weapon offenderregistry checks; notification to Depart-ment of Emergency Services and PublicProtection

(a) If the court has reason to believe thatan individual seeking to change his or hername has a pending charge, conviction orother criminal record, the court shall obtaina criminal background check of the individual.The court may obtain a criminal backgroundcheck of any individual seeking a changeof name.

(b) If an individual 18 years of age or olderseeks to change his or her name, the court

HISTORY: Rule 47 adopted effective July 1, 2013. Section 47.4 amended effective July 1, 2015. Section 47.3 amendedeffective July 1, 2017.

Rules 48 through 59 are reserved for future use.

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shall search the registries of sexual offendersand of offenders convicted of crimes with adeadly weapon. If the individual is a regis-tered sex offender or registered offender con-victed of a crime with a deadly weapon, thecourt shall proceed in accordance with C.G.S.section 45a-99.

(c) If the court grants a change of nameto a registered sex offender, a registeredoffender convicted of a crime with a deadlyweapon, or any other individual whom thecourt knows to have a criminal record, thecourt shall send a copy of the decree to theDepartment of Emergency Services and Pub-lic Protection and the police department forthe town where the offense occurred.


RULES FOR HEARINGS

PROBATE COURT RULES—RULES FOR HEARINGS Section 60.2

Rule 60Conferences before the Court

Section Section60.1 Status conference

Section 60.1 Status conference(a) On request of a party or on the court’s

own motion, the court may order a statusconference to facilitate the progress of a mat-ter that is not contested.

(b) At the conclusion of a status confer-ence, the court may issue an order to:

(1) establish a deadline for completionof a task;

(2) provide guidance to a fiduciary;(3) memorialize an agreement of the

parties; or(4) address any other topic that facili-

tates the progress of the matter.(c) Except as permitted under section

69.1, the court shall not decide any issue offact or law.Section 60.2 Hearing management con-ference

(a) On request of a party or on the court’sown motion, the court may, at any time, ordera hearing management conference toaddress any of the following:

(1) identification of factual and legalissues;

(2) whether the court will authorize dis-covery under section 61.1;

(3) access to medical records;(4) deadlines for depositions and other

discovery, disclosures and motions;(5) referral for mediation under rule 21

or other alternative dispute resolution;


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60.2 Hearing management conference

(6) referral to a probate magistrate orattorney probate referee under rule 14;

(7) distribution of filings to parties andattorneys of record;

(8) disclosure of witnesses, includingexperts;

(9) issuance of subpoenas to compeltestimony;

(10) briefs;(11) stipulation of facts;(12) exchange and marking of exhibits;(13) admissibility of sworn statements

or depositions;(14) appointment of a stenographer to

make a record of the hearing under C.G.S.sections 51-72 and 51-73;

(15) anticipated duration of testimonyand argument;

(16) hearing schedule; and(17) any other topic related to manage-

ment of the hearing.(b) At the conclusion of a hearing manage-

ment conference, the court may issue anorder concerning any of the topics under sub-section (a).

(c) On request of a party or on the court’sown motion, the court may modify an orderissued under this section.

(C.G.S. sections 45a-98b, 45a-123, 45a-129, 52-143, 52-144 and 52-148a through 52-159; Probate Court Regulations, section 22.)

PROBATE COURT RULES—RULES FOR HEARINGSSection 61.1

Rule 61

Discovery

Section Section61.1 When permission of court is required61.2 When interrogatories, request for pro-

duction and request for admission per-mitted

61.3 Taking deposition61.4 Interrogatories61.5 Request for production, inspection

Section 61.1 When permission of courtis required

(a) Except as provided in subsection (b),a party shall obtain permission from the courtbefore seeking discovery of information fromanother party by the following methods:

(1) interrogatories under section 61.4;(2) request for production, inspection

and examination under section 61.5; and(3) request for admission under sec-

tion 61.6.(b) Without obtaining permission of the

court, a party may take the testimony of anyperson by deposition and may request theperson to produce documents and tangiblethings at the deposition in accordance withsection 61.3.

(C.G.S. sections 52-148a through 52-159;Probate Court Rules, section 60.2.)

Section 61.2 When interrogatories,request for production and request foradmission permitted

(a) A party may request permission to con-duct discovery using a method under 61.1(a)by submitting a summary describing the infor-mation sought. Unless otherwise directed bythe court, the requesting party shall not fileindividual discovery documents. The courtmay hear a request for discovery at a hearingmanagement conference.

(b) The court may grant a request for dis-covery under subsection (a), in whole or inpart, if it finds that the requested discoveryappears reasonably calculated to lead to

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and examination61.6 Request for admission61.7 Answer to discovery request61.8 Continuing duty to disclose61.9 Objection to discovery request61.10 Order for compliance61.11 Summons to testify61.12 Order to obtain medical records

admissible evidence and would not be undulyburdensome or expensive.


Section 61.3 Taking deposition(a) A party may take the testimony of any

person by deposition in accordance withC.G.S. sections 52-148a through 52-159.

(b) A party may compel another party totestify at a deposition by giving notice of thedeposition in accordance with C.G.S. section52-148b. The notice may include a requestfor the other party to produce documents andtangible things at the deposition.

(c) An attorney for a party may compel anyperson to testify at a deposition by issuing asubpoena under C.G.S. section 52-148e. Thesubpoena may include a request for the per-son to produce documents and tangiblethings at the deposition.

(d) On motion of a self-represented party,the court may compel any person to testifyat a deposition by issuing a subpoena. Thecost of serving the subpoena shall be paidby the party requesting it.

(e) A party or attorney for the party shallsend notice of a deposition to each party andattorney of record.

(f) A person whose deposition is soughtunder subsection (b), (c) or (d) may move toquash or modify the notice or subpoena.

(g) C.G.S. section 52-148e and section13-30 of the Connecticut Practice Book shallgovern the conduct of a deposition under this


rule and the procedure for resolution of a dis-pute related to the deposition.

(h) A party or attorney for the party mayuse a deposition in a proceeding in the man-ner provided under section 13-31 of the Con-necticut Practice Book.

(Probate Court Rules, sections 60.2 and71.2.)

Section 61.4 Interrogatories(a) With permission of the court under sec-

tion 61.2 and within the scope of the court’sorder, a party may issue written interrogato-ries to another party.

(b) Unless otherwise permitted by thecourt, a party may not issue more than 25interrogatories, including each discrete sub-part. The court may hear a request to issueadditional interrogatories at a case manage-ment conference.

(c) Answers to interrogatories may beused in a proceeding to the extent permittedby the rules of evidence.


Section 61.5 Request for production,inspection and examination

With permission of the court under section61.2 and within the scope of the court’s order,a party may make a written request to anotherparty to:

(1) inspect, copy, photograph or other-wise reproduce documents, including, but notlimited to, writings, drawings, graphs, charts,electronic communications and photographs;

(2) inspect and copy or test a tangiblething in the possession, custody or control ofthe party to whom the request is made; and

(3) permit entry on property for the pur-pose of inspecting, measuring, surveying,photographing or testing the property.


Section 61.6 Request for admission(a) With permission of the court under sec-

tion 61.2 and within the scope of the court’sorder, a party may issue to another party awritten request for the admission of the truthof a matter. The request shall relate to a state-ment of fact, opinion or the application of lawto fact. If the request relates to a document,the requesting party shall provide a copy ofthe document unless it is otherwise availableto the other party.

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(b) Except as provided in subsections (c)and (d), an admission under this section con-clusively establishes the matter admitted.

(c) On motion of a party who made anadmission, the court may permit the admittingparty to withdraw or amend the admission if:

(1) the withdrawal or amendment willfacilitate the presentation of the merits of thematter; and

(2) the party who requested the admis-sion fails to establish that the withdrawal oramendment will cause prejudice.

(d) An admission of a party under this sec-tion does not waive the right of the party toobject to the admission on the grounds ofcompetency or relevancy.

(e) An admission of a party under this sec-tion may be used only in the pending pro-ceeding.


Section 61.7 Answer to discoveryrequest

(a) Unless otherwise directed by the court,a person responding to a discovery requestshall not file the response with the court.

(b) The party to whom a request for discov-ery under section 61.1 (a) is made shallrespond in writing and under oath. The partyshall respond not later than 30 days afterissuance of the request unless:

(1) on motion by the party, the courtdirects a shorter or longer time; or

(2) the party files an objection in accord-ance with section 61.9.

(c) If a party files an objection under sec-tion 61.9, the party shall respond to the part ofthe request to which an objection is not made.

Section 61.8 Continuing duty todisclose

Until a matter is concluded, a party to whoma discovery request is made under this ruleshall have a continuing duty to disclose:

(1) new or additional information withinthe scope of the request; and

(2) that information previously disclosedis not true or is no longer true.


Section 61.9 Objection to discoveryrequest

(a) A party who objects to a request fordiscovery under section 61.1 (a) shall file awritten objection setting forth the grounds forthe objection and the proposed remedy anddescribing the efforts made to resolve thedifferences between the parties concerningthe discovery request.

(b) The party shall file the objection notlater than 30 days after issuance of the dis-covery request.

(c) The party shall send a copy of theobjection to each party and attorney of recordand certify to the court that the copy hasbeen sent.

(d) The court may issue an order undersubsection (e) if it finds that the requested dis-covery:

(1) seeks information that is privilegedor otherwise protected by law from discovery;

(2) does not appear to be reasonablycalculated to lead to admissible evidence;

(3) would be unduly burdensome orexpensive; or

(4) will cause annoyance, embar-rassment or oppression.

(e) If the court finds one or more of thegrounds under subsection (d), the court mayorder such relief as justice requires, includingthat the requested discovery be:

(1) limited or denied;(2) conducted on specified terms and

conditions; or(3) conducted by an alternative method.

(f) If the court overrules the objection tothe discovery request, the party shall respondto the request not later than 20 days after thecourt’s ruling is mailed. On request of a party,the court may extend the response period.Section 61.10 Order for compliance

(a) If a person fails to comply with arequest for discovery, the requesting party


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may file a motion seeking an order for compli-ance. The motion shall set forth the discoveryrequest that is the subject of the motion andthe reason why the response, if any, failsto comply.

(b) If the court finds that the person hasfailed to comply with the request for discoveryand that the discovery is permitted under sec-tions 61.3 through 61.6, the court may:

(1) award the discovering party theexpenses of the motion under C.G.S. section45a-109 and a reasonable attorney’s fee;

(2) order that the subject matter of thediscovery request is established for the pur-poses of the proceeding;

(3) prohibit a party who failed to complyfrom introducing designated matters in evi-dence; and

(4) make any other order that justicerequires.

(c) Unless a timely written objection hasbeen filed under section 61.9, the court maynot excuse a failure to comply with a discov-ery request on the ground that the court wouldhave granted relief under section 61.9 (e).

(C.G.S. section 52-148e.)

Section 61.11 Summons to testify(a) An attorney for a party may issue a

subpoena under C.G.S. section 52-143 tosummon a person to testify before the court.

(b) On motion of a self-represented party,the court may issue a subpoena under C.G.S.sections 45a-129 and 52-143 to summon aperson to testify before the court. The costof serving the subpoena shall be paid by theparty requesting it.


Section 61.12 Order to obtain medicalrecords

See C.G.S. section 45a-98b.(C.G.S. section 4-104.)


Rule 62

EvidenceSection62.1 Rules of evidence

Section 62.1 Rules of evidenceThe rules of evidence apply in all hearings

in which facts are in dispute. The court mayapply the rules of evidence liberally if strict


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adherence will cause injustice, provided theapplication is consistent with law and the dueprocess rights of the parties are protected.

(See Connecticut Code of Evidence.)


Rule 63

Witnesses

Section Section63.1 Administration of oath

Section 63.1 Administration of oath

The judge or clerk shall administer an oathor affirmation to each person who will testifyat a hearing in which facts are in dispute.



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63.2 When sequestration of witness per-mitted

Section 63.2 When sequestration of wit-ness permitted

On motion of a party or on the court’s ownmotion, the court may order a witness, otherthan a party, to be sequestered so that thewitness is not able to hear the testimony ofother witnesses.


Rule 64

Exhibits

Section Section64.1 Exhibits to be marked64.2 Retention of exhibits

Section 64.1 Exhibits to be markedThe court shall mark each exhibit not

marked in advance of a hearing. The markingshall identify the exhibit and the party offeringit. The court shall keep a list of exhibitsmarked for identification or admitted into evi-dence. The list shall be part of the record.

Section 64.2 Retention of exhibitsExcept as provided in section 64.3, the

court shall retain each exhibit that is offeredor admitted into evidence until the decisionis issued and the conclusion of any appeal.

Section 64.3 Exhibits in matterappealed to Superior Court

(a) If an appeal will be heard de novo, theProbate Court, on request, shall return each


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64.3 Exhibits in matter appealed to Supe-rior Court

64.4 Disposition of exhibits

exhibit to the attorney or self-representedparty who offered it.

(b) If an appeal will be heard on the record,the Probate Court shall transmit each exhibitto the Superior Court in accordance withC.G.S. section 45a-186a.

(C.G.S. section 45a-186 (a).)

Section 64.4 Disposition of exhibitsExcept as required under sections 64.2 and

64.3 or otherwise directed by the court, thecourt shall, on request, return each exhibit tothe attorney or self-represented party whooffered it. If no request is received within fourmonths after the decision is issued and theconclusion of any appeal, the court maydestroy an exhibit without notice.


Rule 65

Audio and Stenographic Recording of Hearings

Section Section65.1 Making and maintaining audio

recordings65.2 Transcript of recorded hearing65.3 Official stenographic record on

agreement of parties

Section 65.1 Making and maintainingaudio recordings

(a) The court shall make an audiorecording of a hearing if:

(1) required by statute or these rules; or(2) a party or attorney for a party files a

written request under C.G.S. section 45a-136.

(b) The court may make an audiorecording of a hearing even if not requiredunder subsection (a).

(c) Except in a confidential matter or mat-ter in which the court closes any part of thehearing to the public under rule 16, the courtshall provide a copy of an audio recordingof a hearing to any person on request andpayment of the statutory fee.

(d) The court shall provide a copy of anaudio recording in a confidential hearing to aparty on request and payment of the statu-tory fee.

(e) The court shall maintain an audiorecording of a hearing made under subsec-tion (a) for one year or a longer period ifrequired by Probate Court Regulation ordirected by the court. The court may maintainan audio recording made under subsection(b) for such period as it directs.

(C.G.S. sections 45a-109, 45a-645a, 17a-498 (c) and 17a-685 (c); Probate Court Rules,sections 33.3 (b), 40.4 (b), 44.2, 45.2 and71.4; Probate Court Regulations, section 27.)Section 65.2 Transcript of recordedhearing

(a) Except as provided in subsections (b)and (c), the court need not cause an audiorecording of a hearing to be transcribed.

(b) If a party appeals a decision after ahearing on the record under C.G.S. section

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65.4 Stenographic record withoutagreement of parties

65.5 Prohibition on recording hearing byother means

45a-186 (a), the court shall cause a transcriptto be made of any part of the hearing thathas not been transcribed in accordance withC.G.S. section 45a-186a.

(c) If a person who is not a party requestsan audio recording of a hearing that was, inpart, closed to the public under rule 16, thecourt shall provide the nonparty with a tran-script from which the part of the hearing thatwas closed to the public has been redacted.The cost of the transcript shall be paid by theperson requesting it.

Section 65.3 Official stenographicrecord on agreement of parties

(a) If each party agrees in writing, the courtmay arrange for a stenographer to make astenographic record of a hearing.

(b) A transcript of a hearing made underthis section is part of the official record of theproceeding. An appeal taken from a decisionin the matter shall be on the record and shallnot be a trial de novo.

(c) The parties shall provide a transcript ofthe hearing to the court without cost.

(C.G.S. sections 45a-186 (a), 45a-186a,51-72 and 51-73.)

Section 65.4 Stenographic record with-out agreement of parties

(a) Absent an agreement of the partiesunder section 65.3, a party may engage astenographer, at the expense of the party, tomake a stenographic record of a hearing.

(b) A transcript of a hearing made underthis section is not part of the official recordof the proceeding. The existence of the tran-script shall have no effect on the nature ofan appeal taken from a decision in the matter.


(c) The party who engages the stenogra-pher shall provide a transcript of the hear-ing to:

(1) the court without cost; and(2) any other party on request and pay-

ment of the cost by the requesting party.(C.G.S. section 45a-186 (a).)


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Section 65.5 Prohibition on recordinghearing by other means

Except as authorized under section 65.3or 65.4 or rule 72, no person may make anaudio or video recording of a hearing or trans-mit or broadcast a hearing by any means.


Rule 66

Participation in Hearing by Electronic Means

Section66.1 When participation by electronic

means permitted

Section 66.1 When participation byelectronic means permitted

(a) On request of a party or witness, thecourt may allow a party or witness to partici-pate in a hearing, conference or depositionby telephonic or other electronic means.

(b) In determining whether to allow partici-pation by electronic means, the court shallconsider:

(1) the nature of the rights at issue;(2) whether surprise or prejudice would

result from electronic participation or from theinability to participate by electronic means;


98

(3) whether a party is unable to securethe presence of the witness in person;

(4) the cost of attending the hearing inperson;

(5) whether participation by electronicmeans will allow full and effective examina-tion and cross-examination;

(6) the importance of the testimony;(7) whether the subject matter of the tes-

timony is disputed;(8) the convenience of the parties and

witnesses, including representatives of stateagencies; and

(9) other relevant factors.


Rule 67

Interpreters

Section Section67.1 Party or witness with hearing

impairment67.2 Interpreter permitted for language

translation

Section 67.1 Party or witness with hear-ing impairment

When necessary to permit a party or wit-ness with hearing impairment to participatein a hearing or conference, the court shallprovide an interpreter in accordance withC.G.S. section 46a-33a.

Section 67.2 Interpreter permitted forlanguage translation

(a) The court may allow a person to serveas interpreter for a party or witness who isunable to speak or understand English.

(b) In determining whether to allow the pro-posed interpreter to assist the party or wit-ness, the court shall consider:


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67.3 Interpreter to act under oath

(1) whether the interpreter is impartial;(2) the competence of the interpreter to

provide accurate and reliable interpretationservice;

(3) the proposed compensation, if any,of the interpreter; and

(4) other relevant factors.Section 67.3 Interpreter to act underoath

(a) The court shall administer to an inter-preter the oath ‘‘for an interpreter in court’’provided in C.G.S. section 1-25.

(b) Notwithstanding subsection (a),administration of an oath is not required if theinterpreter is a member of court staff or acommercial interpreting service.


Rule 68

Ex Parte Communication

Section68.1 Ex parte communication prohibited

Section 68.1 Ex parte communicationprohibited

(a) Except as otherwise permitted by law,no person, party or attorney for a party shallinitiate any written or oral communication witha judge outside a noticed hearing regardinga matter that is pending or impending in thecourt. This section does not apply to a written:


100

(1) petition, motion or objection to a peti-tion or motion;

(2) brief or memorandum of law; or(3) filing or report required by law or

the court.(b) A party or attorney for a party shall

direct communications regarding schedulingand other administrative matters to the clerk.

(Code of Probate Judicial Conduct, rule2.9; Probate Court Rules, section 13.7.)


Rule 69

Orders without Notice and HearingSection69.1 When order without notice and hear-

ing permitted

Section 69.1 When order without noticeand hearing permitted

(a) The court may issue an order withoutnotice and hearing if:

(1) the governing statute specificallyauthorizes the issuance of orders withoutnotice and hearing;

(2) no governing statute requires notice


101

and hearing, and the applicable rule autho-rizes issuance of orders without notice andhearing; or

(3) each party has filed a written waiverof notice.

(b) The court may require notice and hear-ing before issuing an order even if subsection(a) permits the court to issue the order with-out notice and hearing.


Rule 70

Alternative RemediesSection70.1 Alternative remedies

Section 70.1 Alternative remediesWhen deciding a petition, the court may

order an alternative remedy that is similar to,or less intrusive than, the remedy requestedin the petition without giving notice of anotherhearing if the court finds that:

(1) the alternative remedy could havebeen requested in the underlying petition or ina petition concerning substantially the sameissues that involves no additional parties; and


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(2) either:(A) notice of the hearing indicated the

possibility of an alternative remedy; or(B) no party who is absent from the

hearing would be prejudiced by the lack ofnotice of the possibility of an alternative rem-edy and each party present at the hearinghas been provided a meaningful opportunityto present evidence and argument concern-ing the alternative remedy.


Rule 71

Enforcement

Section Section71.1 Failure of fiduciary to perform duties71.2 Capias to compel attendance71.3 Types of contempt71.4 Audio recording of contempt hearing

Section 71.1 Failure of fiduciary to per-form duties

A fiduciary who fails to perform his or herduties or comply with an order of the courtshall be subject to removal, disallowance offees, surcharge, contempt of court and othersanctions permitted by law. In addition, a fidu-ciary who is an attorney who fails to performduties as a fiduciary or comply with an orderof the court shall be subject to sanction underC.G.S. section 51-84.


Section 71.2 Capias to compelattendance

On motion of a party or on the court’s ownmotion, the court may issue a capias to autho-rize a proper officer to arrest and bring beforethe court an individual who has failed to com-ply with a subpoena.

(C.G.S. sections 45a-129, 52-143, 52-144and 52-148e; Probate Court Rules, section61.11.)

Section 71.3 Types of contemptAn individual misbehaving or disobeying

an order of a judge during a hearing or confer-ence may be found to be in summary criminalcontempt under section 71.5 or civil contemptunder section 71.7 or may be referred forprosecution for nonsummary criminal con-tempt under section 71.6.

(C.G.S. sections 51-33 and 51-33a, Mid-dlebrook v. State, 43 Conn. 257 (1876); Pro-bate Court Rules, section 16.11.)

Section 71.4 Audio recording of con-tempt hearing

The court shall make an audio recordingof a contempt hearing.


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71.5 Summary criminal contempt71.6 Nonsummary criminal contempt71.7 Civil contempt

Section 71.5 Summary criminalcontempt

(a) Summary criminal contempt is misbe-havior in the presence of the court that isdirected against the dignity and authority ofthe court and obstructs the orderly adminis-tration of justice.

(b) The court shall adjudicate summarycriminal contempt at the time of the act, pro-vided that the court may recess before con-ducting the contempt hearing. The court shallinform the defendant of the contempt chargesand afford the defendant the opportunity topresent evidence and argument as to whythe defendant should not be found guilty ofcontempt.

(c) If the court finds by clear and convinc-ing evidence that the defendant is guilty ofsummary criminal contempt, the court shallimmediately impose a sentence of not morethan $100 for each act of contempt.


Section 71.6 Nonsummary criminalcontempt

(a) Nonsummary criminal contempt is mis-behavior that is directed against the dignityand authority of the court when:

(1) the misbehavior does not obstructthe orderly administration of justice;

(2) the court has become personallyembroiled;

(3) the misconduct did not occur in thepresence of the court; or

(4) the court does not immediatelyimpose summary criminal contempt.

(b) The court shall refer a matter involvingnonsummary criminal contempt to the state’sattorney for prosecution in the Superior Court


in the manner provided in Connecticut Prac-tice Book section 1-18.

(C.G.S. section 51-33a.)Section 71.7 Civil contempt

(a) Civil contempt is a remedy for violationof a court order.

(b) A party seeking an order of civil con-tempt shall file a motion identifying the orderthat has been violated, stating the reasonswhy the court should order sanctions anddescribing the efforts made to secure compli-ance with the order. The court may initiate acivil contempt proceeding on its own motion.

(c) The party seeking an order of civil con-tempt shall send a copy of the motion to each


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party and attorney of record and certify to thecourt that the copy has been sent.

(d) If the court finds by clear and convinc-ing evidence that the person who is the sub-ject of the motion violated a clear andunambiguous court order of which the personhad actual knowledge, the court may imposesanctions to ensure compliance with theorder and compensate another party for loss.The sanctions shall be coercive and nonpuni-tive and may include fines.

(e) If violation of an order renders the orderunenforceable, the court may refer the matterfor nonsummary criminal contempt undersection 71.6.


Rule 72

News Media Coverage

Section Section72.1 News media coverage permitted72.2 News media coverage not permitted72.3 Conference to establish conditions of

news media coverage72.4 Objection to news media coverage

Section 72.1 News media coverage per-mitted

Except as provided in sections 72.2through 72.4, the court shall permit newsmedia coverage.

(Probate Court Rules, section 65.5.)Section 72.2 News media coverage notpermitted

(a) Except as provided in subsection (b),news media coverage is not permitted in thefollowing matters:

(1) involuntary placement of a personwith intellectual disability;

(2) commitment for treatment of psychi-atric disability;

(3) administration of shock therapy;(4) medication for treatment of psychiat-

ric disability;(5) appointment of a special limited con-

servator;(6) commitment for treatment of drug

and alcohol dependency;(7) commitment for treatment of tuber-

culosis;(8) appointment of a guardian of an adult

with intellectual disability;(9) sterilization;(10) removal of parent as guardian;(11) temporary guardianship;(12) termination of parental rights;(13) appointment of a statutory parent;(14) adoption;(15) emancipation of a minor;(16) a hearing or conference or part of

a hearing or conference that is closed underrule 16;

(17) a request under C.G.S. section45a-100 for relief from federal firearms dis-ability;

105

72.5 Recording and photographicequipment

72.6 Pooling arrangement for news media72.7 Public comment by attorney

(18) a mediation session; and(19) any other hearing or conference

that is confidential under statute.(b) The court may allow news media cov-

erage of a hearing or conference in a matterlisted in subsection (a) if all parties consent.

(c) News media shall not operate any typeof recording or photographic equipment in thecourt during a recess.

(d) News media coverage of any commu-nication between an attorney and the attor-ney’s client is prohibited.

(e) News media coverage is prohibited inareas immediately adjacent to the courtroomduring a hearing or conference or during arecess.

(C.G.S. sections 17a-274 (b), 17a-500,17a-688 (a), 19a-265 (o), 45a-670, 45a-692and 45a-754 (a), Probate Court Rules, rule16 and section 21.7.)

Section 72.3 Conference to establishconditions of news media coverage

On request of a party or member of thenews media or on the court’s own motion, thecourt may conduct a conference concerningnews media coverage of a hearing. At theconclusion of the conference, the court mayissue an order establishing the conditions ofnews media coverage. The court shall notlimit or prohibit news media coverage unlessthe requirements of section 72.4 have beenmet.

Section 72.4 Objection to news mediacoverage

(a) A party who seeks to limit or prohibitnews media coverage of a hearing shall file


a written objection alleging the reasons forthe objection. The court may initiate a pro-ceeding to limit or prohibit news media cover-age on its own motion.

(b) The court shall give notice of the hear-ing to each party and attorney of record andto each person whose rights are at issue,including a member of the news media thathas indicated interest in covering the hearing.

(c) Any person whom the court determineshas an interest in the proceeding may presentevidence and argument as to whether newsmedia coverage should be limited or pro-hibited.

(d) The court may limit or prohibit newsmedia coverage if it finds that:

(1) there is a compelling reason for thelimitation or prohibition, in that news mediacoverage would undermine the legal rights ofa party or compromise significant safety orprivacy interests of a person;

(2) there are no reasonable alternativesto limitation or prohibition; and

(3) the limitation or prohibition is nobroader than necessary to protect the rightsor interests at issue.

(e) When deciding whether to limit or pro-hibit news media coverage, the court shallgive great weight to an objection that seeksto protect the identity of a:

(1) crime victim;(2) police informant;(3) undercover agent;(4) relocated witness; or(5) minor.

(f) If the court issues an order limiting orprohibiting news media coverage, the courtshall specify:

HISTORY: Rule 72 adopted effective July 1, 2013. Section 72.2 amended effective July 1, 2015. Section 72.2 amendedeffective July 1, 2017.

106

(1) the compelling reason on which theorder is based;

(2) the alternatives to limitation or prohi-bition that the court considered and the rea-sons why the alternatives were unavailableor inadequate;

(3) the basis for the determination thatthe order is no broader than necessary toprotect the rights or interests at issue; and

(4) the scope and duration of the order.

Section 72.5 Recording and photo-graphic equipment

News media shall not use recording andphotographic equipment that produces dis-tracting sound or light. No equipment shallbe placed in, or removed from, a courtroomduring a hearing or conference. Equipmentshall be operated in a manner that is not dis-ruptive to the hearing or conference.

Section 72.6 Pooling arrangement fornews media

The court may require a pooling arrange-ment for news media coverage in the mannerprovided in Connecticut Practice Book sec-tion 1-11B.

Section 72.7 Public comment byattorney

Rule 3.6 of the Rules of Professional Con-duct shall govern public comment by an attor-ney about a pending or impending matter.

REFERENCES

CONNECTICUT GENERAL STATUTES

TABLE OF CHANGES


References to Connecticut General StatutesContained in Probate Court Rules of Procedure

This table lists all references to statutes contained in the Probate Court Rules andannotations.

C.G.S. section Probate Court Rules section1-25 . . . . . . . . . . . . . . . . . . . . 63.11-266 through 1-286. . . . . . . . . . . . 3.63-125 . . . . . . . . . . . . . . . . . . . . 8.24-104 . . . . . . . . . . . . . . . . . . 61.124a-16 . . . . . . . . . . . . . . . . . . 30.134a-17 . . . . . . . . . . . . . . . . . . . 44.4

45.412-15 . . . . . . . . . . . . . . . . . . . 16.2

31.812-391 . . . . . . . . . . . . . . . . . . 11.1

31.331.531.6

12-392 . . . . . . . . . . . . . . . . . . 31.131.5

12-395. . . . . . . . . . . . . . . . . . . 31.612-398. . . . . . . . . . . . . . . . . . . 16.2

31.431.8

17a-75 . . . . . . . . . . . . . . . . . . 44.144.244.4

17a-75 through 17a-83 . . . . . . . . . 44.144.2

17a-76 . . . . . . . . . . . . . . . . . . 12.217a-77 . . . . . . . . . . . . . . . . . . 13.1

44.144.244.444.6

17a-78 . . . . . . . . . . . . . . . . . . 44.144.244.344.6

17a-80 . . . . . . . . . . . . . . . . . . 44.144.4

17a-81 . . . . . . . . . . . . . . . . . . 44.117a-82 . . . . . . . . . . . . . . . . . . 44.117a-83 . . . . . . . . . . . . . . . . . . 44.117a-101g . . . . . . . . . . . . . . . . . 42.417a-175 . . . . . . . . . . . . . . . . . 40.1117a-274 . . . . . . . . . . . . . . . . . . 12.2

16.272.2

17a-495 . . . . . . . . . . . . . . . . . . 44.144.344.444.544.644.7

17a-495 – 17a-528 . . . . . . . . . . . 44.144.2

17a-498 . . . . . . . . . . . . . . . . . . 12.244.1

107

C.G.S. section Probate Court Rules section17a-498 (Cont)

44.244.444.565.1

17a-500 . . . . . . . . . . . . . . . . . . 16.244.145.172.2

17a-502 . . . . . . . . . . . . . . . . . . 44.144.244.344.544.7

17a-503 . . . . . . . . . . . . . . . . . . 44.144.7

17a-506 . . . . . . . . . . . . . . . . . . 44.144.244.344.8

17a-510 . . . . . . . . . . . . . . . . . . 44.417a-540 . . . . . . . . . . . . . . . . . . 45.1

45.345.445.5

17a-543 . . . . . . . . . . . . . . . . . . 13.213.313.445.145.245.345.445.5

17a-543a . . . . . . . . . . . . . . . . . 12.213.313.445.145.2

17a-680 . . . . . . . . . . . . . . . . . . 46.117a-685 . . . . . . . . . . . . . . . . . . 12.2

46.165.1

17a-688 . . . . . . . . . . . . . . . . . . 16.246.172.2

17b-95 . . . . . . . . . . . . . . . . . . 39.139.2

19a-131b . . . . . . . . . . . . . . . . . 12.219a-221 . . . . . . . . . . . . . . . . . . 12.219a-265 . . . . . . . . . . . . . . . . . . 12.2

16.272.2

19a-301 . . . . . . . . . . . . . . . . . . 36.136a-250 . . . . . . . . . . . . . . . . . . 35.145a-8a . . . . . . . . . . . . . . . . . . 41.145a-8d . . . . . . . . . . . . . . . . . . 41.2

41.3


C.G.S. section Probate Court Rules section45a-11 . . . . . . . . . . . . . . . . . . . 3.145a-22 . . . . . . . . . . . . . . . . . . 15.2

15.645a-24 . . . . . . . . . . . . . . . . . . . 3.345a-63 . . . . . . . . . . . . . . . . . . 15.545a-78 . . . . . . . . . . . . . . . . . . . 2.245a-98 . . . . . . . . . . . . . . . . . 30.21

30.2532.933.9

33.2034.13

45a-98b . . . . . . . . . . . . . . . . . . 60.261.12

45a-99 . . . . . . . . . . . . . . . . . . 47.147.247.4

45a-100 . . . . . . . . . . . . . . . . . . 72.216.2

45a-105 through 45a-112 . . . . . . . . . 6.132.8

33.1934.12

45a-106a . . . . . . . . . . . . . . . . . 10.221.1

45a-107 . . . . . . . . . . . . . . . . . . 10.231.631.9

45a-109 . . . . . . . . . . . . . . . . . . . 6.361.1065.1

45a-111 . . . . . . . . . . . . . . . . . . . 6.16.2

14.632.8

33.1934.12

45a-120 . . . . . . . . . . . . . . . . . . 15.745a-123 . . . . . . . . . . . . . . . . . . 14.1

14.314.414.514.614.715.160.2

45a-123a . . . . . . . . . . . . . . . . . 14.115.1

45a-124 through 45a-126 . . . . . . . . . 8.645a-124 . . . . . . . . . . . . . . . . . . . 8.145a-125 . . . . . . . . . . . . . . . . . . . 8.545a-126 . . . . . . . . . . . . . . . . . . . 1.1

8.545a-127 . . . . . . . . . . . . . . . . . . . 4.1

8.18.2

30.1045a-128 . . . . . . . . . . . . . . . . . . . 8.845a-129 . . . . . . . . . . . . . . . . . . 60.2

108

C.G.S. section Probate Court Rules section45a-129 (Cont)

61.1171.2

45a-132 . . . . . . . . . . . . . . . . . . 13.213.313.413.540.2

45a-136 . . . . . . . . . . . . . . . . . . 65.145a-139 . . . . . . . . . . . . . . . . . . . 1.1

35.135.235.335.435.535.635.735.835.9

35.1045a-143 . . . . . . . . . . . . . . . . . . 36.145a-144 . . . . . . . . . . . . . . . . . . 35.1

35.1245a-151 . . . . . . . . . . . . . . . . . . 18.1

18.230.1432.232.5

33.1134.535.6

45a-163 . . . . . . . . . . . . . . . . . . 13.130.935.1

45a-164 through 45a-168 . . . . . . . 30.1533.1234.6

45a-164 . . . . . . . . . . . . . . . . . . 13.130.935.1

45a-165 . . . . . . . . . . . . . . . . . . 35.145a-167 . . . . . . . . . . . . . . . . . . 35.145a-169 . . . . . . . . . . . . . . . . . . 35.145a-175 . . . . . . . . . . . . . . . . . . 32.4

33.836.5

45a-175 through 45a-180 . . . . . . . . 36.145a-176 . . . . . . . . . . . . . . . . . . 37.1

38.238.3

45a-177 . . . . . . . . . . . . . . . . . . 32.532.7

33.1434.837.2

45a-180 . . . . . . . . . . . . . . . . . 30.1932.5

33.1434.8


C.G.S. section Probate Court Rules section45a-186 . . . . . . . . . . . . . . . . . . . 3.1

13.814.264.365.265.365.4

45a-186a . . . . . . . . . . . . . . . . . 64.365.265.3

45a-187 . . . . . . . . . . . . . . . . . . . 8.813.8

45a-188 . . . . . . . . . . . . . . . . . . 30.830.9

45a-206 . . . . . . . . . . . . . . . . . . 35.111.1

45a-242 . . . . . . . . . . . . . . . . . . 35.136.171.1

45a-245 . . . . . . . . . . . . . . . . . 35.1145a-273 . . . . . . . . . . . . . . . . . 30.13

30.2345a-282 . . . . . . . . . . . . . . . . . . 30.745a-283 . . . . . . . . . . . . . . . . . . 30.745a-286 . . . . . . . . . . . . . . . . . . 30.3

30.645a-289 . . . . . . . . . . . . . . . . . . 35.1

35.645a-290 . . . . . . . . . . . . . . . . . . 35.145a-293 . . . . . . . . . . . . . . . . . 30.1045a-303 . . . . . . . . . . . . . . . . . . 30.5

30.335.1

45a-316 . . . . . . . . . . . . . . . . . . 30.435.1

45a-317 . . . . . . . . . . . . . . . . . . 30.430.1530.2236.1

45a-317a . . . . . . . . . . . . . . . . . 35.145a-324 through 45a-327 . . . . . . . 30.1545a-326 . . . . . . . . . . . . . . . . . . 35.145a-329 . . . . . . . . . . . . . . . . . . 30.245a-331 . . . . . . . . . . . . . . . . . 30.24

35.1145a-341 . . . . . . . . . . . . . . . . . 30.12

30.1545a-427 . . . . . . . . . . . . . . . . . 30.1545a-428 . . . . . . . . . . . . . . . . . 30.1545a-430 . . . . . . . . . . . . . . . . . . 35.145a-433 . . . . . . . . . . . . . . . . . 30.1745a-434 . . . . . . . . . . . . . . . . . 30.1745a-436 . . . . . . . . . . . . . . . . . . 38.145a-447 . . . . . . . . . . . . . . . . . 30.2645a-451 . . . . . . . . . . . . . . . . . . 35.145a-473 . . . . . . . . . . . . . . . . . . 35.145a-474 . . . . . . . . . . . . . . . . . . 35.145a-477 . . . . . . . . . . . . . . . . . . 35.145a-478 . . . . . . . . . . . . . . . . . . 32.5

35.145a-482 . . . . . . . . . . . . . . . . . 30.1845a-483 . . . . . . . . . . . . . . . . . . 35.145a-484 . . . . . . . . . . . . . . . . . . 32.4

109

C.G.S. section Probate Court Rules section45a-487a through 45a-487d . . . . . . . 4.245a-487d . . . . . . . . . . . . . . . . . 32.345a-489a . . . . . . . . . . . . . . . . . 36.145a-517 . . . . . . . . . . . . . . . . . . 36.145a-520 . . . . . . . . . . . . . . . . . . 32.445a-542 through 45a-542ff . . . . . . . 38.345a-558b . . . . . . . . . . . . . . . . 30.1645a-559c . . . . . . . . . . . . . . . . . 35.145a-559d . . . . . . . . . . . . . . . . . 36.145a-594 . . . . . . . . . . . . . . . . . . 39.1

39.245a-597 . . . . . . . . . . . . . . . . . 33.14

34.837.338.238.3

45a-598 . . . . . . . . . . . . . . . . . . . 8.645a-599 . . . . . . . . . . . . . . . . . . . 8.6

18.145a-603 through 45a-622 . . . . . . . . 13.1

13.245a-604 . . . . . . . . . . . . . . . . . . . 1.1

40.340.540.640.740.8

45a-607 . . . . . . . . . . . . . . . . . . 40.340.440.5

45a-609 . . . . . . . . . . . . . . . . . . . 8.840.6

40.6a45a-610 . . . . . . . . . . . . . . . . . . 40.645a-611 . . . . . . . . . . . . . . . . . . 40.745a-612 . . . . . . . . . . . . . . . . . . . 8.645a-613 . . . . . . . . . . . . . . . . . . 40.3

40.6a45a-614 . . . . . . . . . . . . . . . . . . 40.3

40.540.6

40.6a45a-616a . . . . . . . . . . . . . . . . . 40.7

40.2045a-617 . . . . . . . . . . . . . . . . . . 40.6

40.1545a-620 . . . . . . . . . . . . . . . . . . 40.245a-622 . . . . . . . . . . . . . . . . . . 40.845a-623 . . . . . . . . . . . . . . . . . . . 8.6

40.1641.1

45a-629 . . . . . . . . . . . . . . . . . . 35.145a-631 . . . . . . . . . . . . . . . . . 30.16

34.1145a-632 . . . . . . . . . . . . . . . . . 30.16

35.145a-634 . . . . . . . . . . . . . . . . . . 34.345a-635 . . . . . . . . . . . . . . . . . 30.16

35.145a-636 . . . . . . . . . . . . . . . . . 30.16

34.6


C.G.S. section Probate Court Rules section45a-644 through 45a-663 . . . . . . . . 13.2

13.313.4

45a-644 . . . . . . . . . . . . . . . . . . . 1.145a-645 . . . . . . . . . . . . . . . . . . 35.145a-645a . . . . . . . . . . . . . . . . . 33.3

45.265.1

45a-646 . . . . . . . . . . . . . . . . . . . 1.133.235.1

45a-647 . . . . . . . . . . . . . . . . . 33.2145a-648 . . . . . . . . . . . . . . . . . . 45.345a-649 . . . . . . . . . . . . . . . . . . . 8.8

45.445a-649a . . . . . . . . . . . . . . . . . 12.2

12.545a-650 . . . . . . . . . . . . . . . . . . 16.2

30.1633.633.735.1

45a-654 . . . . . . . . . . . . . . . . . . 33.333.4

33.1435.136.1

45a-655 . . . . . . . . . . . . . . . . . . 18.118.232.232.533.833.9

33.1033.1233.1436.1

36.1345a-656b . . . . . . . . . . . . . . . . 33.1245a-659 . . . . . . . . . . . . . . . . . . 33.8

35.145a-660 . . . . . . . . . . . . . . . . . 33.12

33.1433.1735.136.1

45a-661 . . . . . . . . . . . . . . . . . . 18.245a-667g through 45a-667o . . . . . . 19.145a-667p . . . . . . . . . . . . . . . . . . 8.6

33.1233.14

45a-667q . . . . . . . . . . . . . . . . . . 8.645a-670 . . . . . . . . . . . . . . . . . . 16.2

72.245a-676 . . . . . . . . . . . . . . . . . . 43.145a-677 . . . . . . . . . . . . . . . . . . . 8.6

18.145a-692 . . . . . . . . . . . . . . . . . . 16.2

72.245a-694 . . . . . . . . . . . . . . . . . . 12.245a-695 . . . . . . . . . . . . . . . . . 33.18

43.245a-698 . . . . . . . . . . . . . . . . . 33.18

43.2

110

C.G.S. section Probate Court Rules section45a-699 . . . . . . . . . . . . . . . . . 33.18

43.245a-707 . . . . . . . . . . . . . . . . . . 40.9

40.1140.12

45a-715 through 45a-719 . . . . . . . . 13.113.2

45a-715 . . . . . . . . . . . . . . . . . . . 8.640.340.9

40.1640.2041.1

45a-716 . . . . . . . . . . . . . . . . . . . 8.840.9

45a-717 . . . . . . . . . . . . . . . . . . 40.245a-718 . . . . . . . . . . . . . . . . . 40.1145a-724 . . . . . . . . . . . . . . . . . 40.12

40.1945a-725 . . . . . . . . . . . . . . . . . 40.1145a-727 . . . . . . . . . . . . . . . . . 40.10

40.1145a-733 . . . . . . . . . . . . . . . . . 40.1245a-734 . . . . . . . . . . . . . . . . . 40.1345a-743 through 45a-753 . . . . . . . . 16.245a-751 . . . . . . . . . . . . . . . . . . 13.145a-753 . . . . . . . . . . . . . . . . . . 13.145a-754 . . . . . . . . . . . . . . . . . . 16.2

41.372.2

46a-33a . . . . . . . . . . . . . . . . . . 67.146b-63 . . . . . . . . . . . . . . . . . . 47.1

47.246b-115 through 46b-115t . . . . . . . 19.146b-129 . . . . . . . . . . . . . . . . . . 42.3

42.446b-172a . . . . . . . . . . . . . . . . . 13.1

40.251-33 . . . . . . . . . . . . . . . . . . . 71.3

71.551-33a . . . . . . . . . . . . . . . . . . 71.3

71.651-53 . . . . . . . . . . . . . . . . . . . . 3.1

8.151-72 . . . . . . . . . . . . . . . . . . . 14.2

60.265.3

51-73 . . . . . . . . . . . . . . . . . . . 60.265.3

51-84 . . . . . . . . . . . . . . . . . . . . 2.271.1

51-88 . . . . . . . . . . . . . . . . . . . . 5.152-11 . . . . . . . . . . . . . . . . . . . 47.1

47.252-60 . . . . . . . . . . . . . . . . . . . . 5.2

11.135.3

52-61 . . . . . . . . . . . . . . . . . . . 11.152-143 . . . . . . . . . . . . . . . . . . 60.2

61.1171.2

52-144 . . . . . . . . . . . . . . . . . . 60.2


C.G.S. section Probate Court Rules section52-144 (Cont)

61.1171.2

52-148a through 52-159 . . . . . . . . 60.261.161.3

111

C.G.S. section Probate Court Rules section52-148b . . . . . . . . . . . . . . . . . . 61.352-148e . . . . . . . . . . . . . . . . . . 61.3

61.1071.2

52-251 . . . . . . . . . . . . . . . . . . 32.852-259b . . . . . . . . . . . . . . . . . . . 6.254-257 . . . . . . . . . . . . . . . . . . 47.4

TABLE OF CHANGES TO THE PROBATE COURT RULES OF PROCEDURE

TABLE OF CHANGES TO THE PROBATE COURT RULES OF PROCEDURE*

Action EffectiveTaken Date

Rule 3Sec.3.6. . . . . . . . . . . . . . . . . . . . ad July 1, 2017Rule 5Sec.5.2. . . . . . . . . . . . . . . . . . . . am July 1, 2015

. . . . . . . . . . . . . . . . . . . . . am July 1, 2017Rule 6Sec.6.1. . . . . . . . . . . . . . . . . . . . am July 1, 20176.3. . . . . . . . . . . . . . . . . . . . am July 1, 2017Rule 7Sec.7.1. . . . . . . . . . . . . . . . . . . . am July 1, 20177.2. . . . . . . . . . . . . . . . . . . . am July 1, 20177.5. . . . . . . . . . . . . . . . . . . . ad July 1, 2017Rule 8Sec.8.2. . . . . . . . . . . . . . . . . . . . am July 1, 20158.10 . . . . . . . . . . . . . . . . . . . am July 1, 2017Rule 10Sec.10.2 . . . . . . . . . . . . . . . . . . . am July 1, 2017Rule 13Sec.13.1 . . . . . . . . . . . . . . . . . . . am July 1, 201513.2 . . . . . . . . . . . . . . . . . . . am July 1, 2015Rule 15Sec.15.2 . . . . . . . . . . . . . . . . . . . am July 1, 201715.5 . . . . . . . . . . . . . . . . . . . am July 1, 201715.6 . . . . . . . . . . . . . . . . . . . am July 1, 2017Rule 16Sec.16.12 . . . . . . . . . . . . . . . . . . ad July 1, 2017Rule 17Sec.17.2 . . . . . . . . . . . . . . . . . . . am July 1, 2017Rule 18Sec.18.1 . . . . . . . . . . . . . . . . . . . am July 1, 2015

. . . . . . . . . . . . . . . . . . . . . tc July 1, 201718.2 . . . . . . . . . . . . . . . . . . . am July 1, 201518.3 . . . . . . . . . . . . . . . . . . . ad July 1, 2017Rule 20 . . . . . . . . . . . . . . . . . ad July 1, 2017Rule 21 . . . . . . . . . . . . . . . . . ad July 1, 2017Rule 30Sec.30.4 . . . . . . . . . . . . . . . . . . . rw July 1, 2015

. . . . . . . . . . . . . . . . . . . . . am July 1, 201730.5 . . . . . . . . . . . . . . . . . . . am July 1, 201530.6 . . . . . . . . . . . . . . . . . . am July 1, 201530.11 . . . . . . . . . . . . . . . . . . am July 1, 201530.12 . . . . . . . . . . . . . . . . . . am July 1, 2015

. . . . . . . . . . . . . . . . . . . . . am July 1, 201730.13 . . . . . . . . . . . . . . . . . . am July 1, 201530.14 . . . . . . . . . . . . . . . . . . am July 1, 2017

*This table is designed to reflect, at a glance, changes made to the Probate Court Rules of Procedure since its effective dateof July 1, 2013. The first and third columns indicate the sections changed or added and the effective dates thereof. Under ‘‘ActionTaken,’’ in the second column, the abbreviations signify: ad (adopted); am (amended); rp (repealed); rw (rewritten); tc (titlechange only); tr (transferred).

113


30.15 . . . . . . . . . . . . . . . . . . am July 1, 2015. . . . . . . . . . . . . . . . . . . . . am July 1, 2017

30.16 . . . . . . . . . . . . . . . . . . am July 1, 201530.18 . . . . . . . . . . . . . . . . . . am July 1, 201530.22 . . . . . . . . . . . . . . . . . . am July 1, 2015

. . . . . . . . . . . . . . . . . . . . . am July 1, 201730.23 am July 1, 201530.26 . . . . . . . . . . . . . . . . . . ad July 1, 2015Rule 31Sec.31.1 . . . . . . . . . . . . . . . . . . . am July 1, 201531.3 . . . . . . . . . . . . . . . . . . . am July 1, 201531.4 . . . . . . . . . . . . . . . . . . . am July 1, 201531.8 . . . . . . . . . . . . . . . . . . . am July 1, 201531.9 . . . . . . . . . . . . . . . . . . . ad July 1, 2015Rule 32Sec.32.3 . . . . . . . . . . . . . . . . . . . am July 1, 201532.4 . . . . . . . . . . . . . . . . . . . am July 1, 201532.7 . . . . . . . . . . . . . . . . . . . am July 1, 201732.8 . . . . . . . . . . . . . . . . . . . am July 1, 2015Rule 33Sec.33.9 . . . . . . . . . . . . . . . . . . . am July 1, 201533.11 . . . . . . . . . . . . . . . . . . am July 1, 201733.11a . . . . . . . . . . . . . . . . . ad July 1, 201733.12 . . . . . . . . . . . . . . . . . . am July 1, 201733.12a . . . . . . . . . . . . . . . . . ad July 1, 201733.14 . . . . . . . . . . . . . . . . . . am July 1, 201533.17 . . . . . . . . . . . . . . . . . . am July 1, 2015

. . . . . . . . . . . . . . . . . . . . . am July 1, 201733.19 . . . . . . . . . . . . . . . . . . am July 1, 201533.21 . . . . . . . . . . . . . . . . . . ad July 1, 201533.22 . . . . . . . . . . . . . . . . . . ad July 1, 2017Rule 34Sec.34.5 . . . . . . . . . . . . . . . . . . . am July 1, 201734.5a . . . . . . . . . . . . . . . . . . ad July 1, 201734.6 . . . . . . . . . . . . . . . . . . . am July 1, 201734.6a . . . . . . . . . . . . . . . . . . ad July 1, 201734.12 . . . . . . . . . . . . . . . . . . am July 1, 2015Rule 35Sec.35.2 . . . . . . . . . . . . . . . . . . . am July 1, 201535.7 . . . . . . . . . . . . . . . . . . . am July 1, 201535.9 . . . . . . . . . . . . . . . . . . . am July 1, 201735.11 . . . . . . . . . . . . . . . . . . am July 1, 2015Rule 36Sec.36.5 . . . . . . . . . . . . . . . . . . . am July 1, 201536.13 . . . . . . . . . . . . . . . . . . am July 1, 2015

. . . . . . . . . . . . . . . . . . . . . am July 1, 2017Rule 40Sec.40.3 . . . . . . . . . . . . . . . . . . . am July 1, 201540.4 . . . . . . . . . . . . . . . . . . . am July 1, 201740.5 . . . . . . . . . . . . . . . . . . . am July 1, 201740.6 . . . . . . . . . . . . . . . . . . . tc July 1, 2015

TABLE OF CHANGES TO THE PROBATE COURT RULES OF PROCEDURE


Rule 40.6 (Cont). . . . . . . . . . . . . . . . . . . . . am July 1, 2017

40.6a . . . . . . . . . . . . . . . . . . ad July 1, 201540.7 . . . . . . . . . . . . . . . . . . . am July 1, 201540.9 . . . . . . . . . . . . . . . . . . . am July 1, 201540.12 . . . . . . . . . . . . . . . . . . am July 1, 201740.13 . . . . . . . . . . . . . . . . . . am July 1, 201540.14 . . . . . . . . . . . . . . . . . . am July 1, 201740.15 . . . . . . . . . . . . . . . . . . am July 1, 2015

. . . . . . . . . . . . . . . . . . . . . am July 1, 201740.16 . . . . . . . . . . . . . . . . . . am July 1, 201540.18 . . . . . . . . . . . . . . . . . . ad July 1, 201740.19 . . . . . . . . . . . . . . . . . . ad July 1, 201740.20 . . . . . . . . . . . . . . . . . . ad July 1, 2017Rule 43Sec.43.1 . . . . . . . . . . . . . . . . . . . am July 1, 201743.2 . . . . . . . . . . . . . . . . . . . am July 1, 2017Rule 44Sec.44.1 . . . . . . . . . . . . . . . . . . . am July 1, 201544.2 . . . . . . . . . . . . . . . . . . . am July 1, 201544.4 . . . . . . . . . . . . . . . . . . . am July 1, 201544.4 . . . . . . . . . . . . . . . . . . . am July 1, 2017

114


Rule 45Sec.45.1 . . . . . . . . . . . . . . . . . . . am July 1, 201545.2 . . . . . . . . . . . . . . . . . . . am July 1, 201545.3 . . . . . . . . . . . . . . . . . . . am July 1, 201545.4 . . . . . . . . . . . . . . . . . . . am July 1, 2015

. . . . . . . . . . . . . . . . . . . . . am July 1, 201745.5 . . . . . . . . . . . . . . . . . . . am July 1, 2015Rule 47Sec.47.3 . . . . . . . . . . . . . . . . . . . am July 1, 201747.4 . . . . . . . . . . . . . . . . . . . am July 1, 2015

. . . . . . . . . . . . . . . . . . . . . tc July 1, 2017Rule 60Sec.60.2 . . . . . . . . . . . . . . . . . . . am July 1, 2017Rule 61Sec.61.7 . . . . . . . . . . . . . . . . . . . am July 1, 201561.9 . . . . . . . . . . . . . . . . . . . am July 1, 2015Rule 67Sec.67.3 . . . . . . . . . . . . . . . . . . . ad July 1, 2015Rule 72Sec.72.2 . . . . . . . . . . . . . . . . . . . am July 1, 2015

. . . . . . . . . . . . . . . . . . . . . am July 1, 2017

INDEXReferences are to rule and section numbers.

A

Access to records. See also Confiden-tialityAdoption records, 16.2Medical records, 60.2News media coverage, 72Public access to hearings and records, 16

AccountsAccount required to balance, 38.5Affidavit in lieu of administration, use of,

30.23Cash account

Principal and income reported com-bined, 38.2

Principal and income reported sepa-rately, 38.3

Copy to partiesConservator to send, 33.8Executor or administrator to send, 30.12Fiduciary to send, 36.5Guardian for minor to send, 34.3Trustee to send, 32.4

Defined, 1.1Distinguished from financial reports, 36.2Distributions reported in, 38.4. See also

DistributionsExcused from submitting

Conservator, 33.17Executor or administrator, 30.22Temporary administrator, 30.22Trustee, 32.7

Final account, 30.19Executor or administrator to submit,

30.19Principal and income reported com-

bined, 38.2Principal and income reported sepa-

rately, 38.3Information presented in clear manner,

36.4Interim account

Executor or administrator to submit,30.19

Trustee’s periodic account, 32.5

115

Accounts — (Cont)Principal and income

Reported combined, 38.2Reported separately, 38.1, 38.3

Required instead of financial reports, 36.3Schedules



Signed under penalty of false statement,36.4

Status update, 30.21Streamline notice procedure, 8.6

Account numbers, bank or financial insti-tution, 7.5

Addiction. See Drug and alcohol depen-dency commitment proceedings

AddressChange of address of party during pen-

dency of matter, 8.3New address, effect on notice and

decree, 8.8Redaction of address in confidential mat-

ters, 16.3Unknown address, public notice, 8.8

Termination of parental rights, 40.9

Administration of intestate estateDeath certificate or proof of death

required, 30.2Family tree, submission, 30.3Guardian ad litem appointed, 30.9Mutual distribution agreement of heirs,

30.17Notice of petition, 30.5

Heir is foreign citizen, 30.11Will in court’s custody, duty of court to

inform petitioner, 30.4

Administration of oath, 63.1

Administrative closure of decedent’sestate, 30.24

Administrators. See also FiduciariesAccounts. See AccountsDeath of, while administering estate, 30.19

INDEX

Administrators. See also Fiduciaries —(Cont)Financial reports. See Financial reportsInventory. See InventoryNotice in proceeding to grant administra-

tion of intestate estate, 30.5As parties, 4.2

Admission of will to probateAnother will in court’s custody, 30.4Copy of will to parties, 30.7Death certificate or proof of death

required, 30.2Family tree, submission, 30.3Guardian ad litem appointed

Before admission of will, 30.8After admission of will, 30.9

Inventory, status update, financial report,account and affidavit of closing sent toeach party, 30.12

NoticeAfter admission of will, 30.10Beneficiary is foreign citizen, 30.11Proceeding to admit will, 30.6

AdoptionAccess to records, 16.2Adult adoption proceedings, notice, 40.13Confidentiality of proceeding, 41.3News media coverage not permitted, 72.2Out-of-state child-placing agency as statu-

tory parent, 40.11Pre-adoption hearings, 40.10By same sex married couple, 40.12Single petition for special immigrant juve-

nile status findings and approve, 40.18Single petition to terminate parental rights

and approve, 40.19

AdultsAdoption of adult proceedings, notice,

40.13Change of name, 47.1Commitment proceedings. See Drug and

alcohol dependency commitmentproceedings; Psychiatric commit-ment proceedings

With intellectual disability. See Guardiansof adults with intellectual disability;Intellectual disability, adults with

Medication for psychiatric disability. SeePsychiatric medication and treat-ment proceedings

116

AffidavitsOf closing, 36.5, 36.12In lieu of administration, 30.12, 30.23Name change petitions, 47.1, 47.2Out-of-state attorneys, 5.2

Alcohol and drug dependency commit-ment proceedingsConfidentiality, 46.1Court-appointed attorneys, 12.2News media coverage not permitted, 72.2

Alternative dispute resolution, 60.2

Alternative remedies, order of, 70.1

AppealsExhibits in appeals to Superior Court, 64.3Guardians ad litem appealing from court

orders, 13.8Probate magistrate and attorney probate

referee hearings, 14.2Transcripts of hearings, 65.2

AppearanceChange of law firm name, address and tele-

phone number, notice of, 5.8Form, 5.5Jurisdiction, right to challenge, 5.6Required to be filed, 5.4Withdrawal, 5.7

Arrest of person who failed to comply withsubpoena, 71.2

Assets of conservatorshipJointly owned assets and joint liabilities,

33.9Trust establishment and funding, 33.10

Assets of estateBelow statutory threshold for guardianship

of estates of minors, 34.11Restricted account, 35.7

Attorney probate referees. See Judges;Probate magistrates and attorney pro-bate referees

AttorneysCommunication with client, news media

coverage not permitted, 72.2Court-appointed

Advocacy in accordance with Rules ofProfessional Conduct, 12.4

Duration of appointment, 12.5

INDEX

Attorneys — (Cont)Court-appointed — (Cont)

Minor client, as attorney and guardianad litem, 40.2

From panel maintained by court, 12.3From panel maintained by probate court

administrator, 12.2When necessary, 12.1Withdrawal from appointment, 12.6

Engagement letter, 39.2Failure to perform duties as fiduciary, 71.1Fees, 39.1

Task statement, 39.2Notice to, 8.2Out-of-state attorney appearing pro hac

vice, 5.2Public comments by, 72.7Representation by, 5.1Self-representation by fiduciary, 5.1Signing on behalf of client, 7.4

Audio recordingsConfidentiality, 16.2Contempt hearings, 71.4Immediate temporary custody meetings,

40.4Making and maintaining, 65.1Probate magistrate and attorney probate

referee hearings, 14.2Psychiatric commitment proceedings, 44.2Psychiatric disability, proceedings for med-

ication and treatment, 45.2Superior Court communication with Pro-

bate Court, 42.2Temporary conservator meetings, 33.3Transcription. See Transcripts

B

Bank account numbers, 7.5

Beneficiaries of decedent’s estateAdmission of purported will to probate pro-

ceeding, 30.8Defined, 1.1Distribution to beneficiary incapable of

managing affairs, 30.16Mutual distribution agreement, 30.17Notice in proceeding to admit will, 30.6Notice when beneficiary is foreign citi-

zen, 30.11Purported will in court’s custody, notice,

30.5

117

Beneficiaries of decedent’s estate —(Cont)Withholding distribution during criminal

prosecution, 30.26

Birth certificates, to accompany namechange petitions, 47.1, 47.2

Bonds. See Probate bonds

Breach of fiduciary duty, 20.2

Briefs, 60.2

Burden of proofPsychiatric commitment, probable cause

hearings, 44.3Reinstatement as guardian, 40.7Trust establishment and funding with con-

servatorship assets, 33.10

C

Capias to compel attendance, 71.2

Cash accountPrincipal and income reported combined,

38.2Principal and income reported sepa-

rately, 38.3

C.G.S., defined, 1.1

Change of address of party during pen-dency of matter, 8.3

Change of nameAdults, 47.1Criminal background checks, 47.4Deadly weapon offender registry checks,

47.4Law firms, 5.8Minors, 47.2Sex offender registry checks, 47.4Single petition for family, 47.3

Charitable beneficiaries or interestsCourt declining to hear construction, title

or cy pres petition, 30.25Inventory, status update, financial report,

account and affidavit of closing sent toeach party, 30.12, 36.5

Mutual distribution agreement involving,30.17

Notice to Attorney General, 8.2Streamline notice procedure not to be

used, 8.6

INDEX

Children. See Guardians of estates ofminors; Minors; Parent

Civil contempt, 71.3, 71.7

Claim of creditorReported in account



Reported in financial report, 37.1

Claims, settlement ofCompromise of multiple claims associated

with same injuryConservatorship estate, 33.11aEstate of minor, 34.5a

In favor of conservatorship, 33.11In favor of decedent’s estate, 30.14In favor of estate of minor, 34.5Structured settlement, defined, 1.1

Clear and convincing evidenceCivil contempt, 71.7Summary criminal contempt, 71.5

ClerkCollection of probate fees by, 3.1Date of mailing notice, to be recorded

by, 3.1Decree sent to parties and attorneys by, 3.1Defined, 1.1Duties, 3.1Notice of hearings from, 3.1Receipt of papers and documents, 3.1Recording of proceedings, 3.1Recordkeeping function, 3.1Scheduling of hearings, 3.1

Closed hearingsConfidential matters, in general, 16.2Drug and alcohol dependency commitment

proceeding, 46.1Medication and treatment of psychiatric

disability proceeding, 45.1Motions, 16.6

Hearing, 16.7, 16.9Public access, 16.9

News media coverage not permitted, 72.2Orders, 16.8

Public access to order, 16.9Vacating, 16.10

Psychiatric commitment proceeding, 44.1Shock therapy proceeding, 45.1

118

Closed hearings — (Cont)Transcripts when hearings closed in part,

65.2

CofiduciariesProbate bonds, 35.5Signature requirements, 7.4

Commencing a proceeding, 7.2

Commissioner of administrative servicesAppointment as legal representative, 30.13

Commissioner of children and familiesAppointment as temporary custodian or

guardian, 40.17Emergency action by, when prior matter

pending in Probate Court, 42.4Petition in Superior Court

When prior matter pending in ProbateCourt, duties of notice, 42.2

When Probate Court grants custody orguardianship to, 42.3

Safety and service agreement, 42.5

Commitment petitionsCourt-appointed attorneys, 12.2Psychiatric commitment proceedings. See

Psychiatric commitment proceedingsSignature requirement, 7.4Treatment of drug and alcohol depen-

dency. See Drug and alcohol depen-dency commitment proceedings

CommunicationsAttorney-client communication, news

media coverage not permitted, 72.2Ex parte. See Ex parte communicationPrivileged information, discovery seeking,

61.9Public comments by attorneys, 72.7

ConferencesHearing management conferences, 60.2News media coverage, to establish condi-

tions, 72.3Notice, 8.1, 8.4Rescheduled conference, notice, 8.5Status conferences, 60.1

Confidentiality, 16.2Adoption proceeding, 16.2Closed hearings. See Closed hearingsDrug and alcohol dependency commitment

proceeding, 46.1Emancipation of minor proceeding, 16.2

INDEX

Confidentiality, — (Cont)Estate tax forms, 31.8Federal firearms disability, proceeding for

relief from, 16.2Guardian of adult with intellectual disability

proceeding, 16.2Hospital, psychiatric or medical records in

involuntary conservator proceeding,16.2

Judge’s notes, 16.4Mediation, 21.7News media coverage not permitted of

confidential hearings and conferences,72.2

Pending lawsuit or complaint againstjudge, disclosure to parties not breach,15.5

Placement of adult with intellectual disabil-ity proceeding, 16.2

Pseudonym, 16.3Psychiatric commitment proceeding, 44.1Psychiatric disability, proceeding for medi-

cation and treatment, 45.1Redaction of name or address in confiden-

tial matters, 16.3Removal of parent proceeding, 16.2Sealed records. See Sealed recordsShock therapy proceeding, 45.1Social security numbers

Disclosure to state and federal agen-cies, 17.5

Methods for protecting confidentiality,17.2–17.4

Omission or redaction, 17.1, 17.3, 17.4On original documents, 17.4Sealing of original, 17.4

Special limited conservator proceeding,16.2

Statutorily confidential matters, 16.2Statutory parent proceeding, 16.2Sterilization proceeding, 16.2Temporary guardianship proceeding, 16.2Termination of parental rights proceed-

ing, 16.2Tuberculosis treatment proceeding, 16.2

Conflict of rule with statute, 2.2

Connecticut Practice BookDeposition procedure, 61.3News media, pooling, 72.6Nonsummary criminal contempt, 71.6Out-of-state attorney, 5.2

119

Connecticut Principal and Income Act,38.3

Connecticut Probate Court Rules of Pro-cedure. See Probate Court Rules

ConsentRemoval and appointment of guardian on

consent, 40.6Sterilization, informed consent of person

under guardianship, 33.18, 43.2Temporary custodian for minor, appoint-

ment on consent, 40.5Voluntary admission of person under con-

servatorship to psychiatric commitment,informed consent, 44.8

ConservatorsAccount

Annual, 33.14Copy to parties, 33.8Deceased conservator, 33.14Excused from submitting, 33.17Final, 33.14

Criminal background check, 33.6Death of conservator during conservator-

ship, 33.14Fiduciary acquisition value, defined, 36.14Financial report

Annual, 33.14Copy to parties, 33.8Excused from submitting, 33.17Final, 33.14Requirements, 37.3

Inventory, copy to parties, 33.8Involuntary appointment of conservators

Court-appointed attorneys, 12.2Petition for voluntary representation to

be heard before petition for involuntaryconservatorship, 33.2

Probate bond, 35.1Jointly owned assets and joint liabilities,

33.9Multiple petitions, filing of

Change residence, sell real property orhousehold contents or terminate ten-ancy, 33.22

Compromise of multiple claims associ-ated with same injury, 33.11a

Real estate sale of multiple parcels,33.12a

As parties, 4.2

INDEX

Conservators — (Cont)Person under conservatorship, defined,

1.1Qualifications of conservator to be

reviewed by court, 33.7Records to be maintained, 36.13Reimbursement of probate fees in conser-

vatorship of estate proceeding, 33.19Sale of real property, 33.12

Multiple parcels, 33.12aSettlement of claims, 33.11


Special limited conservatorsCourt-appointed attorneys, 12.2News media coverage, 72.2

Sterilization approval requested by, 33.18Temporary conservators

Appointment without notice and hear-ing, 33.3

Extension pending decision on petition,33.4

Title to property, petition to determine,33.20

Transfer of matter, 18.2Trust establishment and funding with con-

servatorship assets, 33.10Voluntary admission of person under con-

servatorship to psychiatric commit-ment, 44.8

Voluntary conservatorshipNotice of termination, 33.21Petition to be heard before petition for

involuntary conservatorship, 33.2Probate bond, 35.1

Construction of Probate Court Rules, 2.3

Contempt of courtAudio recording of contempt hearing, 71.4Civil contempt, 71.3, 71.7Fiduciary’s failure to perform duties, 71.1Nonsummary criminal contempt, 71.3, 71.6Summary criminal contempt, 71.5Types, 71.3

Contested mattersMediation, 21.1Referral to probate magistrate or attorney

probate referee, 14.1Streamline notice procedure not to be

used, 8.6

120

Contingent remainder beneficiariesDefined, 1.1Notice in trust proceedings, 32.2

ContinuanceAssessment of expenses, 10.2Pending decision in probate magistrate

and attorney probate referee hearing,14.8

Request, 10.1

Copies, when original mislaid, lost ordestroyed, 3.5

Corporate fiduciariesDefined, 1.1Probate bond requirement excused, 35.1Representation before court, 5.1

Corporate suretiesOn additional probate bond, 35.10Defined, 1.1Required, 35.3

Correction of document, 7.1

Counting time periods, 9.1

CourtDefined, 1.1Jurisdiction. See JurisdictionService of process on court as agent, 11.1

Court-appointed attorneysAdvocacy in accordance with Rules of Pro-

fessional Conduct, 12.4Duration of appointment, 12.5From panel maintained by court, 12.3From panel maintained by probate court

administrator, 12.2When necessary, 12.1Withdrawal from appointment, 12.6

Court-appointed guardians ad litem. Seealso Guardians ad litemDiscretionary appointment, 13.2Mandatory appointment, 13.1Scope of appointment, 13.3Termination of appointment, 13.4

Court areas adjacent to courtroom, newsmedia coverage not permitted in, 72.2

Criminal background checksChange of name, 47.4Conservators, 33.6

INDEX

Criminal background checks — (Cont)Guardians of adults with intellectual disabil-

ity, 43.1Temporary custodians or guardians, 40.15

Criminal contemptNonsummary criminal contempt, 71.3, 71.6Summary criminal contempt, 71.5

Criminal prosecutionWithholding distribution in decedents’

estates, 30.26

Current beneficiary, defined, 1.1

CustodiansTemporary custodian

Appointment, 40.17Appointment on consent, 40.5As party, 4.2

Transfer of funds from guardian of estateto custodian, 34.11

Custody of minors, 40.3–40.5. See alsoGuardians of person of minors; ParentDefined, 40.3

Cy pres doctrineCourt declining jurisdiction

Decedent’s estate, 30.25Trust, 32.9

Streamline notice procedure not to beused, 8.6

D

Deadly weapon offender registry checksfor change of name petitioners, 47.4

Deaf persons as parties or witnesses, 67.1

DeathAdministrator, while administering estate,

30.19Conservator during conservatorship, 33.14Executor, while administering estate, 30.19Guardian of estate of minor during guard-

ianship, 34.8

Death certificate or proof of death, 30.2

Decedents’ estates. See also Administra-tion of intestate estate; Admission ofwill to probate; EstatesAccounts. See AccountsAdministrative closure, 30.24Death certificate or proof of death

required, 30.2

121

Decedents’ estates. See also Administra-tion of intestate estate; Admission of willto probate; Estates — (Cont)Distributions. See also Distributions

Bypassing inoperative trust, 30.18From estate to minor or beneficiary inca-

pable of managing affairs, 30.16Mutual distribution agreement, 30.17

Expediting administration, 30.21Family tree, submission, 30.3Financial reports. See Financial reportsInventory. See InventoryRecords to be maintained, 36.13Sale of real property, 30.15Settlement of claims in favor of, 30.14Status update, 30.21Streamline notice procedure, 8.6

DecreesCopy of decree with court seal, provided

at no charge, 6.5Defined, 1.1On disqualification of judge, 15.4New address, effect, 8.8Notice, 8.1, 8.10Payment of fees required before final

decree issued, 6.4Probate magistrate and attorney probate

referee report, issuance of decree, 14.7In writing, 3.3

Definitions, 1.1

Delay pending decision in probate magis-trate and attorney probate referee hear-ing, 14.8

De novo appeals, return of exhibitsupon, 64.3

DepositionsNotice, 61.3Procedure, 61.3Subpoenas, 61.3Testimony taken by, 61.1, 61.3

Destroyed documents, 3.5

Developmentally disabled persons. SeeGuardians of adults with intellectualdisability; Intellectual disability, adultswith

Disclosure. See Access to records; Confi-dentiality

INDEX

DiscoveryAnnoyance or embarrassment caused

by, 61.9Answer to request, 61.7Continuing duty to disclose, 61.8Hearing management conference, 60.2,

61.2Likely to lead to admissible evidence,

61.2, 61.9Objection to request, 61.9Order for compliance, 61.10Permission of court prior to, 61.1Privileged information involved, 61.9Summary describing information sought,

61.2Unduly burdensome requests, 61.9

Disqualification of judgeDenial of motion, 15.4Disclosure of relevant information by

judge, 15.6Hearing and decision, 15.4Judge to act for disqualified judge, 15.7Motion, 15.3Pending lawsuit or complaint against

judge, 15.5Waiver, 15.6When required, 15.2

DistributionsAffidavit of closing showing, 36.12Bypassing inoperative trust, 30.18To minor or beneficiary incapable of man-

aging affairs, 30.16Mutual distribution agreement, 30.17Reported in account, 38.4



Reported in financial report, 37.4From restricted account, 35.7Schedules, 38.4



Documents. See Filing requirements;Records and files; Request for pro-duction

DRS, defined, 1.1

122

Drug and alcohol dependency commit-ment proceedingsConfidentiality, 46.1Court-appointed attorneys, 12.2News media coverage not permitted, 72.2

E

Election against the will, 38.1

Electronic means of participation in hear-ing, 66.1

Electronic signatures, 7.4Judges or clerks, 3.6

Emancipation of minor proceedingConfidentiality, 41.3News media coverage not permitted, 72.2

Emergency Services and Public Protec-tion DepartmentNotice of change of name of registered sex

or deadly weapon offender or individualwith criminal record, 47.4

Employer identification numbers. SeeSocial security numbers

Entry on property for inspection, requestto permit, 61.5

Estates. See also Decedents’ estatesDefined, 1.1Same estate involved in pending matter in

another court, 19.1

Estate tax mattersApplicability of rules, 31.1Confidentiality of information on forms,

31.8Nontaxable estates

Amended forms, 31.4Defined, 1.1Domicile declaration, 31.6Forms, 31.2Procedure when court unable to deter-

mine estate as nontaxable, 31.5Valuation of property, 31.3

Recording attachments to forms, 31.7Surviving spouse, probate fee calcula-

tion, 31.9

EvidenceHearing management conference, 60.2Rules, 62.1

INDEX

Executors. See also FiduciariesAccounts. See AccountsDeath of, while administering estate, 30.19Financial reports. See Financial reportsInventory. See InventoryAs parties, 4.2

ExhibitsAppeal to Superior Court, 64.3Destruction, 64.4Disposition, 64.4Hearing management conference, 60.2Marking, 64.1Retention, 64.2Return when de novo appeal, 64.3

Ex parte communicationWith guardian ad litem, 13.7Mediation, 21.6Prohibition, 68.1Temporary conservator petition, 33.3Temporary custody of minor petition, 40.3

Expediting administration of estate, 30.21

Expenses. See Fees and expenses

Extension of time period, 9.2

F

Failure of fiduciary to perform duties, 71.1

Family, single petition for name change,47.3

Family tree, 30.3

Fees and expensesAccount to include



Assessment of expenses, 10.2Attorney’s fees, 39.1

Task statement, 39.2Audio recordings, copies, 65.1Change of name for family, 47.3Copy of decree with court seal, provided

at no charge, 6.5Discovery, request for compliance, 61.10Fiduciary’s fees, 39.1

Disallowance for failure to performduties, 71.1

Task statement, 39.2

123

Fees and expenses — (Cont)Filing fee, 6.1, 7.2

Appointment of guardian and compro-mise of claim, 34.5

Change of name for family, 47.3Compromise multiple claims associated

with same injury, 33.11a, 34.5aSale of multiple parcels of real property,

33.12a, 34.6aFinancial report to include, 37.1–37.3Payment required before final decree, 6.4Probate bond required to assure pay-

ment, 35.1Reimbursement of probate fees

Conservatorship of estate proceeding,33.19

Estate of minor proceeding, 34.12Trust proceeding, 32.8

Subpoenas, 61.3Summons to testify before court, 61.11Surviving spouse, probate fee calcula-

tion, 31.9Waiver of probate fees and expenses, 6.2Withdrawal of petition, fees and expenses

applicable, 6.3

Fiduciaries. See also specific types (e.g.,Conservators, Guardians)Accounting. See Fiduciary accountingAction of fiduciary

Applicability of other law, 20.3Petition for approval, 20.1Petition to compel or prohibit, 20.2

Appearance not required to be filed by, 5.4Breach of fiduciary duty, 20.2Change of address of party, 8.3Cofiduciaries

Probate bonds, 35.5Signature requirements, 7.4

Contempt of court, 71.1Corporate fiduciaries

Defined, 1.1Probate bond requirement excused,

35.1Representation before court, 5.1

Defined, 1.1Failure of fiduciary to perform duties, 71.1Fees, 39.1

Disallowance for failure to performduties, 71.1

Task statement, 39.2Guidance from status conference, 60.1

INDEX

Fiduciaries. See also specific types (e.g.,Conservators, Guardians) — (Cont)Limited interim authority, 35.2, 35.7Notice to, 8.2As parties, 4.2Probate bond required, 35.1Removal for failure to perform duties, 71.1Restricted account to hold assets of

estate, 35.7Self-representation by, 5.1

Fiduciary accountingAccounts. See AccountsAffidavit of closing, 36.12Copy to parties, 36.5Distinguishing accounts from financial

reports, 36.2Fiduciary acquisition value, 36.14Financial reports. See Financial reportsInformation presented in clear manner,

36.4Methods, 36.1Records to be maintained, 36.13Requiring accounts instead of financial

reports, 36.3Signature requirements, 36.4

Fiduciary acquisition value, defined, 36.14

Files. See Records and files

Filing fee, 6.1, 7.2

Filing requirementsAccount numbers, bank or financial institu-

tion, 7.5Commencing a proceeding, 7.2Copy to parties, 7.1, 60.2Correction of document, 7.1Forms, 7.3General requirements, 7.1Signature required, 7.4Substantial compliance, 7.1Substitution of corrected document, 7.1

Financial reportsAffidavit in lieu of administration, use of,

30.23Conservators, requirements, 37.3Copy to parties

Conservator to send, 33.8Executor or administrator to send, 30.12Fiduciary to send, 36.5Guardian for minor to send, 34.3Trustee to send, 32.4

124

Financial reports — (Cont)Decedent’s estate, requirements, 37.1Defined, 1.1Distinguished from accounts, 36.2Distributions reported in, 37.4Excused from submitting

Conservator, 33.17Executor or administrator, 30.22Temporary administrator, 30.22Trustee, 32.7

Final financial reportConservator to submit, 33.14Executor or administrator to submit,

30.19Guardianship, requirements, 37.3Information presented in clear manner,

36.4Interim financial report

Conservator to submit, 33.14Executor or administrator to submit,

30.19Trustee to submit, 32.5

Required instead of accounts, 36.3Signed under penalty of false statement,

36.4Status update, 30.21Trusts, requirements, 37.2

Firearms disability proceeding, newsmedia coverage, 72.2

Foreign language interpreters, 67.2

FormsAppearance, 5.5Estate tax. See Estate tax mattersFiling requirements, 7.3Financial report or account, 36.4Probate bond, 35.4Restricted account, 35.7Waiver of probate fees and expenses, 6.2

Funeral expensesReported in account



Reported in financial report, 37.1

G

Grievance committee, out-of-state attor-neys registering with, 5.2

INDEX

Guardians ad litemAdmission of purported will to probate pro-

ceeding, 30.8Advising parents or guardians, 13.6Advocacy of best interests, 13.6Appeals from court orders by, 13.8Appointment

Address of party unknown, 8.8After admission of will, 30.9Discretionary appointment, 13.2Eligibility requirements, 13.5Intestate estate, 30.9Mandatory appointment, 13.1Notice of, 13.1, 13.2Scope of appointment, 13.3Termination of appointment, 13.4

Duties, 13.6Ex parte communication with, 13.7Instruction and advice from court, 13.7Minor client, appointment of attorney and

guardian ad litem, 40.2As parties, 4.2Title or custody of property of person for

whom guardian ad litem is acting, 13.6Trust proceedings, 32.3Waiver, election, modification, compro-

mise of rights and interests of person forwhom guardian ad litem is acting, 13.6

Guardians of adults with intellectual dis-abilityCriminal background checks, 43.1News media coverage, 72.2As parties, 4.2Transfer of matter, 18.1

Guardians of estates of minorsDeath of guardian during guardianship,

34.8Distribution from decedent’s estate to

minor, 30.16Estate assets below statutory threshold for

guardianship, 34.11Financial report or account

Annual, 34.8Copy to parties, 34.3Final, 34.8Requirements for financial report, 37.3

Hearing to review duties, 34.2Inventory, copy to parties, 34.3Multiple petitions, filing of


125

Guardians of estates of minors — (Cont)Multiple petitions, filing of — (Cont)

Real estate sale of multiple parcels,34.6a

As parties, 4.2Reimbursement of probate fees in estate

of minor proceeding, 34.12Restriction on use of estate for support obli-

gations, 34.4Sale of real property from estate of

minor, 34.6Multiple parcels, sale of, 34.6a

Settlement of claims in favor of estate, 34.5Compromise of multiple claims associ-

ated with same injury, 34.5aTitle to property relating to estate of minor,

petition to determine, 34.13Transfer of funds to custodian, 34.11Transfer of matter, 18.1

Guardians of person of minorsCriminal background checks, 40.15Custody of minor, 40.3–40.5

Defined, 40.3As parties, 4.2Reinstatement as guardian, 40.7Removal of parent or guardian

Appointment of guardian on consent,40.6

Competing removal petition, notice ofhearing, 40.6a

In-court review for possible modificationof order, 40.14

News media coverage not permitted,72.2

Transfer of contested petition to SuperiorCourt, 40.16

Single petition special immigrant juvenilestatus findingswith appointment of guardian or coguar-

dian, 40.18with removal of guardian, 40.18

Temporary custody. See Temporarycustody

Temporary guardians. See Temporaryguardianship

Transfer of matter, 18.1

H

Hearing impairment of parties or wit-nesses, 67.1

Hearing management conferences, 60.2

INDEX

Hearings, procedureAudio recordings. See Audio recordingsClosed. See Closed hearingsContinuance. See ContinuanceDisruptions, steps to limit, 16.11Electronic means of participation, 66.1Maintaining order, 16.11Management conference, 60.2News media coverage, 72.1Notice, 8.1, 8.4, 8.5

Streamline, 8.6Waiver, 8.7

Order without notice and hearing, 69.1Public access, 16.1Recordings

Audio. See Audio recordingsUnauthorized, prohibition, 65.5

Rescheduled hearing, notice, 8.5Stenographic recordings, 65.3Streamline notice procedure, 8.6Telephonic means of participation, 66.1Transcripts. See TranscriptsUnauthorized recording, prohibition, 65.5

HeirsDefined, 1.1Guardian ad litem appointed, 30.8Mutual distribution agreement, 30.17Notice

Heir is foreign citizen, 30.11Proceeding to admit will, 30.6Proceeding to grant administration of

intestate estate, 30.5Withholding distribution during criminal

prosecution, 30.26

HomicideWithholding distribution during criminal

prosecution, 30.26

Hospitalization for psychiatric treatment.See Psychiatric commitment pro-ceedings

I

Inability to pay, waiver of probate fees andexpenses, 6.2

Income. See Principal and income

Indigent petitioners, waiver of probatefees and expenses, 6.2

Informed consent. See Consent

126

Inspections. See Request for production

Intangible personal property, life interestin, 38.1

Intellectual disability, adults withCourt-appointed attorneys, 12.2Guardians. See Guardians of adults with

intellectual disabilityNews media coverage not permitted, 72.2

Interns, legal, 5.3

Interpretation of Probate Court Rules, 2.3

InterpretersHearing impairment, party or witness

with, 67.1Non-English speakers, 67.2Oath, 67.3

Interrogatories. See also DiscoveryAnswers to, 61.4

Time to respond, 61.7, 61.8, 61.9Use of, 61.4

Issuance, 61.4Number, 61.4Objections to, 61.7, 61.9Permission of court required, 61.1, 61.2

Intestate. See also Administration of intes-tate estateDefined, 1.1

InventoryCopy to parties

Conservator to send, 33.8Executor or administrator to send, 30.12Guardian for minor to send, 34.3Trustee to send, 32.4

Excused from submitting, 30.22With petition for authority to sell real

propertyConservator to file, 33.12Executor or administrator to file, 30.15

J

JudgesAuthorizing removal of records from

court, 3.4Confidentiality of judge’s notes, 16.4Defined, 15.1Disqualification

Denial of motion, 15.4Disclosure of relevant information by

judge, 15.6

INDEX

Judges — (Cont)Disqualification — (Cont)

Hearing and decision, 15.4Judge to act for disqualified judge, 15.7Motion, 15.3Pending lawsuit or complaint against

judge, 15.5Waiver, 15.6When required, 15.2

JurisdictionCourt declining to hear construction, title

or cy pres petition, 30.25Overlapping jurisdiction in Superior and

Probate Courts in children’s mattersCustody or guardianship granted to com-

missioner of children and families,42.3

Emergency action by commissioner ofchildren and families, 42.4

Prior pending matter in Probate Court,42.2

Prior pending matter in Superior Court,42.1

Safety and service agreement, 42.5Psychiatric disability, proceedings for med-

ication and treatment, 45.3Right to challenge not waived by filing

appearance, 5.6Transfer of initial petition to another Pro-

bate Court with jurisdiction, 18.3

L

Law firms, change of name or contactinformation, 5.8

Law students appearing as legal interns,5.3

Legal interns, 5.3

Liberal constructionProbate Court Rules, 2.3Rules of evidence, 62.1

Life interest in intangible personal prop-erty, 38.1

Lost documents, 3.5

M

MailNotice by, 8.5

Additional notice for undeliveredreturned notice, 8.8

127

Mail — (Cont)Service of process by, 11.1

MediationConduct of session, 21.3Confidentiality, 21.7Ex parte communications, 21.6Informing court of settlement, 21.5News media coverage, 72.2Notice, 21.2Private mediation, 21.8Referral to, 21.1, 60.2Termination of, 21.4Time and location of session, 21.2Withdrawal of party, 21.4

Medical records, access to, 60.2

Medication for psychiatric disability. SeePsychiatric medication and treatmentproceedings

Mentally ill persons. See Psychiatric com-mitment proceedings; Psychiatric med-ication and treatment proceedings

Military serviceNotice to service member, 7.2, 8.9Party in, 7.2

MinorsAdoption. See AdoptionAppointment of attorney and guardian ad

litem, 40.2Change of name, 47.2Custodians. See CustodiansCustody of minor, 40.3–40.5. See also

Guardians of person of minors;ParentDefined, 40.3

Defined, 1.1Distribution from estate to, 30.16Emancipation of minor proceeding

Confidentiality, 41.3News media coverage not permitted,

72.2Guardians. See Guardians of estates of

minors; Guardians of person ofminors

Guardians ad litem. See Guardians adlitem

News media coverage prohibition, 72.4Overlapping jurisdiction in Superior and

Probate Courts

INDEX

Minors — (Cont)Custody or guardianship granted to com-

missioner of children and families,42.3




Safety and service agreement, 42.5Permanent guardian, informing parent of

rights, 40.20Psychiatric commitment proceedings

Notice of hearing, 44.4Parent’s attendance, 44.1Warrant for examination at general hos-

pital, 44.7Regional Children’s Probate Court

Duties of probate court officer, 41.2Files and reports of probate court offi-

cer, 41.3Transfer of children’s matter to, 41.1

Safety and service agreement, 42.5Temporary custodians. See Temporary

custodyTermination of parental rights

Confidentiality of proceedings, 16.2Informing parent of rights, 40.20News media coverage not permitted,

72.2Public notice when name or location of

parent unknown, 40.9Temporary custody petition, 40.3Transfer of contested petition to Superior

Court, 40.16

MotionsDefined, 1.1Streamline notice procedure, 8.6

N

NameAssigned to matter, 7.1Change of contact information for law

firm, 5.8Change of name

Adult, 47.1Criminal background checks, 47.4Law firm, 5.8Minor, 47.2Single petition for change for family, 47.3

128

Name — (Cont)Party, 7.2Pseudonym used to protect confidentiality

of party, 16.3Redaction in confidential matters, 16.3Unknown name, public notice required, 8.8

New address, 8.8

New information, continuing duty to dis-close, 61.8

News media, defined, 1.1

News media coverageConference to establish conditions, 72.3Defined, 1.1Not permitted, 72.2Objection to, 72.4Permitted, 72.1Pooling arrangement, 72.6Recording and photographic equipment,

restrictions, 72.5

Nonsummary criminal contempt, 71.3,71.6

Nontaxable estate. See Estate tax matters

NoticeAddress unknown, 8.8Administration of intestate estate proceed-

ing, 30.5Heir is foreign citizen, 30.11

Admission of willAfter admission of will, 30.10Beneficiary is foreign citizen, 30.11Proceeding to admit will, 30.6

AdoptionAdult adoption proceedings, 40.13Pre-adoption hearing, 40.10Same sex married couple, 40.12

To attorney of record, 8.2Change of address of party during pen-

dency of matter, 8.3Change of name of spouse, 47.1To charitable interest or beneficiary, 8.2Conservatorship assets used to establish

and fund trust, 33.10Decree, 8.1, 8.10Deposition, 61.3To fiduciaries, 8.2Hearing, 8.1, 8.4How notice is given, 8.5

INDEX

Notice — (Cont)By mail, 8.5

Additional notice for undeliveredreturned notice, 8.8

Mediation, 21.2To military service member, 8.9Orders without notice and hearing, 69.1To parties, 8.2Pre-adoption hearing, 40.10Probate bond hearing, 35.12Psychiatric commitment

Notice of hearing, 44.4Probable cause hearing, 44.3

Psychiatric disability, proceedings for med-ication, 45.4

Public noticeDefined, 1.1Termination of parental rights, 40.9When name or address unknown, 8.8

Record of date and manner, 8.5Referral to probate magistrate or attorney

probate referee, 14.1Removal from the notice list, 8.2Rescheduled hearing or conference, 8.5Sale of real property

Conservatorship, 33.12Decedent’s estate, 30.15Estate of minor, 34.6

Shock therapy, hearing on petition, 45.5Streamline notice procedure, 7.4, 8.6Temporary guardianship for minor, 40.8Termination of parental rights, 40.9Timeliness, 8.5Trust proceedings, 32.2Waiver of notice of hearing, 8.7, 69.1To whom notice is given, 8.2

O

OathAdministration, 63.1Interpreters, 67.3

ObjectionsTo interrogatories, 61.7, 61.9To news media coverage, 72.4To probate magistrate and attorney pro-

bate referee report, 14.5, 14.6To request for production or admission,

61.6, 61.9

Oral communication with judge. See Exparte communication

129

Oral rulings, memorialized in writing, 3.3

Out-of-state attorney appearing pro hacvice, 5.2

Out-of-state child-placing agenciesAs statutory parents for purposes of adop-

tion, 40.11

P

ParentAdoption. See AdoptionCustody of minor, defined, 40.3Guardian ad litem for incompetent parent.

See Guardians ad litemImmediate temporary custody petition,

40.3Order without notice and hearing, 40.4

Minor or incompetent parent, guardian adlitem. See Guardians ad litem

Out-of-state child-placing agency as statu-tory parent for purposes of adoption,40.11

Psychiatric commitment proceeding ofminor, parent’s attendance at, 44.1

Reinstatement as guardian, 40.7Removal of parent

Appointment of guardian on consent,40.6

Competing removal petition, notice ofhearing, 40.6a

Confidentiality of proceedings, 41.3In-court review for possible modification

of order, 40.14News media coverage not permitted,

72.2Transfer of contested petition to Superior

Court, 40.16Temporary custody petition, 40.3Termination of parental rights

Confidentiality of proceedings, 16.2In-court review for possible modification

of order, 40.14News media coverage not permitted,

72.2Public notice when name or location of

parent unknown, 40.9Transfer of contested petition to Superior

Court, 40.16

PartiesAdministrators as, 4.2Change of address, 8.3

INDEX

Parties — (Cont)Conservators as, 4.2Defined, 1.1Executors as, 4.2Fiduciaries as, 4.2Guardians ad litem as, 4.2Guardians for adults with intellectual dis-

ability as, 4.2Guardians for minors as, 4.2Listing on order of notice, effect, 4.1Memorialization of agreement between,

60.1Military service, 7.2Notice to, 8.2Participation in proceedings, 4.1Temporary custodians or guardians as, 4.2Trustees as, 4.2

Payment of fees required before finaldecree, 6.4

Pending lawsuit or complaintAgainst judge, 15.5Overlapping jurisdiction in Superior and

Probate Courts. See JurisdictionSame person or estate involved, 19.1

PersonDefined, 1.1Same person involved in pending matter

in another court, 19.1. See also Pendinglawsuit or complaint

Personal suretyDefined, 1.1When permitted, substitution of corporate

surety, 35.3

Person under conservatorship, defined,1.1

Petitions. See also Filing requirements;specific subject of petitionCommencing a proceeding, 7.2Defined, 1.1Not on court forms, 7.3

Police informants, news media coverageprohibition, 72.4

Pooling arrangement for news media cov-erage, 72.6

Presumptive remainder beneficiary,defined, 1.1

130

Principal and incomeReported combined in account, 38.2Reported separately in account, 38.1, 38.3

Principal and Income Act, 38.3

Prior pending mattersPrior pending matter in Probate Court, 42.2Prior pending matter in Superior Court,

42.1

Private mediation, 21.8

Privileged information in discovery, 61.9

Probable cause hearings. See Psychiatriccommitment proceedings

Probate bondsAction on, 35.12Amount, 35.6

Adjustments, 35.9Cofiduciaries, 35.5Corporate surety, 35.3

Additional probate bond, 35.10Defined, 1.1Filing required before appointment, 35.2Form, 35.4Increase in value of estate, 35.8Personal surety, 35.3Release, 35.11Requirement, 35.1Restricted accounts, 35.7Surety for increase in bond, 35.10

Probate court administratorCitation of judge

To hear disqualification matter, 15.4To replace disqualified judge, 15.4, 15.7

Court-appointed attorneys from panel ofattorneys, 12.2

Defined, 1.1

Probate court officers, 41.2, 41.3

Probate Court RulesApplicability, 2.2Defined, 1.1Liberal interpretation, 2.3Mandatory use in Connecticut Probate

Courts, 2.2Purpose, 2.3Superior Court, rules not applicable to, 2.2Title of rules, 2.1

Probate fees. See Fees and expenses

INDEX

Probate judges. See Judges

Probate magistrates and attorney probatereferees. See also JudgesAppeals, 14.2Audio recording of hearings, 14.2

Transcription, 14.6Hearing before, 14.2Powers, 14.2Referral to, 14.1

Hearing management conference, 60.2Report, 14.3

Amendment, 14.4Continuance or deferral of court action

pending decision, 14.8Hearing, 14.6Issuance of decree, 14.7Objection, 14.5Rejection by court, 14.7

Probate mediation. See Mediation

Pro hac vice, out-of-state attorneysappearing, 5.2

Pro se. See Self-representation

Pseudonym, used to protect confidential-ity of party, 16.3

Psychiatric commitment proceedingsAudio recordings, 44.2Confidentiality, 44.1Court-appointed attorney, 12.2Minors

Notice of hearing, 44.4Parent’s attendance, 44.1Warrant for examination at general hos-

pital, 44.6News media coverage not permitted, 72.2Notice of hearing, 44.4

Review hearings, 44.4Probable cause hearings

Audio recording, 44.2Notice and procedures, 44.3

Voluntary admission of person under con-servatorship, 44.8

Warrant for examination at general hospitalIndividual 16 years or older, 44.5, 44.7Minor under age 16, 44.6

Psychiatric medication and treatment pro-ceedingsAudio recordings of proceedings, 45.2Confidentiality of proceeding, 45.1

131

Psychiatric medication and treatment pro-ceedings — (Cont)Court in which to file petition, 45.3News media coverage not permitted, 72.2Notice of hearing on petition, 45.4Shock therapy, petitions

Audio recording of proceeding, 45.2Confidentiality of proceeding, 45.1Court in which to file petition, 45.5News media coverage not permitted,

72.2Notice of hearing on petition, 45.5

Public access. See also Access to recordsHearings and records, 16.1Motions and orders for closed hearings and

sealed records, 16.9

Public comments by attorneys, 72.7

Public noticeDefined, 1.1Termination of parental rights, when name

or location of parent unknown, 40.9When name or address unknown, 8.8

Purported wills. See also Admission of willto probateCopy of petition and will to parties, 30.7Court to advise petitioner, 30.4Defined, 1.1Family tree, submission, 30.3Notice in proceeding to admit, 30.6

Q

Quarantine orders. See also Tuberculosistreatment, commitmentCourt-appointed attorneys, 12.2

R

Real property. See Sale of real property;Title to property

Recordings, audio. See Audio recordings

Records and filesAccess to. See Access to records; Confi-

dentialityAdoption records, access to, 16.2Clerk’s duties, 3.1Copies, when original mislaid, lost or

destroyed, 3.5Decrees to be in writing, 3.3Fiduciary accounting, records to be main-

tained, 36.13

INDEX

Records and files — (Cont)Lost documents, 3.5Motion to seal record, 16.6

Hearing on motion, 16.7, 16.9Public access to motion, 16.9

Probate court officer files and reports, 41.3Public access to, 16.1Removal from court, authorization of

judge, 3.4Safekeeping, 3.4Sealed records. See Sealed recordsServed papers, 11.1Substitute documents, 3.5Uniform numbering system, 3.2

RedactionName or address in confidential matters,

16.3Social security number, 17.1, 17.3, 17.4

Referral to probate magistrate and attor-ney probate referee, 14.1

Regional Children’s Probate CourtDuties of probate court officer, 41.2Files and reports of probate court officer,

41.3Transfer of children’s matter to, 41.1

RemediesAlternative, 70.1Failure of fiduciary to perform, 71.1

RepresentationAppearance of attorney to be filed, 5.4Change of name or contact information for

law firm, 5.8Fiduciary representing himself or herself,

5.1Legal interns, 5.3Out-of-state attorney appearing pro hac

vice, 5.2Self-representation, 5.1

Appearance not required to be filed, 5.4

Request for admission. See also Dis-coveryObjections to, 61.6, 61.9Permission of court required, 61.1, 61.2Response to, 61.7Scope, 61.6Withdrawal or amendment of admission,

61.6

132

Request for production. See also Dis-coveryObjections to, 61.9Permission of court required, 61.1, 61.2Response to, 61.7Scope, 61.5

Restricted account to hold assets ofestate, 35.7

Rules of evidence, 62.1

Rules of Professional ConductAdvocacy for client, 12.4Public comments by attorneys, 72.7

S

Sale of real propertyConservatorship estate, 33.12

Multiple parcels, sale of, 33.12aDecedent’s estate, 30.15Estate of minor, 34.6

Multiple parcels, sale of, 34.6a

Same sex married couple, adoption by,40.12

Sealed recordsMotions, 16.6

Hearing, 16.7Public access, 16.9

Order, 16.8Public access to order, 16.9Vacating order, 16.10

Social security numbers, to protect confi-dentiality, 17.4

Self-representation, 5.1Appearance not required to be filed, 5.4

Sequestration of witness, 63.2

Servicemembers Civil Relief Act, 7.2

Service of process on court as agent, 11.1

Settlement of claimsIn favor of conservatorship estate, 33.11


In favor of decedent’s estate, 30.14In favor of estate of minor, 34.5


Structured settlement, defined, 1.1

INDEX

Sex offender registry checks for changeof name petitioners, 47.4

Shock therapy, petitionsAudio recording of proceeding, 45.2Confidentiality of proceeding, 45.1Court in which to file petition, 45.5News media coverage not permitted, 72.2Notice, 45.5

Signature requirementsAffidavit of closing, 36.12Electronic signature by judge or clerk, 3.6Fiduciary accounting, 36.4Filing requirements for requests, motions,

petitions, etc., 7.4When attorney may sign, 7.4

Sign language interpreters, 67.1

Small estates procedureConflicting section 4a-16 petition and affi-

davit in lieu of administration, 30.13Probate bond requirement excused, 35.1

Social security numbersDisclosure to state and federal agencies,

17.5Methods for protecting confidentiality,

17.2–17.4Omission, 17.1On original documents, 17.4Redaction, 17.1, 17.3, 17.4

SpouseNotice of change of name of spouse, 47.1Surviving spouse electing against the

will, 38.1

Status conferences, 60.1

Status update, executor or administratorto send copy to parties, 30.12

Statutory parentConfidentiality of proceedings, 16.2News media coverage not permitted, 72.2Out-of-state child-placing agencies for pur-

poses of adoption, 40.11

Stenographers and stenographic recordsHearing management conference, 60.2Stenographic record on agreement of par-

ties, 65.3Without agreement of parties, 65.4

133

Sterilization petitionsConfidentiality of proceeding, 16.2Conservator, 33.18Court-appointed attorney, 12.2Guardian of adult with intellectual disabil-

ity, 43.2News media coverage not permitted, 72.2

Stipulation of facts, 60.2

Streamline notice procedure, 8.6Signature requirement, 7.4

Structured settlement. See also Settle-ment of claimsDefined, 1.1

SubpoenasCapias to compel attendance, 71.2Costs of serving, 61.3For depositions, 61.3Hearing management conference, 60.2Motion to quash, 61.3Summons to testify before court, 61.11

Substitute documents, 3.5

Substitution of corrected document, 7.1

Summary criminal contempt, 71.5

Summons to testify before court, 61.11

Superior CourtOverlapping jurisdiction in Superior andProbate Courts in children’s matters

Custody or guardianship granted to com-missioner of children and families,42.3




Safety and service agreement, 42.5Probate Court Rules not applicable in, 2.2Termination of parental rights, transfer of

contested petition to, 40.16Transfer of matter to, 8.6, 40.16

Sureties. See Corporate sureties

Surviving spouseElecting against the will, 38.1Probate fee calculation, 31.9

INDEX

Surviving spouse — (Cont)Probate fee calculation, 31.9 — (Cont)

T

Taxable estate, defined, 1.1

Taxes. See also Estate tax mattersAccount to include



Financial report to include, 37.1–37.3Probate bond required to assure pay-

ment, 35.1

Telephonic participation in hearing, 66.1

Temporary conservatorAppointment without notice and hearing,

33.3Audio recording of meeting on petition,

33.3Extension of appointment, 33.4

Temporary custody. See also Guardiansof person of minors; ParentCommissioner of children and families

Appointment, 40.17Emergency action, 42.4Safety and service agreement, 42.5

Confidentiality of proceedings, 16.2Criminal background checks, 40.15Custody of minors, 40.3–40.5. See also

Guardians of person of minors;ParentAppointment of temporary custodian on

consent, 40.5Audio recording of meeting on petition

for immediate temporary custody, 40.4Defined, 40.3Order for immediate temporary custody

without notice and hearing, 40.4Petition for immediate temporary cus-

tody, 40.3Protection orders, search of, petition for

immediate temporary custody, 40.4News media coverage not permitted, 72.2Parties, temporary custodians as, 4.2

Temporary guardianshipConfidentiality of proceedings, 16.2Criminal background checks, 40.15Notice, 40.8

134

Temporary guardianship — (Cont)Parties, temporary guardians as, 4.2

Termination of parental rightsConfidentiality of proceedings, 16.2In-court review for possible modification of

order, 40.14Informing parent of rights, 40.20News media coverage not permitted, 72.2Public notice when name or location of par-

ent unknown, 40.9Single petition to terminate parental rights

and approve adoption, 40.19and special immigrant juvenile status

findings, 40.18Temporary custody petition, 40.3Transfer of contested petition to Superior

Court, 40.16

Testate. See also Admission of will toprobateDefined, 1.1

Testate estates. See Admission of will toprobate; Decedents’ estates

TimeCounting time periods, 9.1Extension of time period, 9.2

Title to propertyConservatorship, petition to determine,

33.9, 33.20Estate of minor, petition to determine,

34.13Guardian ad litem without, 13.6

TranscriptsAudio recorded hearings, 65.2Overlapping jurisdiction, communication

about, 42.2Probate magistrate and attorney probate

referee hearings, 14.6Stenographic record on agreement of par-

ties, 65.3Stenographic record without agreement of

parties, 65.4

Transfer of matter between probate courtsChildren’s matter, 8.6, 18.1

Transfer to Regional Children’s ProbateCourt, 8.6, 41.1

Conservatorship matter, 8.6, 18.2Guardianship of adult with intellectual dis-

ability matter, 8.6, 18.1

INDEX

Transfer of matter between probatecourts — (Cont)Initial petition, transfer to court with jurisdic-

tion, 18.3

Transfer to or from other state, 8.6

Transfer to Superior Court, 8.6, 40.16

Trust beneficiary, defined, 1.1

Trust protector, defined, 1.1

TrustsConservatorship assets used to establish

and fund, 33.10Construction, title or cy pres petition con-

cerning, 32.9Definition of fiduciary acquisition value,

36.14Distribution bypassing inoperative trust,

30.18Guardian ad litem in proceedings, 32.3Inventory, financial report and account

Account required instead of financialreport, 36.3

Account requirements, 38Copy to parties, 32.4Final financial report or account

excused, 32.7Financial reports, requirements, 37.2Periodic financial report and account,

32.5Notice of proceeding, 32.2Petition to terminate, copy to parties, 32.4Probate bond requirement excused, 35.1Records to be maintained, 36.13Reimbursement of probate fees to peti-

tioner in trust proceeding, 32.8Streamline notice procedure, 8.6Trustees as parties, 4.2Virtual representation in proceedings, 32.3

Tuberculosis treatment, commitmentConfidentiality of proceeding, 16.2Court-appointed attorneys, 12.2News media coverage not permitted, 72.2

U

Undercover agents, news media coverageprohibition, 72.4

Unduly burdensome requests in discov-ery, 61.9

135

Uniform numbering system for mattersbefore court, 3.2

Uniform Transfers to Minors Act, 34.11

V

Video recording of hearingsNews media coverage, 72Prohibition, 65.5

W

WaiverAdoption by same sex married couple,

waiver of investigation and report, 40.12Challenge to jurisdiction, not waived by

attorney’s filing of appearance, 5.6Change of name of spouse, excuse of

notice, 47.1Conservator’s periodic or final financial

report or account, 33.17Continuance requirements, 10.1Criminal background check, waiver at time

of appointment, 40.15Discovery, failure to comply with request,

61.10Disqualification of judge, 15.6

Confidentiality not waived by disclosureof complaint, 15.5

Time limits, 15.3Guardian ad litem recommending, 13.6Guardian of estate of minor, hearing to

review duties, 34.2Notice of hearing, 8.7, 69.1Probate bond requirement, 35.1Probate fees and expenses, 6.2

Filing fee, 6.1Reimbursement in conservatorship pro-

ceeding, 33.19Reimbursement in trust proceeding, 32.8Reimbursement to petitioner in estate of

minor proceeding, 34.12Request for admission, right to object not

waived, 61.6Sale of real property from decedent’s

estate, waiver of notice of hearing, 30.15Temporary administrator’s inventory and

final financial report or account, 30.22Trustee

Final financial report or account, 32.7Periodic financial report or account, 32.5

Voluntary representation, waiver of noticeof hearing, 33.2

INDEX

Warrants for psychiatric examinationIndividual 16 years or older at general hos-

pital, 44.5, 44.7Minor under age of 16, 44.6

Wills. See also Admission of will to pro-bate; Purported willsDefined, 1.1Election against the will, 38.1Probate bond requirement excused, 35.1

WithdrawalAppearance, 5.7

136

Withdrawal — (Cont)Court-appointed attorneys, 12.6Mediation, 21.4Petition, fees and expenses applicable, 6.3

WitnessesAdministration of oath, 63.1Expert witnesses, disclosure, 60.2Hearing management conference, 60.2Relocated witness, news media coverage

prohibited, 72.4Sequestration, 63.2

the revised Probate Court Rules of Procedure

Documents

Transcript of the revised Probate Court Rules of Procedure