Connecticut Sheriffs System Briefing (2024)

Legislative Program Review and Investigations Committee

Staff Background Briefing
January 25, 2000

Connecticut Sheriffs System
Staff Background Briefing

Introduction

The primary responsibilities of sheriffs in Connecticut are transporting prisoners, providing security at courthouses, and serving legal papers. The sheriffs system is organized geographically according to the lines of the state's eight counties. Overall authority is shared by the elected high sheriff from each county and the Sheriffs' Advisory Board. During the past few years, steps have been taken to standardize a number of policies and administrative operations statewide.

The total General Fund cost of the sheriffs system in state fiscal year 1999 was nearly $25 million. This was used almost exclusively for security and transportation activities. The gross revenue collected by sheriffs in calendar year 1998 was nearly $13 million, almost all of which came from service of process work.

In 1994, the Legislative Program Review and Investigations Committee issued a report on the state sheriffs system. Although changes were made as a result of that report, the overall organizational structure of the system remained the same. In September 1999, the committee voted to update the information contained in its earlier report and evaluate alternative models for the performance of the duties of the sheriffs.

This document, which is divided into four sections, contains detailed background information about the system. The first section contains definitions and describes the roles of the individuals and entities involved in the sheriffs system in Connecticut. The second describes current staffing and budget expenditures for the system. The third section lists the recommendations the program review committee made during its earlier study and describes changes made in the sheriffs system since that report. The fourth section summarizes methods used in other states to carry out the types of functions performed by Connecticut sheriffs.

Appendix A contains a brief history of sheriffs in Connecticut, and Appendix B presents a comparison of the individual counties. Appendix C lists the Connecticut statutes concerning sheriffs, while Appendix D summarizes information about who performs service of process nationwide.

A separate document, titled Options and Staff Recommendations, identifies approaches that could be used in Connecticut for the courthouse security, prisoner transportation, and service of process functions. It also contains information about the estimated cost of each option.

Section I

Roles and Responsibilities

Although county governance no longer exists in Connecticut, under the state constitution sheriffs are still elected on the basis of county lines. Appendix B contains a map showing the boundaries of the eight counties and information about the demographics of each county.

The eight elected sheriffs are responsible for the appointment of personnel and the performance of statutorily specified activities within their respective regions. Several state entities also have roles in the operation of the sheriffs system. They include the Office of the County Sheriff, the Sheriffs' Advisory Board, the Judicial Department, the Department of Correction (DOC), and the Office of the Attorney General. This section of the report describes the roles and responsibilities of each.

Sheriffs

In Connecticut, individuals elected under the state constitution are generally known as high sheriffs. They serve four-year terms and take office on the first day of June after their election.

The constitution does not specify any duties or salary for the elected sheriffs. Instead, all responsibilities of these and other types of sheriffs are enumerated in the statutes. Many of their powers and duties are specified in Chapter 78, but other sections of the statutes also spell out responsibilities, particularly related to the execution of specific types of documents. Appendix C lists more than 150 statutory sections that reference sheriffs. However, the key functions of the sheriffs are:

· receive process, execute it promptly, and make "true" return; [1]

· pay money collected on behalf of a person to that person within 90 days or upon collection of $1,000 whichever occurs first;

· transport male prisoners between courthouses in the county and community correction centers as well as other places of confinement;

· transport adult female prisoners between courthouses in the county and community correction centers (but not Niantic correctional institution);

· maintain custody of prisoners at courthouses within the county; and

· "attend" the supreme, appellate, and superior courts.

Each high sheriff is statutorily authorized to appoint a chief deputy sheriff, a specified number of deputy sheriffs, and an unlimited number of special deputy sheriffs. A brief description of the duties of each is presented below.

Deputy sheriffs. Also known as "paper sheriffs," deputy sheriffs have the same powers as a high sheriff with respect to serving legal process. Each appointee is responsible for his or her own performance, but the high sheriff may become involved if a complaint is made about work that was (or was not) done. With few exceptions, deputy sheriffs are limited to working within the boundaries of the county of the high sheriff who appointed them.

The major types of work performed by deputy sheriffs are service of process, executions against wages, bank accounts, and property, and the collection of delinquent taxes. Service of process includes writs, summonses, subpoenas, evictions, and capias (writs that require taking a person into custody). Deputies receive most of their work directly from law firms, governmental entities, and individuals who need papers served.

The duties of deputy sheriffs require them to divide their time between office activities and work on the road. A considerable amount of record keeping is involved, both before and after a document is served. A number of deputy sheriffs have offices with answering machines, computers, facsimile machines, and photocopiers. Some deputies in the larger counties also employ secretarial help.

Chief deputy sheriff. In each county, the high sheriff selects one deputy sheriff to serve as chief deputy. This person is statutorily authorized to exercise all of the powers and duties of the high sheriff in his or her absence.

Special deputy sheriffs. The individuals who perform courthouse security and prisoner transportation functions are called special deputy sheriffs. The number of people actually performing the job of special deputy sheriff in each county depends on the amount of state funding allocated to the county. This figure is based on the level of court activity. Table I-1 summarizes the number of courthouse locations and courtrooms by county. (Appendix B contains more detailed information about court cases in each county.)

Special deputy sheriffs assigned to prisoner transportation are responsible for moving prisoners between locations safely, securely, and with the proper paperwork. They use vans, carryalls, and automobiles.

In FY 99, sheriffs transported 173,397 prisoners and traveled 867,510 miles. Table I-2 presents county specific data related to prisoner transportation.

Special deputies working in cell blocks are responsible for verifying prisoners are not carrying weapons or other unauthorized items, bringing the correct people up to the courtroom, and ensuring prisoners are properly restrained to prevent injury or escape. They also keep track of the location of the prisoners appearing at the courthouse throughout the day. In most counties, transport staff work in the cell block area when they are not on the road transporting prisoners.

Special deputies assigned to courtroom security perform a wide variety of functions during a single day. Those assigned to a specific courtroom announce the start and close of the session, maintain order in the courtroom while proceedings are underway, guard prisoners to prevent escape or violence, and, if jurors are present, escort them to and from the courtroom. These personnel may also monitor hallways, stairwells, and parking areas. Special deputies assigned to metal detectors must assess the level of risk each person passing through the detector represents and be able to recognize and safely confiscate camouflaged weapons as well as everyday objects that could be used as weapons.

Conditions of holding office. Each high sheriff must execute a $10,000 bond payable to the state, conditioned on faithful discharge of the duties of the office. High sheriffs and deputy sheriffs collecting tax warrants for the state or a municipality must execute a $100,000 bond. In addition, sheriffs must carry personal liability insurance for damages caused during the performance of their official duties -- $100,000 for damages to one person and $300,000 to more than one person.

The state constitution (Article Fourth, Sec. 25) specifies sheriffs "shall be removable by the general assembly." If a sheriff dies, resigns, or is removed from office by the General Assembly, the governor may fill the vacancy until such time as the General Assembly fills it.

Under C.G.S. Sec. 6-36, the General Assembly must remove from office any high sheriff who: "(1) knowingly demands or receives illegal fees for serving process, (2) illegally detains any money collected by him or (3) refuses to satisfy an execution issued against him." C.G.S. Sec. 6-46 requires the Superior Court in the county where the high sheriff holds office "on the information of the state's attorney," to remove from office any high sheriff who "demands or receives any compensation from any deputy." Such person is disqualified from ever holding the office of high sheriff again.

Compensation. Each high sheriff receives an annual salary for the performance of all duties required by law, except service of civil process. There are two statutorily specified salary levels, depending on the size of the county. High sheriffs are considered to be on duty 24 hours a day. The state pays the sheriffs a pro rated portion of their annual salary every two weeks. They also receive health insurance benefits and participate in the state retirement system like other state employees. In addition, the state provides each high sheriff with an automobile.

Each chief deputy sheriff receives a statutory salary and the same health and retirement benefits as the high sheriff. Chief deputies are also eligible to receive per diems for court security duties on the days they are present at a courthouse. They also can earn service of process fees.

Table I-3 lists the current statutory salaries of the high sheriffs and chief deputy sheriffs. These rates have been in effect since 1987.

Deputy sheriffs are paid on a fee basis for the work they do. These fees are specified in statute and vary with the function involved. In many cases, the fee is a specified amount. However, in situations involving the recovery of assets, the fee is usually a percentage of the amount recovered. Service of process work, executions, and the collection of delinquent taxes by a high sheriff or chief deputy sheriff are paid at the same rate as that paid to any deputy sheriff. (See Appendix C for a detailed list of the statutory fees.)

High sheriffs and chief deputy sheriffs are required to file an "Annual Statement of Income" with the State Ethics Commission by May 1 of each year for the previous calendar year. The report details their income as a sheriff by type of work (e.g., court attendance, service of process, tax collections, etc.).

Special deputy sheriffs receive a per diem payment for each day they work, based on statutorily specified rates. The amount ranges from $110 to $140 per day, depending on the task performed. Table I-4 lists the rates for each task.

Special deputy sheriffs are covered by social security and the state retirement system, can purchase health insurance through payroll deductions (but with no state contribution), and may participate in the dependant care program. They are not eligible for holiday pay, and they do not receive paid vacation or sick days.

Sheriffs' Advisory Board

Under C.G.S. Sec. 6-32a, the Sheriffs' Advisory Board is responsible for administering "a prisoner transportation and courthouse security system." Although the board was created in 1980, most of its present duties were added during the 1990s. The board is currently required to:

· establish minimum qualifications for courthouse security personnel and develop a standardized test for applicants;

· establish training programs for deputy and special deputy sheriffs;

· establish operating procedures for the transportation and courthouse security system;

· maintain records of all prisoner transportation movements;

· develop a reference manual for deputy sheriffs; and

· receive and allocate appropriations for operation of the transportation and courthouse security system.

The board, which is assigned to the Office of the Comptroller for administrative purposes only, has five-members. The chairman and vice-chairman are high sheriffs, selected by the eight high sheriffs in a manner they choose. The other members are the commissioner of correction, the chief court administrator, and the comptroller. Each member must designate an alternate.

There are no specified meeting requirements for the Sheriffs' Advisory Board. The number of meetings per year has varied since the creation of the board. In the early 1980s, the board usually met two to five times per year. From 1990 through 1993, the board only met a total of six times. During the past few years, the board has met approximately every two months. Based on the minutes from the 1998 and 1999 meetings, the most common topics discussed during that period were training-related issues, budget and staffing levels, and activities related to recommendations made by the state auditors.

Although there was only one meeting during the past two years when the board did not have a quorum, attendance at the 11 meetings was mixed. Both high sheriffs attended all but one meeting. The official Department of Correction representative was at all but two meetings, while the Judicial Department representative attended two-thirds of the meetings. The official designee of the comptroller was at five of the 11 meetings. Other high sheriffs, chief deputy sheriffs, and employees of the entities represented on the board also attended meetings.

Office of the County Sheriffs. The entity that handles day-to-day administrative tasks for the sheriffs system, including payroll, purchasing, and training coordination for the prisoner transportation and courthouse security system is called the Office of the County Sheriffs. It has no statutory basis and is not directly attached to any other state agency. However, the nine employees in the central office serve as the staff to the Sheriffs' Advisory Board. Another eight employees are assigned to the individual counties, generally one per county. They work under the supervision of the high sheriff in that county. All of the individuals employed by the Office of the County Sheriffs are General Fund employees in state classified service.

Council of High Sheriffs. Another entity involved in the sheriffs system is the Council of High Sheriffs. This informal group, established in 1997, is composed of the eight high sheriffs. (Chief deputy sheriffs and special deputies who supervise court operations may also attend meetings.) The council meets monthly, and it is the entity currently establishing statewide operational policies for use by all of the high sheriffs.

Although the council currently has no by-laws, most policies are established by mutual agreement. If consensus cannot be reached, decisions are based on majority rule. Personnel from the Office of the County Sheriffs central office provide staff support to the council.

Judicial Department

Under the current system, responsibility for court security is divided between the Judicial Department and the sheriffs. Under C.G.S. Sec. 51-9, the chief court administrator of the Judicial Department is responsible for supervising the care and control of all property where the department is the primary occupant. The sheriffs provide personnel to perform security tasks.

Judicial Department employees are involved in decisions about the location, design, and remodeling of buildings as well as the maintenance, cleaning, and security of courthouse facilities. The department pays for equipment and structural changes to improve the security of the courthouses from its budget.

In 1988, the Judicial Department established a task force to review its security needs. One result was development of a security manual, completed in June 1989 and updated in 1995.

Each of the 13 judicial districts has a security committee. Each committee includes the administrative judge for the district, the trial court administrator for the district, supervisors from the various units located within the courthouses in the district (such as the state's attorney's office, the public defender's office, the clerk's office, and the maintenance unit), a representative of the high sheriff's office, a lawyer from the area, and a representative from the nearest state police troop. The committees meet as needed to discuss security issues in their respective districts.

On an ongoing basis, presiding judges may discuss courtroom staffing needs with the sheriff's office. The security manual contains suggested minimum staffing levels for special deputy sheriffs. However, the actual number of special deputy sheriffs assigned to a specific location is determined by the high sheriff based on court activity and the funding available for staff countywide.

The Judicial Department also has a Statewide Security Committee. There are seven members: a judge, the chief state's attorney, the chief public defender, the director of administrative services for the court, the director of court operations, the director of court facilities, and the high sheriff who is chairperson of the Sheriffs' Advisory Board. The group meets three times a year to discuss security issues of statewide concern.

Department of Correction

The commissioner of correction is one of the three original members of the Sheriffs' Advisory Board. Sheriffs interact regularly with the Department of Correction because most pre-trial prisoners are held at DOC centers while awaiting trial. In addition, sentenced offenders are turned over to the custody of the department to serve their sentence.

Most people transported by special deputy sheriffs are picked up at and/or returned to Department of Correction facilities. The locations of facilities used by DOC to house pre-trial prisoners within a particular county and the specific procedures used to transfer custody of prisoners between the sheriffs and DOC personnel affect the workload of the sheriffs system. Special deputy sheriffs also work with correctional officers when they bring incarcerated prisoners directly to courthouses for appearances.

Office of the Comptroller

The role of the Office of the Comptroller is limited with respect to the operations of the sheriffs. The Sheriffs' Advisory Board was placed under the comptroller for administrative purposes in 1989. Since then, there has been little contact between staff in the comptroller's office and staff for the county sheriffs, although the comptroller is a member of the Sheriffs' advisory board.

Office of the Attorney General

The Office of the Attorney General has contact with the sheriffs system in two ways. In a role similar to that provided to other state agencies, the office may represent the sheriffs in various legal proceedings. C.G.S. Sec. 3-125 specifically requires the attorney general to appear for the high sheriffs and chief deputy sheriffs in certain civil matters. The office also may need to use sheriffs for service of process work.

Department of Administrative Services

The primary interaction between the sheriffs system and the Department of Administrative Services (DAS) involves the testing process for special deputy sheriffs. DAS gives the exam, scores the answers, and reports the results to the applicants and the sheriffs.

Section II

Fiscal and Staffing Information

The primary source of funding for sheriffs' activities related to administration, court security, and prisoner transportation is the state General Fund. It provides money for the salaries of high sheriffs, chief deputy sheriffs, and administrative staff. It also pays all per diems for special deputy sheriffs. In FY 99, expenditures totaled $24.6 million for approximately 800 full-time equivalent personnel.

Money for the work of deputy sheriffs is paid in the form of fees by those who request or are the recipients of the work. Last year 245 deputy sheriffs reported $12.8 million in gross income.

General Funds

The budget appropriated to the Office of the County Sheriffs is based on data obtained from the eight high sheriffs and the Judicial Department. Information about the addition of new facilities or renovations to existing courthouses is an important factor in developing staffing requirements.

The Office of the County Sheriffs uses the same budget forms and follows the same process as any other state agency. Permanent full-time central office staff prepares all budget documents, the chairperson of the Sheriffs' Advisory Board signs the actual request, and copies of the document are given to the other members of the board. The budget request is submitted to the Office of Policy and Management (OPM); the Appropriations Committee reviews the governor's recommendation. The actual appropriation is contained in the budget adopted by the full legislature.

The sheriffs' budget lists expenditures for courthouse security, prisoner transportation, and support services, but it does not break out spending by county. Table II-1 shows statewide fiscal information from state FY 94 through FY 01. During the period from FY 94 through FY 99, the last year for which actual expenditures are available, the budget increased 40 percent. [2]

As is the case for most state agencies, payments for fringe benefits such as health insurance and pensions are made by the comptroller's office out of its budget. In addition, the state's share of social security payments, unemployment insurance, and workers compensation for both General Fund employees and special deputy sheriffs are paid by the comptroller.

The breakdown of the funds and staff for each county occurs after the Office of the County Sheriffs receives its allocation for the new fiscal year. A spending plan is prepared using equal staffing levels throughout the year, but allocations are made bi-weekly. Actual expenditures are tracked after each payroll, and office staff follow-up on spending that is above or below the allocation. New initiatives are also monitored.

Based on the money available, each high sheriff decides how many special deputies can be used on a given day. Staffing levels can change during the year in response to the requirements at the various courthouses. Each county is limited to a specified number of supervisory positions payable at the supervisor's per diem rate. (Deputy sheriffs do not receive money from the Office of the County Sheriffs budget unless they perform security or prisoner transportation functions at a courthouse.)

Funds for supplies and equipment are handled through the central office. Each county is budgeted a certain amount each year, but there is flexibility to shift funds between counties if a need arises. Funds for items such as "motor vehicle repairs" and "rentals" (vans obtained from the state central fleet when assigned vehicles are in for repairs) are managed centrally.

Table II-2 shows state FY 99 expenditures for personnel, training, and other expenses for the individual counties as well as the central office. Expenditures for Hartford and New Haven counties are higher because each operates a 24-hour per day, seven day per week, lock-up facility.

Staffing By County

Including the high sheriffs, the chief deputy sheriffs, the central office staff, and the administrative staff assigned to each county, there were 41 permanent positions assigned to the sheriffs system in the FY 00 budget. As of December 1999, eight positions were vacant, including two added for FY 00.

Thirteen positions are assigned to the central office located in Hartford, including four of the vacant positions. Each county also has at least one person assigned to a courthouse to handle administrative work for the high sheriff. In New Haven, two people currently work at courthouses. Two of the new positions are designated to provide an additional person in Hartford and Fairfield counties. New London county is also authorized for two positions, but both have been vacant for some time.

Table II-3 lists the number of people holding appointments as deputy and special deputy sheriffs in each county. The number of special deputy sheriffs actually working on a typical day (shown in column four) is lower than the number listed in column three because some appointees only work a few days per week or an as needed basis.

Deputy Sheriff Income

The major categories of income for sheriffs authorized to serve papers are: statutory salaries, which only apply to high sheriffs and chief deputy sheriffs; per diem fees for security work at courthouses, which only the chief deputy sheriffs and a few deputy sheriffs earn; fees from service of process; wage, bank, and property executions; and collection of delinquent taxes. Table II-4 lists the number of people reporting income from each source as well as the range and median earnings for each category. [3]

The primary factors affecting income are the specific types of work performed, the volume of work done, and the costs incurred to perform the work. During calendar year 1998, the high sheriffs and deputy sheriffs reported a total of $12.8 million in gross revenue from all sources for their work as sheriffs. Total net income (gross income minus reported expenses) of $7.5 million was reported.

Sixteen percent of those who filed reports with the State Ethics Commission grossed less than $10,000; 13 percent grossed more than $100,000. The gross income of the 245 sheriffs reporting earnings for 1998 ranged from $100 to $337,385 with a median of $41,115. The gross income (including statutory salary) reported by the eight individuals holding office as high sheriffs in 1998 ranged from $39,061 to $125,935.

Information about expenses related to the performance of a person's official duties as a sheriff must also be reported. According to the instructions on the reporting form, the figure is supposed to include "proportionate amounts" for employee expenses, office expenses, and transportation expenses. Actual expenses listed in the calendar year 1998 reports ranged from $0 to $140,088; the median was $14,092. Net income ranged from a loss of $3,945 to a profit of $205,758. Median net income statewide was $22,831.

Six percent of the sheriffs filing reports had net losses, while the top 6 percent had net earnings of more than $80,000 each. Almost three-quarters (71 percent) had net incomes below $40,000.

Expenses reported by the eight high sheriffs ranged from $1,963 to $49,505. Net income reported by the eight individuals who were high sheriffs in 1998 ranged from $37,098 to $76,430.

The amount of money earned by deputy sheriffs varied considerably within and among the eight counties. Table II-5 shows the range of gross earnings and the range of expenses reported by those filing reports from each county. The table also indicates the median annual gross income and the median net income in each county and statewide.

Section III

Changes Since 1994 Report

The recommendations in the program review committee's February 1994 report (Connecticut Sheriffs System) focused on ensuring the sheriffs system remained responsive to the needs of the state. The report contained 12 recommendations dealing primarily with:

· the process for terminating deputy and special deputy sheriffs;

· the need for minimum hiring standards and training for courthouse security and prisoner transportation personnel; and

· the fees for and timeliness of the collection of money by deputy sheriffs on behalf of others.

All of the recommendations from the report were included in HB 5559, "An Act Concerning Sheriffs." The language in the bill was changed after the committee's March 1994 public hearing.

The substitute bill voted out by the program review committee would have transferred responsibility for courthouse security and prisoner transportation from the high sheriffs to a new Division of Protective Services in the Department of Public Safety. The bill also would have prohibited high sheriffs and candidates for that office from soliciting campaign contributions from deputy sheriffs. An amendment to establish a registration system allowing individuals to perform service of process work failed on a voice vote.

Substitute HB 5559 subsequently died in the Judiciary Committee. However, seven of the original program review committee recommendations were adopted in part or whole as an amendment to Public Act 94-177 (sHB 5433, "An Act Concerning the Lockup at the Lafayette Street Courthouse"). Table III-1 summarizes the original recommendations contained in the program review committee report and the disposition of each.

Qualifications for Special Deputies

In 1995, in response to Public Act 94-177, a job description for special deputy sheriffs was developed with assistance from the Department of Administrative Services. Appointees must be 18 years of age and a high school graduate or have passed the General Educational Development (GED) exam. They also have to possess the "knowledge and skills necessary to enable candidates to successfully complete the Agency's training program and then carry out assigned duties." In addition, they may be required to possess and retain a Connecticut motor vehicle operator's license.

Figure III-1 summarizes the process currently used to screen applicants. It involves the high sheriffs, the Office of the County Sheriffs, and DAS.

Individuals interested in working as special deputy sheriffs submit an application directly to the high sheriff in the county where they would like to work. Each high sheriff sends the applications of the individuals he or she has selected as candidates for appointment to the Office of the County Sheriff, which forwards the names to DAS.

These individuals then take a written test, administered by DAS. The exam, which is given about once a month, assesses general skills considered relevant to success at the sheriffs training academy and on-the-job. It includes sections testing observational abilities, logic, reading comprehension, and personal interests. DAS compiles a list of those who passed the test and sends this to the Office of the County Sheriffs.

Individuals from the list are selected by the high sheriffs for conditional appointments. They must pass physical fitness tests and a medical exam, which includes a drug screen. In addition, the appointing high sheriff is responsible for having a background check done, which includes information about the person's criminal history. Then, the person must successfully complete the Special Deputy Sheriff Recruit Training Academy.

Since June 1997, all special deputies have been required to perform their duties in accordance with the Office of the County Sheriffs' Ethics Statement and Code of Conduct. Upon successful completion of the recruit academy, new special deputy sheriffs must acknowledge in writing their receipt of the Ethics Statement and Code of Conduct.

Training academy. The training program for special deputy sheriff recruits has grown in length as well as the number of topics covered. The first session sponsored at the state level for recruits was held in January of 1996. It lasted 10 days and covered 17 areas of study. The three sessions held since May 1999 have lasted 21 days and had 37 courses. The cost for recruit salaries and equipment averages $2,675 per attendee.

Courses range from one hour to 15 hours in length; most last less than four hours. General categories covered by the courses include physical health and safety, operation of equipment, security procedures, roles of various parties involved with the court, relevant laws, and workplace rules. The courses lasting four hours or longer are:

· Cardiopulmonary Resuscitation -- 15 hours;

· Handcuffing -- 15 hours;

· Management of Aggressive Behavior -- 15 hours;

· Oleoresin Capsicum Aerosol Training -- 11 hours;

· Bloodborne Pathogens -- 7.5 hours;

· Drug Awareness -- 4 hours;

· First Aid -- 4 hours;

· Laws of Arrest -- 4 hours; and

· Security Risk Groups -- 4 hours.

Recruits are required to observe certain rules of conduct during the training, and they must pass both written and practical exams. Their performance is evaluated twice during the academy in addition to a final evaluation at the end of the program.

Upon successful completion of the academy, appointees receive on-the-job training. During this phase, they work directly with other special deputies and gain practical experience performing the full range of duties they may be assigned. The training staff in the Office of the County Sheriffs and the training coordinators for each county have developed a recommended Field Training Program. It calls for new employees to receive at least three days each of supervised training in the areas of bailiff, metal detector, hallway security, lock-up, and transport. The number of field training days actually received and the timeliness of exposure to the full range of positions will vary by county.

Continuing education opportunities are also required of special deputy sheriffs. Courses are offered annually in areas they are required to maintain certification in such as CPR or weapons (e.g., capstun and PR-24 batons). Also, during the summer of 1999, all supervisory personnel attended a five-day session on leadership development conducted by the Office of the County Sheriffs.

Potential future changes. The Council of High Sheriffs has been discussing several changes in the system of appointing special deputy sheriffs. Implementation is targeted for early 2000. The first change would eliminate anyone who has a felony conviction from being considered for the position, although the requirement would not apply to existing appointees. [4]

The second change would open up recruitment and allow anyone who met the general qualifications of the job to sit for the written exam. The details of the new process are still being worked out. Most likely, individuals would apply directly to DAS, which would screen applicants for eligibility. Based on the results of the written exam, the high sheriffs would select individuals for vacancies they have. The Office of the County Sheriffs would take over responsibility for conducting background checks; it would also conduct education and employment checks.

Rank Structure

In the past, each high sheriff determined the organizational structure and the number of layers in the chain of command used in his or her county. In June 1999, the high sheriffs adopted a single rank structure and supervisory duty specifications for use in all of the counties. Under that plan, individuals could be designated majors, captains, lieutenants, and sergeants. The latter rank was to be used in a few of the counties, where sergeants would act as "lead persons" (rather than supervisors) and would fill in if a lieutenant was absent.

In August 1999, the system had to be modified to reflect the clearer separation between rank and file employees and managers needed to implement the impending collective bargaining process. As a result, only majors and captains were deemed management, and thus excluded from the new bargaining unit.

Individuals holding the title of captain within a county at the time of the change were offered the choice of giving up their rank and becoming a senior lieutenant in order to stay within the bargaining unit; most chose to retain the higher rank. At the end of 1999, the structure was being re-examined to determine what adjustments and reassignments might be needed to accommodate the exclusion of lieutenants as managers.

Performance appraisals. In May 1998, the Council of High Sheriffs adopted a systemwide policy requiring annual performance appraisals for all special deputy sheriffs who have been employed for at least six months. The same form is used in all of the counties. It includes an evaluation of the appointee in seven areas -- knowledge of work, quality of work, ability to learn new duties, initiative, cooperation, judgment, and attendance. There are five possible ratings -- three categories of "Good" and two categories of "Less Than Good."

New appointees are rated twice -- first, after three months, and then at least two weeks before the end of the six-month working test period. Their evaluation form uses a different rating scale (Above Average, Average, and Below Average) and covers additional elements of performance.

Discipline. In June 1999, the high sheriffs formalized a statewide process to consistently deal with special deputies accused of violating the Code of Conduct. The system involves an investigation of alleged violations that are reported. It includes interviews with witnesses and the person who is the subject of the allegation.

In situations that may lead to the termination of a deputy or special deputy sheriff for "just cause," an evidentiary hearing would be held. (This action is based on verbal advice from the Office of the Attorney General because of the reference in C.G.S. Sections 6-43 and 6-45 to "due notice and hearing" before removal.) Staff from the Office of the County Sheriffs handle most of the investigatory component of the discipline process for the high sheriffs.

Deputy Sheriffs

When the program review committee conducted its earlier study, there were considerable differences among the counties in the ways deputy sheriffs were selected and trained and in the rules they were required to follow. Today, the requirements placed on deputy sheriffs by the individual high sheriffs are more uniform, although differences do still exist.

All follow the statutory requirement of citizenship and the exclusion of justices of the peace and judges (except probate judges). One expressed a preference for law enforcement, military, or business backgrounds, while several merely require appointees to avoid other employment that could conflict with their duties as a deputy sheriff.

The statutorily required statewide reference manual for deputy sheriffs was published in the spring of 1999. Individuals appointed after the current sheriffs took office in June 1999 were required to attend a centralized two-week program of training. The program was taped, and portions of it may be used to train newly appointed deputies in the future. Other efforts currently underway to create more consistency include development of a code of conduct for deputy sheriffs (similar to that used for special deputy sheriffs).

Table III-2 summarizes additional training requirements for deputy sheriffs by county. It also describes the process for handling complaints and the methods used by the high sheriffs to distribute legal process received by their office.

At the time of the 1994 report, deputy sheriffs in four counties were required to submit their annual Ethics Commission filing to the high sheriff, who then transmitted the document to the commission. In two other counties, a copy of the report had to be given to the high sheriff. Today, three high sheriffs require submission of a copy of the report.

Affirmative Action

When the program review committee conducted its earlier study, there were 692 individuals holding appointments as special deputy sheriffs. In August 1993, 88 percent were male and 12 percent were female. Three-quarters of the males were White, 9 percent were Black, 5 percent were Hispanic, and less than 1 percent were Asian or Native American. All but 4 percent of the females were White -- 2 percent were Black, and 2 percent were Hispanic.

In October 1999, there were 969 appointees, of whom 17 percent were female. A detailed breakdown of racial and gender data for each county is presented in Table III-3.

In August 1993, statewide 238 individuals held appointments as deputy sheriffs. (This was 77 percent of the statutorily allowed limit.) Twenty (8 percent) of these deputies were female; 14 (6 percent) were Black or Hispanic. Two counties had no female deputies. Half of the counties had no Black or Hispanic deputies, while no county had any Asian or Native American deputies.

As of November 1, 1999, there were 251 deputy sheriffs statewide. (This represented 79 percent of the increased statutory limits.) Eighteen (7 percent) were female; 16 (6 percent) were Black or Hispanic. One county had no female deputies, while three counties had no Black or Hispanic deputies. There are still no Asian or Native American deputies. Table III-4 presents detailed information about deputy sheriffs by county.

Staffing and Expenditure Trends

Generally, less than 85 percent of those holding appointments as special deputy sheriffs are actually working on a given day. As shown in Figure III-2, the number of appointees and FTE workers have both increased 40 percent since 1993. As detailed in Section II, the number of FTE staff working in November 1999 was 791, while the number of people holding appointments was 969. In 1993, the numbers were 565 and 692 respectively.

Since FY 93, the number of central office staff has grown from six to nine, with an additional four positions vacant. During this period, the cost of the central office staff increased 31 percent (from $246,000 to $568,000).

From FY 94 to FY 99, annual expenditures for the sheriffs system increased from $17.6 million to $24.6 million. The appropriation for the current fiscal year is $27 million. This represents a 53 percent increase in six years.

Employee benefits. In 1996, special deputy sheriffs were given the right to participate in the state's group health plan, but at their own expense. In 1997, they were deemed eligible for group life insurance. Since July 1, 1999, special deputy sheriffs have been subject to the provisions of Chapters 66 through 68 of the statutes (i.e., the State Employees Retirement Act, the State Personnel Act, and Collective Bargaining for State Employees). As a consequence of the latter, they were eligible to petition the State Labor Board to form a bargaining unit.

In October 1999, the International Brotherhood of Police Officers was selected to represent the special deputies. Negotiation of a contract with the state is expected to begin in 2000. The Office of Labor Relations within OPM will represent the state. As a result, the pay plan and benefits package for special deputies are likely to change in the future.

Other Changes

The scope of the court facilities served by sheriffs has expanded since the 1994 study. At that time, the sheriffs system provided staff to 51 court sites with 199 courtrooms in 26 towns. Today, sheriffs work at 52 locations with 253 courtrooms in 25 towns. Statewide, the number of trials has increased from 14,316 in FY 92 to 18,635 in FY 98.

The workload of the sheriffs in the prisoner transportation area has increased as a result of a change implemented by the high sheriffs. Special deputy sheriffs in seven counties regularly pick up prisoners from local police departments and a number of state police barracks, in addition to the prisoners picked up from correctional centers.

Policies on firearms are more restrictive today than in 1994. At that time, under certain circ*mstances firearms could be secured in locked areas at entrances to courthouses. In addition, high sheriffs in two counties allowed transport personnel to carry guns. In September 1999, the current high sheriffs adopted a statewide policy on the possession and storage of firearms. This policy, also adopted by the Sheriffs' Advisory Board in December 1999, prohibits all sheriffs from possessing or using a firearm while engaged in prisoner transportation or courthouse security functions. In addition, firearms cannot be stored at any courthouse or on any premises under the supervision of the Judicial Branch, including parking lots.

Section IV

Other Approaches

The roles and responsibilities of sheriffs in Connecticut differ from their counterparts in many other states because of the absence of county government here. In order to understand these differences, this section contains information about the operations of sheriffs' departments in other states. It also contains information about alternative mechanisms used to perform the functions currently provided by sheriffs in Connecticut.

Sheriffs' Departments

Sheriffs exist in every state except Alaska. In 47 states, sheriffs are elected. In Hawaii, the chief justice appoints the sheriffs, while in Rhode Island, the governor appoints sheriffs for each county. Sheriffs have criminal law enforcement responsibilities in most states.

The U.S. Department of Justice recently issued the results of its fourth survey of sheriffs departments throughout the country. [5] The results do not identify specific jurisdictions, but some of the data are grouped into categories such as staff size or population of the community served.

The preliminary data from the 1997 survey indicated the sheriffs' departments that responded to the survey employed approximately 263,000 workers full time. About two-thirds of these employees were sworn personnel. Nineteen percent of the latter were racial and ethnic minorities.

Nearly all of the sheriffs' departments surveyed had law enforcement responsibilities. Ninety-eight percent performed routine patrol services, 91 percent investigated crimes, 85 percent had drug enforcement responsibilities, and 84 percent enforced traffic laws.

Nearly all of the departments also performed some court-related functions. Overall, 98 percent served civil process, and 95 percent performed court security duties. Eighty percent of the sheriffs' departments operated a jail.

In 1997, 11 percent of the sheriffs' departments required applicants to have completed at least some college course work, while 1 percent required a four-year degree and 7 percent a two-year degree. Other screening procedures used by more than 90 percent of the departments were criminal record checks, background investigations, and medical exams. Three-quarters also required psychological exams, and 59 percent used physical agility tests. The classroom and field work requirement for new deputies averaged 900 hours combined. Three-quarters of the departments also had in-service training requirements, with an annual median of 20 hours.

Starting salaries ranged from $19,400 to $30,200; the national average was $26,000. Nearly half of the departments authorized collective bargaining.

In the full report on the 1993 survey, only 10 percent of the full-time officers working for sheriffs' departments with 100 or more sworn personnel had courtroom functions. Only 6 percent of the departments operated lock-up facilities with limited holding times.

In December 1996, the Connecticut Office of Legislative Research prepared a report describing some of the characteristics of the operations of the sheriffs' departments in the other five New England states. Table IV-1 summarizes that information.

In comparing the activities of sheriffs in other states with those in Connecticut, it is important to note a key difference. Most sheriffs departments are operated by county governments. Although the Connecticut sheriffs system is still set up along county lines, the county government structure was abolished in 1960. Even before that, the system here differed from the ones in other states. In a history of the Connecticut county system, Rosaline Levenson noted:

… when the first counties were established [in Connecticut], the areas to be serviced had already been divided into towns. This was in contrast to states elsewhere in the nation, where counties were originally formed to serve unincorporated areas far from centers of population and a distance from state capitals.

In other words, the Connecticut towns, regardless of size or population, from colonial times on were performing functions which generally are handled by counties elsewhere in the nation. [6]

United States Marshals

Court security in the federal judicial system is the responsibility of the United States Marshals Service. Deputy marshals transport prisoners, provide courtroom security, and oversee security inside federal courthouses. They also handle fugitive investigations, protect federal witnesses, and oversee asset seizures.

In order to qualify as a deputy U.S. marshal, a person must:

· be a U.S. citizen between 21 and 37 years of age;

· be in excellent physical condition;

· have a bachelor's degree or three years of responsible experience;

· pass a written test and complete an oral interview; and

· permit a background investigation.

Individuals selected for the service must complete a 16-week basic training program, followed by specialized training. These positions are federal civil service jobs.

The marshals service also uses private firms and contracted individuals to provide additional security personnel for federal buildings and courthouses. Deputy marshals perform service of process for federal cases, but mail service may also be used.

Others Transporting Prisoners

As mentioned above, most sheriffs departments operate jails, and they are responsible for bringing individuals held there to court. They also may bring inmates from state facilities to court. However, the agencies that run state correctional institutions also transport at least some of their inmates to court. In 1996, The National Journal for Corrections published the results of a survey on the transportation of prisoners to a variety of destinations. Nearly three-quarters of the 40 U.S. systems responding to the survey indicated they transport inmates to court. Ten respondents brought fewer than 100 inmates a year to court, 13 brought between 100 and 500 inmates, and five brought between 800 and 3,000 inmates. Maryland brought 24,500 inmates to court. (Connecticut did not respond to the survey.) [7]

Others Performing Service of Process

All states allow someone other than a sheriff to serve process in at least some situations. In Connecticut, the parties statutorily authorized to deliver specific documents or collect funds include constables, borough bailiffs, local and state police officers, employees of the state collection agency, investigators employed by Department of Social Services or Department of Administrative Services, and support services investigators of the Superior Court.

In many states, any person of legal age who is not a party to a specific case can serve civil papers. However, there may be restrictions on receipt of a fee for this activity or on the volume of activity performed within a one-year period. (For example, California requires anyone who serves 10 or more services of process in one year for compensation to register with a county clerk.)

A few states have established formal programs for individuals wishing to serve process for a fee. Nevada and Oklahoma both issue "licenses," but the system in the latter state is closer to registration. Arizona, California, and Washington all have registration programs, where individuals wishing to serve process must meet certain criteria and register with the county court. New York City also requires process servers to be licensed, but exempts attorneys admitted to practice in the state. Table IV-2 summarizes information about the programs in those six localities.

In most of the rest of the country, judges and courts can designate individuals to serve process. This can be done for a particular case, or a person may be granted the right to serve papers for a particular period of time. Appendix D summarizes who is eligible to serve process in each of the 50 states and the District of Columbia.

In addition to personal service of process, two other methods may be used to execute some types of service of process. They are the U.S. mail and publication in a newspaper. Depending on the state, notices and other documents may be sent via first class, certified, or registered mail. Return receipt with delivery restricted to the addressee may be required.

APPENDIX A

History of Sheriffs in Connecticut

Sheriffs date back to the 1600s in Connecticut. The Code of 1650 of the General Court of Connecticut allowed "the marshall" to collect fees for the service of executions and attachments and fines for breaches of law. In 1698, marshals became "sheriffs."

In 1722, sheriffs were given the duty of conserving the peace and could command people to help them. Two years later, each sheriff became responsible for the jail in his county, with the right to appoint people as "keepers." In 1766, limits were placed on the number of deputies a high sheriff could appoint, although on special occasions other people could be used as well.

Until the early 1800s, sheriffs were appointed, jointly or solely by the governor and the General Assembly, depending on the year. A constitutional amendment adopted in October 1838 established elections as the process for selecting high sheriffs.

The current role of the high sheriff has evolved from the abolition of county government in 1960. The state took over jurisdiction of the jails, but sheriffs continued to operate the facilities under the direction of the state jail administrator. In 1967, legislation changed the jails into community correctional centers under the Department of Correction. The sheriffs no longer had around-the-clock responsibility for prisoners. [8]

In 1980, a three-member Sheriffs' Advisory Board was established with responsibility for administering a prisoner transportation and courthouse security system. The board was not given any jurisdiction over deputy sheriffs who serve process, and the eight county high sheriffs continued as independently elected officials.

The same legislation created "court security officers" to operate the prisoner transportation and courthouse security system under the jurisdiction of the advisory board. The high sheriffs were to appoint these workers from lists of people certified as qualified for the position by the Department of Administrative Services (DAS). Appointees had to meet qualifications specified in regulations adopted by DAS and successfully complete 80 hours of training. No court security officer could also serve as a deputy sheriff.

Only about 30 court security officers were ever hired. In 1984, the position was eliminated. People employed on July 1, 1984, continued as appointees, but with the title "special deputy sheriff," which had no specified job requirements.

In 1989, the membership of the Sheriffs' Advisory Board was increased to five. In 1991, the board was directed to establish minimum qualifications and testing procedures for courthouse security personnel, and in 1994, it was given responsibility for the establishment of training programs for deputy and special deputy sheriffs.

APPENDIX B

Characteristics of the Counties

There are eight counties in Connecticut. The towns in each are specified in C.G.S. Sec. 6-1. The boundaries, which have been the same since 1785, are shown in Figure I-1. Although county governance no longer exists, sheriffs are still elected on the basis of the county lines.

Table B-1 contains information about characteristics of the counties related to the work performed by the different types of sheriffs, including the size, population, and number of court facilities. Summary information about court activity also is presented in the table.

[1] Service of process is a method of formally commencing a lawsuit by giving notice of the action to the defendant. A copy of the notice is given to the defendant. The original and a statement attesting to the time and manner in which the copy was delivered is filed with the court.

[2] During this same period, total General Fund expenditures increased 19 percent. Judicial Department expenditures increased 59 percent, Department of Correction expenditures increased 20 percent, and Department of Public Safety expenditures increased 27 percent.

[3] All of the information about deputy sheriffs' income in this section is from the calendar year 1998 reports filed with the State Ethics Commission as of October 1999. Reports were filed by 250 individuals, but five had no income. The program review committee staff analysis is based on the information self-reported by the 245 individuals with gross incomes above zero. (Gross income is the total amount of income reported as received for work as a sheriff.) Data for three filers who did not fully break down their income by category were not included in Table II-4, but were included in all other analyses in the section.

[4] Under C.G.S. Sec. 46a-79, it is public policy to encourage employers to give favorable consideration to providing jobs to qualified individuals, including those with criminal conviction records. C.G.S. Sec. 6-32e indicates the policy is not applicable to the prisoner transportation and courthouse security system, but it also specifies nothing prevents the Sheriffs' Advisory Board from adopting the policy. (This is similar to language in C.G.S. Sec. 46a-81 that applies to "any law enforcement agency.")

[5] Surveys were conducted in 1987, 1990, 1993, and 1997. The results from the most recent survey are summarized in U.S. Department of Justice, Bureau of Justice Statistics, Executive Summary: Sheriffs' Departments 1997, (NCJ-1179011) October 1999. The full report is due out in early 2000.

[6] Rosaline Levenson, County Government in Connecticut - Its History and Demise, Institute of Public Service, University of Connecticut, January 1966, p. 72.

[7] The National Journal for Corrections, "Doing Time in the 1990s: Places to Go, People to See," Corrections Compendium, March 1996.