records retention and disposition...
TRANSCRIPT
RECORDS RETENTIONAND
DISPOSITION SCHEDULE
DIVISION OF TECHNOLOGYTECHNOLOGY SERVICES
DIVISION OF COURT OPERATIONSOFFICE OF RECORDS MANAGEMENT
January 1994
DIVISION OF TECHNOLOGYTECHNOLOGY SERVICES JANUARY 1994i
TABLE OF CONTENTS
Attorney Name and Address Proof List . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1Attorney Retainer and Closing Statements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1Attorney Retainer and Closing Statements B050 Report . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1Attorney Retainer and Closing Statements BOIT Report . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2Attorney Retainer and Closing Statements BOOO Report . . . . . . . . . . . . . . . . . . . . . . . . . . . 2Attorney Retainer and Closing Statements Data Entry Log . . . . . . . . . . . . . . . . . . . . . . . . . . 2Attorney Retainer and Closing Statements Void Records . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2Committee Meetings File . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2Communications Equipment Downtime Report . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3Communications Equipment Downtime Report Synopsis . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3Communications Equipment Request File . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3Communications Equipment Response Time Complaint Log . . . . . . . . . . . . . . . . . . . . . . . . 3Communications Service Request File . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4Communications Service Vendor History Report . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4Communications Shipping Request File . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4Computer Access Authorizations File . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4Computer Access Files . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4Computer Application Accumulator Code List . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5Computer Application Administrative Files . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5Computer Application Audit Files . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5Computer Application Change/Delete Request File . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5Computer Application Conversion Records . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6Computer Application Data Files . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6Computer Application Data Fixes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6Computer Application On Call Schedule . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6Computer Application Operational Manuals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6Computer Application Program Files . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7Computer Application Reports . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7Computer Application Training Materials . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7Computer Application User Meeting Notes File . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7Computer Application Users Manuals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7Computer Backup Tapes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8Computer Equipment Inventory File . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8Computer Schedule File . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8Computer Transaction Counts Log . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8Conference/Training Attendance Sheets . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9Contract History Abstract Files - Revenue Accounts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9Contract History Abstract Files - Vendor Information . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9Criminal History Search File . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9Criminal History Search Pickup Log . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9Criminal History Search Procedures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9Criminal History Search Revenue Log . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10Criminal History Search Tracking Statistics . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10Data And Source Material Request File . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10Data Circuit Inventory File . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10Data Entry Batch Control Logs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11Data Entry Batch Extraction Report . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11Data Entry Batch Tickets . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11Data Entry Edit Reports . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11Data Entry Instructions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11Data Entry Operator Identification Control Logs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12
DIVISION OF TECHNOLOGYTECHNOLOGY SERVICES JANUARY 1994ii
Data Entry Performance Reports . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12Data Entry Transfer Log . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12Data Entry Transmittal Memos . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12Data Transport Log . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12Database Diary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13Database Job Schedule File . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13Database Libraries . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13Database Library Reports . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13Database Pack Dumps . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13Dataset Restore Request File . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13Dataset Retention Request File . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13Dial Backup Log . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14Disaster Recovery File . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14Dumpjunk Report . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14Dumpjunk Tape . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14Hard Copy Print Request File . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14Help Desk Userbooks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14Input/Output Control Procedure Report (IOCP) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15Input/Output Documentation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15Jury Payroll Vouchers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15Jury Post Office Ledger . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15Jury Post Office Receipt Books . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15Jury Questionnaire Mailing Schedule File . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15Jury Questionnaire Runs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16Mainframe System Output Reports . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16Mainframe System Structure Listing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16Memory Storage Space Change Form Request File . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16Network Change Form Request File . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16Network Listing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17New York City Criminal Court Violation Docketing Log . . . . . . . . . . . . . . . . . . . . . . . . . . . 17New York City Office Of General Services Work Order Request File . . . . . . . . . . . . . . . . 17New York State Department Of Correctional Services File (DOCS) . . . . . . . . . . . . . . . . . . 17Office Of New York State Comptroller Memos (OSC Memos) File . . . . . . . . . . . . . . . . . . . 18Problem Report Forms File . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18Production Turnover Request File . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18Project Management System (PMS) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18Revenue Billing (Invoices) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18Revenue Delinquency Log . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18Revenue Files . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19Revenue Generation Log . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19Revenue Generation Reports . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19Scratch Tape Request File . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19Shift Turnover Report . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19Site Survey Correspondence File . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19Standard Operations Procedures (SOP) Manual . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20Supervisor's Log (Superlog) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20System Log (Syslog) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20System Management Facilities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20System Operations Change Form Request File . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20System Operations File . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21Tape Management System (TMS) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21Tape Management System (TMS) Procedures Manual . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21Tape Management System (TMS) Reports . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21Technical Bulletins/Memos . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21
DIVISION OF TECHNOLOGYTECHNOLOGY SERVICES JANUARY 1994iii
Technical Bulletin/User Manual Approval Form . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22Trouble Log/Suspense Log . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22Universal Summons Log . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22Universal Summons Volume Report . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22Vendor Contact Sheets . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23Vendor Files . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23Westlaw Procedures File . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23Westlaw Transmission Log . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23
INDEX . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24
DIVISION OF TECHNOLOGYTECHNOLOGY SERVICES JANUARY 19941
RECORDS RETENTION AND DISPOSITION SCHEDULE
DIVISION OF TECHNOLOGY
TECHNOLOGY SERVICES
R.S. # RECORD SERIES
RETENTION
00000. ATTORNEY NAME AND ADDRESSPROOF LIST
Cumulative quarterly report listing names andaddresses of attorneys registered to practice law inNew York State. Also indicates the number ofnegligence cases assigned to each attorney.
a) End Of Year Report
b) All Other Quarterly Reports
a) Retain for two years, thendestroy.
b) Retain until updated, thendestroy.
00000. ATTORNEY RETAINER AND CLOSINGSTATEMENTS
Document submitted by attorneys in the 1st, 2ndand 4th Judicial Departments to the Office of CourtAdministration Attorney Registration Unit. Document indicates: statement number, datestatement filed, client name and address, dateattorney was retained, attorney name and attorneyaddress.
To be determined at a laterdate, pending appraisal ofRetainers and ClosingStatements. (Division ofAdministrative Services -Attorney Registration Unit)
00000.
ATTORNEY RETAINER AND CLOSINGSTATEMENTS B050 REPORT
Report of missing statement numbers for Retainerand Closing documents. Also indicates duplicationof statement numbers.
Retain for one year, thendestroy.
R.S. # RECORD SERIES
RETENTION
DIVISION OF TECHNOLOGYTECHNOLOGY SERVICES JANUARY 19942
00000. ATTORNEY RETAINER AND CLOSINGSTATEMENTS BOIT REPORT
Daily edit report of data entered on PC's fromAttorney Retainer and Closing Statements. Reportindicates if batch was processed, data entry errorsand errors on Attorney Retainer and ClosingStatements.
Retain for six months, thendestroy.
00000. ATTORNEY RETAINER AND CLOSINGSTATEMENTS BOOO REPORT
Monthly edit report of corrections or problems withdata entered for Attorney Retainers and ClosingStatements. Also used to verify statement numbersper month.
Retain for one year, thendestroy.
00000. ATTORNEY RETAINER AND CLOSINGSTATEMENTS DATA ENTRY LOG
Document indicating the starting date and endingdate for each batch of statement numbers on amonthly basis by Judicial Departments.
Retain for six months, thendestroy.
00000. ATTORNEY RETAINER AND CLOSINGSTATEMENTS VOID RECORDS
Records of missing statement numbers (voids). Indicates Attorney Retainer and Closing Statementsreturned to the Office of Court Administration -Attorney Registration Unit that are not processeddue to inaccurate or incomplete information.
Retain for one year, thendestroy.
00000. COMMITTEE MEETINGS FILE
File containing internal office correspondence oncommittee meetings. Committees include:standards, data query, request for proposals,strategic planning, security and response time.
Retain for one year, thendestroy.
R.S. # RECORD SERIES
RETENTION
*No longer created.
DIVISION OF TECHNOLOGYTECHNOLOGY SERVICES JANUARY 19943
00000. COMMUNICATIONS EQUIPMENTDOWNTIME REPORT*
Report indicating downtime of communicationsequipment located in the Courts and Office ofCourt Administration Offices. Report includes: information on date of occurrence, equipmentaffected, type of device, teleo circuit number,vendor ticket number, names of users affected,indication of whether users were notified, contactnames and phone number, date vendor wasnotified, description of problem resolution andoperators' initials.
Retain for one year, thendestroy.
00000. COMMUNICATIONS EQUIPMENT DOWNTIME REPORT SYNOPSIS*
File indicating the number of timescommunications equipment had experienceddowntime within a year.
Retain for one year, thendestroy.
00000. COMMUNICATIONS EQUIPMENTREQUEST FILE
File containing correspondence from the New YorkCity Courts and Office of Court AdministrationUnits requesting communications equipment. Filemay include: Technology ServicesEquipment/Services Request Form, name of personmaking request, date of request, equipmentrequested, model number, name of vendor, cost ofequipment, services requested, name ofManager/Supervisor/Director and additionalcomments.
Retain until communicationsequipment is installed andoperational, then destroy.
00000. COMMUNICATIONS EQUIPMENTRESPONSE TIME COMPLAINT LOG
Log used to keep track of all complaints filed bycommunication equipment users. Indicates: timeof complaint, name of user, location, computerapplication/routine being run when problem arose,complaint and resolution (if any).
Retain for one year, thendestroy.
R.S. # RECORD SERIES
RETENTION
*No longer created.
DIVISION OF TECHNOLOGYTECHNOLOGY SERVICES JANUARY 19944
00000. COMMUNICATIONS SERVICE REQUESTFILE
File containing correspondence from New YorkCity Courts, Nassau and Suffolk Courts, and Officeof Court Administration Units requesting thatcommunications equipment be established indesignated areas. File may also indicate whetherthe rooms are pre-wired or will require wiring forcommunications equipment.
Retain for one year, thendestroy.
00000. COMMUNICATIONS SERVICE VENDORHISTORY REPORT*
Report generated by vendors indicating theirresponse to problems reported withcommunications equipment. Report indicates: original order number, serial number of unit(equipment), problem code, name and number offield engineer, corrective action taken, failure codeand name and address of customer (Court/Office ofCourt Administration).
Retain for one year, thendestroy.
00000. COMMUNICATIONS SHIPPINGREQUEST FILE
Memorandum sent to the Office of CourtAdministration - Court Operational Services Unitrequesting mailroom staff to pickup/delivercommunications equipment.
Retain until requested action iscompleted, then destroy.
00000. COMPUTER ACCESS AUTHORIZATIONSFILE
File containing authorizations for computer access. Retain until access is denied,then destroy.
00000. COMPUTER ACCESS FILES
File established to control the accessibility ofcomputer information. File may contain: accesscodes, passwords, user ID's and security codes.
Retain until updated, thendestroy.
R.S. # RECORD SERIES
RETENTION
DIVISION OF TECHNOLOGYTECHNOLOGY SERVICES JANUARY 19945
00000. COMPUTER APPLICATIONACCUMULATOR CODE LIST
List of computer application codes used in allrevenue and vendor files to accumulate costs for aspecific area of data processing.
Retain until updated, thendestroy.
00000. COMPUTER APPLICATIONADMINISTRATIVE FILES
Files supporting the creation and development of acomputer application program. Contents mayinclude: documentation, correspondence, memos,start-up materials, background notes, planningmaterials, program logic, specifications,enhancements, bugs, modifications, system walk-throughs, committee files, file structures, approvals("sign-offs"), design justification, legislativespecifications and changes, diaries, standards,program listings, requests for system changes, testsystem of current computer application and relatedmaterials.
Retain until computerapplication is superseded, orno longer in use, then destroy.
00000. COMPUTER APPLICATION AUDIT FILES
a) Non-Financial Records
b) Financial Records
Records used to capture a before or after view ofchanged records. May contain: details on who,what, when and where record was changed.
a) Retain Non-FinancialRecords for one year, thendestroy.
b) Retain Financial Recordsfor ten years provided a subsequent audit of thesame programs has beenconducted, then destroy.
00000. COMPUTER APPLICATION CHANGE/DELETE REQUEST FILE
File containing requests for changes in databasetables from Computer Application Groups toDatabase Groups. File contains: changes tosystem, table, library, fields, keys or dataview inthe production or test mode of the system.
Retain for one year, thendestroy.
R.S. # RECORD SERIES
RETENTION
DIVISION OF TECHNOLOGYTECHNOLOGY SERVICES JANUARY 19946
00000. COMPUTER APPLICATION CONVERSION RECORDS
File containing the materials used and created toconvert data to a new computer applicationprogram. Records may include: documentation,program specifications, data in various forms ofconversion, test results, parallel testing of new andold computer applications, notes, memos, planningfiles, tapes, special data runs and related materials.
Retain current computerapplication and immediatepredecessor computerapplication until all data isloaded, converted, and haspassed quality control testing.
00000. COMPUTER APPLICATION DATA FILES
Files containing raw data obtained from computerapplication users to create electronic files.
See appropriate Office ofCourt Administration/CourtRecords Retention andDisposition Schedule.
00000. COMPUTER APPLICATION DATA FIXES
File of corrections made by the TechnologyServices Division to correct data entry errors and/ordata corruption.
Retain until computerapplication is superseded, orno longer in use, then destroy.
00000. COMPUTER APPLICATION ON CALLSCHEDULE
Monthly schedule provided to computer operatorsindicating name and telephone number of computer programmers on call in case of anemergency or problem.
Retain for one year or until nolonger needed, whichever isshorter, then destroy.
00000. COMPUTER APPLICATION OPERATIONAL MANUALS
Manuals detailing the technical programmingspecifications. Manuals may include: overview ofsystem, file structures, programming conventionsand standards that must be maintained.
Retain current computerapplication manual andimmediate predecessorcomputer application manual.
R.S. # RECORD SERIES
RETENTION
DIVISION OF TECHNOLOGYTECHNOLOGY SERVICES JANUARY 19947
00000. COMPUTER APPLICATION PROGRAMFILES
Electronic records management tool used toconvert information into useable means. Files maycontain: specifications, modifications, filestructures, program documentation, deletedmodules, programmers notes, control numbers,dictionaries, screens, report layouts, file formats,utilities, transaction files and program listings.
Retain current computerapplication program files andimmediate predecessorcomputer application programfiles.
00000. COMPUTER APPLICATION REPORTS
Reports generated from computer application datafor quality control and management tools.
See appropriate Office ofCourt Administration/CourtRecords Retention andDisposition Schedule.
00000. COMPUTER APPLICATION TRAININGMATERIALS
Materials used to train users on computerapplications. Materials may contain: coursematerials, training schedules and training seminarnotes.
Retain until updated, thendestroy.
00000. COMPUTER APPLICATION USERMEETING NOTES FILE
File containing notes taken at computer applicationuser meetings.
Retain for one year, thendestroy.
00000. COMPUTER APPLICATION USERSMANUALS
Instructional manuals for the users of computerapplications. Manuals may include: data entryroutines, explanation of reports, and instructions onhow to run the report.
Retain until updated, thendestroy.
R.S. # RECORD SERIES
RETENTION
DIVISION OF TECHNOLOGYTECHNOLOGY SERVICES JANUARY 19948
00000. COMPUTER BACKUP TAPES
a) Current Computer System
b) Immediate Predecessor Computer System
Tool created as a safeguard mechanism to restore acomputer system when necessary. Includes:computer operating system, computer applicationsystem, computer applications and computerapplication data.
a) Retain Current ComputerSystem until updated, thendestroy.
b) Retain final version of Immediate Predecessor Computer System until Current Computer Systemis replaced, then destroy.
00000. COMPUTER EQUIPMENT INVENTORYFILE
File containing itemized list of all computerhardware equipment owned and used by theTechnology Services Unit. File may contain: information on site, county, district, name of ChiefClerk/Supervisor, type of communicationsequipment, serial numbers, Office of CourtAdministration I.D. numbers, type of IBMsoftware, type of circuit, location of equipment,dial backup information, controller information,name of vendor and computer operating systemnumber.
Retain until updated, thendestroy.
00000. COMPUTER SCHEDULE FILE
File containing production schedules of JOBs runon a daily, nightly, weekly, biweekly, monthly andannual basis. Included are: operators' instructions,computer application and program class, JOBname, JOB number, run time and exceptions toJOB.
Retain for three months, thendestroy.
00000. COMPUTER TRANSACTION COUNTSLOG
Daily counts of activity on the computer operatingsystems.
Retain for three years, thendestroy.
R.S. # RECORD SERIES
RETENTION
DIVISION OF TECHNOLOGYTECHNOLOGY SERVICES JANUARY 19949
00000. CONFERENCE/TRAININGATTENDANCE SHEETS
Document indicating date of conference or trainingseminar, purpose of conference or training seminar,names of attendees and affiliations.
Retain for two years, thendestroy.
00000.
CONTRACT HISTORY ABSTRACT FILES - REVENUE ACCOUNTS
Summary of revenue contracts held by theTechnology Services Division. Informationincludes: client's name, client's address, client'stelephone number, client's contact name, costcenter, accumulator code, nature of inquiry,contract period and item purchased.
Retain until updated, thendestroy.
00000. CONTRACT HISTORY ABSTRACT FILES - VENDOR INFORMATION
Summary of vendor contracts held by theTechnology Services Division. Informationincludes: contract number, company name andaddress, company telephone number, equipmentcovered by the contract period, payment historyand contract renewal date.
Retain until updated, thendestroy.
00000. CRIMINAL HISTORY SEARCH FILE
Administrative file on the activity of CriminalHistory Searches. File includes: correspondenceand memos from search companies and monthlysummary statistical report.
Retain for one year, thendestroy.
00000. CRIMINAL HISTORY SEARCH PICKUPLOG
Log recording the receipt of Criminal HistorySearch Requests by a client. Information includes: date, receipt number, company name and recipientof documents.
Retain for six months, thendestroy.
00000. CRIMINAL HISTORY SEARCHPROCEDURES
Instructions for computer operators on how toconduct a Criminal History Search.
Retain until updated, thendestroy.
R.S. # RECORD SERIES
RETENTION
DIVISION OF TECHNOLOGYTECHNOLOGY SERVICES JANUARY 199410
00000. CRIMINAL HISTORY SEARCH REVENUELOG
Log tracking the revenues deposited from CriminalHistory Searches and Technology Services revenuecontracts. Information includes: contract,statement period, and deposits made to the NewYork State Treasury from the Office of CourtAdministrations' Technology Services Division.
Retain for three years, thendestroy.
00000. CRIMINAL HISTORY SEARCHTRACKING STATISTICS
Statistical records of Criminal History Searches. Includes: date, name of client making request, number of searches for each company and countiessearched.
Retain for six months, thendestroy.
00000. DATA AND SOURCE MATERIALREQUEST FILE
File containing data requests made by theTechnology Services Division to other agenciesand data requests made by other agencies to theTechnology Services Division. File may include: request letter, source materials, transmittal records,and comparison transaction tapes.
Retain until data is loaded,converted and passes qualitycontrol testing, then destroy.
00000. DATA CIRCUIT INVENTORY FILE
File detailing all data circuits and dialups with theircorresponding billing telephone numbers.Information includes: billing account number(telephone number), circuit or dialup number,transmit/receive number, location, status(active/inactive), monthly costs, communicationcarrier, installation date, termination date of circuit,accumulator code and comments.
Retain until updated, thendestroy.
R.S. # RECORD SERIES
RETENTION
DIVISION OF TECHNOLOGYTECHNOLOGY SERVICES JANUARY 199411
00000. DATA ENTRY BATCH CONTROL LOGS
Document used to monitor the progress of worksubmitted to the Office of Court Administrations'Technology Services Division - Data Entry Unit.Information captured on these logs may include butis not limited to the following: name of documentbeing keypunched, batch number of work to beentered onto the PC's, date documents werereceived, number of documents in each batch,number of documents returned to submitting party,total number of documents keypunched, totalnumber of documents processed, number ofrejected documents, number of accepted documentsand cumulative total.
Retain for six months, thendestroy.
00000.
DATA ENTRY BATCH EXTRACTIONREPORT
Report used to monitor the transfer of data enteredonto the PC's to the mainframe. Report indicates: name of computer application, description ofcomputer application, batch number, data set name,and count of data extracted by computerapplication name.
Retain for six months, thendestroy.
00000. DATA ENTRY BATCH TICKETS
Document used to monitor batch numbers of dataentry work.
Retain for one year, thendestroy.
00000. DATA ENTRY EDIT REPORTS
Report of data entered by data entry staff. Utilizedby staff to identify incorrect data and to verify dataentered.
Retain for six months, thendestroy.
00000. DATA ENTRY INSTRUCTIONS
Data entry instructions for data entry operators. Instructions indicate: fields to be keyed, number ofcharacters to be keyed and whether the fields arealpha, numeric, or alpha and numeric. Instructionsmay include code sheets.
Retain one master copy withall subsequent updates forpresent computer applicationand immediate predecessorcomputer application. Allothers, retain until updated.
R.S. # RECORD SERIES
RETENTION
DIVISION OF TECHNOLOGYTECHNOLOGY SERVICES JANUARY 199412
00000. DATA ENTRY OPERATOR IDENTIFICATION CONTROL LOGS
Document used to monitor batches entered andverified by data entry operators. This documentindicates: name of document to be data entered,batch number, initials of data entry clerk, initials ofperson verifying work, tape number work wasloaded on, release date tape was sent from DataEntry Unit to Operations Unit and date tape wasreturned from Operations Unit to Data Entry Unit.
Retain for six months, thendestroy.
00000. DATA ENTRY PERFORMANCE REPORTS
Weekly cumulative report indicating data entryperformance for an operator, JOB, hours and keystrokes. Indicates the average number of keystrokes by data entry operator by JOB for totalweek.
a) Final Report Of Fiscal Year
b) All Others
a) Retain for one year, thendestroy.
b) Retain until updated, thendestroy.
00000. DATA ENTRY TRANSFER LOG
Log recording the completion of data entry that isready for transfer. Information includes: transferdate, abbreviated computer application name, description and remarks, batch number, designationcode, volume and JOB number.
Retain for three months, thendestroy.
00000. DATA ENTRY TRANSMITTAL MEMOS
Copies of memos sent to and from the Office ofCourt Administrations' Technology ServicesDivision - Data Entry Unit regarding work to bedata entered.
Retain for one year, thendestroy.
00000. DATA TRANSPORT LOG
Log recording the release of a tape to an office oragency outside of Technology Services Division.
Retain until updated, thendestroy.
R.S. # RECORD SERIES
RETENTION
DIVISION OF TECHNOLOGYTECHNOLOGY SERVICES JANUARY 199413
00000. DATABASE DIARY
Log detailing the daily activity of the computerapplication database group. Diary includes: allinformation on software problems, progress andresults, comments and notes.
Retain until computerapplication software issuperseded, or no longer inuse, then destroy.
00000. DATABASE JOB SCHEDULE FILE
File containing schedules of Database JOBs runnightly, weekly and monthly.
Retain until updated, thendestroy.
00000. DATABASE LIBRARIES
Collections of JOBs and Utility Programs thatmonitor the growth of datasets to enhance theefficiency of the system.
Retain until computerapplication software issuperseded, or no longer inuse, then destroy.
00000.
DATABASE LIBRARY REPORTS
Reports generated by JOB Libraries and/or UtilityLibraries to analyze changes in datasets. Information includes: growth, allocation, numberof databases per computer application, volume offiles and data.
Retain for two years, thendestroy.
00000. DATABASE PACK DUMPS
Output tapes created to back up packed datasets. Retain until superseded, thendestroy.
00000.
DATASET RESTORE REQUEST FILE (alsoknown as REQUESTS TO RESTOREDATASETS)
File containing requests to restore datasets thathave been taken offline.
Retain for one month, thendestroy.
00000. DATASET RETENTION REQUEST FILE(also known as REQUESTS TO ASSIGNPERMANENT TAPE RETENTION)
File containing requests by a computer programmerto extend the retention period of datasets.
Retain until extended retentionperiod has expired, thendestroy.
R.S. # RECORD SERIES
RETENTION
*No longer created.
DIVISION OF TECHNOLOGYTECHNOLOGY SERVICES JANUARY 199414
00000. DIAL BACKUP LOG*
Log of direct long distance calls made to re-establish computer connections when leasedcircuitry line goes down.
Retain for one year, thendestroy.
00000. DISASTER RECOVERY FILE
File containing procedures and tape log listingtapes required for the recovery of a computersystem in the event of a disaster.
Retain until superseded, thendestroy.
00000. DUMPJUNK REPORT
Report listing items on DUMPJUNK tape. Retain until updated, thendestroy.
00000. DUMPJUNK TAPE
Computer tape of files not accessed for at least 30days to 6 months.
Retain for two years, thendestroy.
00000. HARD COPY PRINT REQUEST FILE
File containing requests for printing of reports. Information includes: report name, computerapplication, compiled program name, queue name,operating system region, spool file, any existingproblems and comments.
Retain until requested report isprinted, then destroy.
00000. HELP DESK USERBOOKS
List of site specific information about a computeruser. Information includes: equipment type,address, site, contacts, circuits, computer operatingsystem network, number, ID's of devices, devicetype, computer application used and relatedmaterials.
Retain until updated, thendestroy.
R.S. # RECORD SERIES
RETENTION
DIVISION OF TECHNOLOGYTECHNOLOGY SERVICES JANUARY 199415
00000. INPUT/OUTPUT CONTROL PROCEDUREREPORT (IOCP)
Report generated after a device has been added ordeleted from the computer system.
Retain until updated, thendestroy.
00000. INPUT/OUTPUT DOCUMENTATION (also known as RUNBOOKS)
Log created for a JOB in production. Informationincludes: system, name of programmer, overview,setup date, revision date, frequency, conflictingJOBs, run time, estimated lines of code, number oftapes, number of scratch tapes, conditions to notifyprogrammer, special circumstances, notes, steps ofJOB, report disposition, specifics of each step asoutlined by the programmer and supportingdocumentation.
Retain until JOB is no longerin production, then destroy.
00000. JURY PAYROLL VOUCHERS
Document authorizing payment for jury duty. Contains original authorizing signature,transportation mileage, number of jurors, paymentamount, days attended, days served and days paid,batch transmittal form (from district officeverifying jury information entered online at thelocal level) and special charge voucher from thecounty.
Return to Commissioners ofJurors when no longer needed.
00000. JURY POST OFFICE LEDGER
Ledger used to reconcile the number ofquestionnaires sent out against post office charges.
Retain for three years, thendestroy.
00000. JURY POST OFFICE RECEIPT BOOKS
Books containing Post Office receipts for chargesincurred in Juror Questionnaire mailings.
Retain for three years, thendestroy.
00000. JURY QUESTIONNAIRE MAILINGSCHEDULE FILE
File containing proposed schedule and volumecount of questionnaires and summonses of Juryprint JOBs to be run by Technology Services asrequested by each Commissioner of Jurors.
Retain for one year, thendestroy.
R.S. # RECORD SERIES
RETENTION
DIVISION OF TECHNOLOGYTECHNOLOGY SERVICES JANUARY 199416
00000. JURY QUESTIONNAIRE RUNS
File containing details of the printing of JuryQuestionnaires for each Commissioner of Jurors. Information includes the number of questionnairessent out in order to be able to compute the amountof postage to charge to each Commissioners'account.
Retain for three years, thendestroy.
00000. MAINFRAME SYSTEM OUTPUTREPORTS
Computer generated reports of JOBs transferred totape and classified to be kept offline for adesignated time period.
Retain for designated timeperiod, then destroy.
00000. MAINFRAME SYSTEM STRUCTURELISTING
Weekly listing of all computer system structures. Listing indicates the general format of all datasetsand disc packs.
Retain for two months, thendestroy.
00000. MEMORY STORAGE SPACE CHANGEFORM REQUEST FILE (also known as DISKPACK CHANGE FORM REQUESTS)
File containing requests to change theresponsibility of monitoring the memory storagespace (disk packs) on the computer system. Information includes: volume, serial number,owner, requester's name, date of request andchecklist.
Retain until requested changehas been made, then destroy.
00000. NETWORK CHANGE FORM REQUESTFILE
File containing requests to add, delete or updatedevices to computer network. Informationincludes: device type, port number, network name,computer operating system name, computerapplications, location, line speed, line number,requester's name, date of request, checklistinstructions, date of change and JOBs affected.
Retain for one year, thendestroy.
R.S. # RECORD SERIES
RETENTION
DIVISION OF TECHNOLOGYTECHNOLOGY SERVICES JANUARY 199417
00000. NETWORK LISTING
Listing of computer terminals by machineryidentification number. Indicates systemconfiguration at a particular point in time (whenNetwork Listing is generated).
Retain until updated, thendestroy.
00000. NEW YORK CITY CRIMINAL COURTVIOLATION DOCKETING LOG
Document sent as a cover sheet along withUniversal Summonses (Violations) to TechnologyServices Division - Data Entry Unit from NewYork City Summons Control System. Logindicates: high number and low number of eachbatch, basic issue date of the summonses, date ofdocketing, borough of occurrence, type of violation(traffic or non traffic) and which summonses havebeen made returnable to the borough criminal courtrather than to New York City Summons ControlSystem.
Retain for six months, thendestroy.
00000. NEW YORK CITY OFFICE OF GENERALSERVICES WORK ORDER REQUESTFILE
File containing work orders submitted by theOffice of Court Administrations' TechnologyServices Division to the New York CityDepartment of General Services requestingelectrical work.
Retain for one year, thendestroy.
00000. NEW YORK STATE DEPARTMENT OF CORRECTIONAL SERVICES FILE (DOCS)
a) Policy Documents
b) Administrative and Procedural Documents
Records relating to computer access between theOffice of Court Administrations' TechnologyServices Division and the New York StateDepartment of Correctional Services. File mayinclude, but is not limited to, procedures for AppealCourts, memos and related items.
a) Retain permanently forresearch.
b) Retain until updated or nolonger needed, thendestroy.
R.S. # RECORD SERIES
RETENTION
DIVISION OF TECHNOLOGYTECHNOLOGY SERVICES JANUARY 199418
00000. OFFICE OF NEW YORK STATECOMPTROLLER MEMOS (OSC MEMOS)FILE
File containing memos between TechnologyServices and the Office of the State Comptrollerpertaining to computer access and procedures.
Retain until updated, thendestroy.
00000. PROBLEM REPORT FORMS FILE
File reporting problems to the system operationsvendor. Information includes: support centernumber, date of problem, vendor contact number,vendor's name, site identification number, CentralProcessing Units serial number, operating system,software item, severity of problem, problemdescription, problem resolution and tapeinformation.
Retain for one year or until nolonger needed, whichever islonger, then destroy.
00000. PRODUCTION TURNOVER REQUESTFILE
File containing requests from computerprogrammers to change, delete, revise or put acomputer program into input/output production.
Retain until updated, thendestroy.
00000. PROJECT MANAGEMENT SYSTEM (PMS)
Tracking system for changes made to a computerapplication. System includes: proposed change,programs affected, programmer, date of request,status of change and comments.
Retain until computerapplication is superseded, orno longer in use, then destroy.
00000. REVENUE BILLING (INVOICES)
Invoices sent to clients who have requested Officeof Court Administration computer data. Information includes: invoice numbers, invoicedates, ship to date and address and description ofshipment.
Retain for three years afterreceipt of funds, then destroy.
00000. REVENUE DELINQUENCY LOG
Log of outstanding invoices. Information includes: client, invoice number, invoice date, amount pastdue, date delinquent, remittance date and actiontaken.
Retain for three years afterreceipt of funds, then destroy.
R.S. # RECORD SERIES
RETENTION
DIVISION OF TECHNOLOGYTECHNOLOGY SERVICES JANUARY 199419
00000. REVENUE FILES
Records of all clients who have contracts with theOffice of Court Administration to purchasecomputer data. File may contain: contract,invoices, dunning letters, correspondence andrelated items.
Retain for six years afterexpiration of contract or finalpayment, whichever is later,then destroy.
00000. REVENUE GENERATION LOG
Logs used to track invoices sent to users of Officeof Court Administration computer data. Information includes: invoice number, paymentdate, check number received and balance due.
Retain for three years afterreceipt of funds, then destroy.
00000. REVENUE GENERATION REPORTS
Weekly and monthly status reports listingoutstanding and paid invoices. Informationincludes: name of client, accumulation code, yearto date invoice amount, year to date receivedamount and balance due.
Retain until updated, thendestroy.
00000. SCRATCH TAPE REQUEST FILE
File containing requests to delete a computerdataset.
Retain for six months, thendestroy.
00000. SHIFT TURNOVER REPORT (also known asDAILY MESSAGE LOG)
Narrative of exceptions to regularly scheduledcomputer operating procedures.
Retain for six months, thendestroy.
00000. SITE SURVEY CORRESPONDENCE FILE
Correspondence sent to and from New York CityCourts, Nassau and Suffolk County Courts, andOffice of Court Administration offices requestingcommunications hardware and software. Correspondence may indicate what materials willbe provided for by the Office of CourtAdministration and what additional work may berequired by other parties.
Retain for one year, thendestroy.
R.S. # RECORD SERIES
RETENTION
DIVISION OF TECHNOLOGYTECHNOLOGY SERVICES JANUARY 199420
00000. STANDARD OPERATIONS PROCEDURES(SOP) MANUAL
Manual detailing the daily routines of the computeroperators and their responsibilities. Informationincludes: daily routines, production JOBs, JOBscheduling, review of schedules, procedures,restoring datasets, disaster recovery, memos onissues, libraries and their contents, computerapplication information and notes.
Retain until updated, thendestroy.
00000. SUPERVISOR'S LOG (SUPERLOG)
Log of all environmental, hardware, software andpersonnel activities in the computer room.
Retain for two years, thendestroy.
00000. SYSTEM LOG (SYSLOG)
Daily log of all Central Processing Unit activity. Retain for three months, thendestroy.
00000. SYSTEM MANAGEMENT FACILITIES
Management tool used to analyze computeroperation statistics for trends, planning and futureprojections.
Retain for two years, thendestroy.
00000. SYSTEM OPERATIONS CHANGE FORMREQUEST FILE
File containing requests to add, delete or updatedevices to the computer application programs. Information includes: device type, deviceidentification, regions of operating system used,computer application need, requester's name, dateof request, computer language, transactionidentification, transaction class, operatoridentification, user identification and password.
Retain for one year, thendestroy.
R.S. # RECORD SERIES
RETENTION
DIVISION OF TECHNOLOGYTECHNOLOGY SERVICES JANUARY 199421
00000. SYSTEM OPERATIONS FILE
File containing computer program codes whichgenerate the machine-language instructions used tooperate an automated information system.
Retain until replacementoperating system has beentested and is operational andall computer applicationprogram files and all data hasbeen converted and qualitycontrol has been conducted.
00000. TAPE MANAGEMENT SYSTEM (TMS)
Library system of tapes utilized by the computersystem. Information includes tape activity: add,check-in, clean, scratch, delete, expire, extend,label and retain.
Retain until system issuperseded, or no longer inuse, then destroy.
00000. TAPE MANAGEMENT SYSTEM (TMS)PROCEDURES MANUAL
Manual of operations and procedures for the TapeManagement System. Information includes:instructions on initializing tapes, tape transfer,clean tapes, equipment, shipments, receipts oftapes, logs and offsite storage.
Retain until updated, thendestroy.
00000. TAPE MANAGEMENT SYSTEM (TMS)REPORTS
Reports generated from Tape Management System. Retain until superseded, thendestroy.
00000. TECHNICAL BULLETINS/MEMOS
a) Updates Applicant User Manuals
b) Does not update Applicant User Manuals
Bulletins used to inform computer application usersof informational and technical changes made tocomputer applications.
a) Retain until Computer Application User Manual is updated, then destroy.
b) Retain until computer application is superseded,or no longer in use, then destroy.
R.S. # RECORD SERIES
RETENTION
DIVISION OF TECHNOLOGYTECHNOLOGY SERVICES JANUARY 199422
00000. TECHNICAL BULLETIN/USER MANUAL APPROVAL FORM
Document attached to draft Technical Bulletin/UserManual submitted to Director and Deputy Directorof Technology Services Division for final reviewand approval. Document indicates: applicationname, bulletin number, year, signature of preparerand date signed, signature of Systems Analyst anddate signed, signature of programmer and datesigned, effective date, signature of Deputy Directorand date signed, projected release date of bulletin,signature of Director and date signed, distributiondate and time and means of distribution.
Retain for one year or until nolonger needed, whichever isshorter, then destroy.
00000. TROUBLE LOG/SUSPENSE LOG
Log documenting a user's problem with thecomputer application. Information may include: user's name, nature of problem, documentation,resolution, resolution date and project leader signoff.
Retain for one year, thendestroy.
00000. UNIVERSAL SUMMONS LOG
Document used to track the Universal Summonsessubmitted by the New York City Summons Part tothe Office of Court Administrations' TechnologyServices Division - Data Entry Unit for data entry. This document indicates: date summonses wereissued, date summonses were received by DataEntry Unit, batch number, keypuncher's initials,initials of person verifying completed work,number of summonses in batch, batch number byborough and first and last docket number ofsummons in batch.
Retain for six months, thendestroy.
00000. UNIVERSAL SUMMONS VOLUMEREPORT
Document used as a management tool to monitorthe volume of Violations and Dispositions beingdata entered by the Office of CourtAdministrations' Technology Services Division -Data Entry Unit. Report indicates monthly volumeof Violations and Dispositions.
Retain for one year, thendestroy.
R.S. # RECORD SERIES
RETENTION
DIVISION OF TECHNOLOGYTECHNOLOGY SERVICES JANUARY 199423
00000. VENDOR CONTACT SHEETS
Document used to relay and record problems ofcomputer application software to vendor. Information includes: date of contact, name ofcontact, problem and resolution.
Retain until computerapplication software issuperseded, or no longer inuse, then destroy.
00000. VENDOR FILES
File of all vendors that have entered into contractswith the Office of Court Administrations'Technology Services Division. File may include: contract, correspondence, warranty and relateditems.
Retain until expiration ofcontract, then destroy.
00000. WESTLAW PROCEDURES FILE
File detailing the procedures for administering theWestlaw Project. File contains: correspondence,memos, notes and related materials.
Retain until updated, thendestroy.
00000. WESTLAW TRANSMISSION LOG
Record of data transmissions from the AppellateCourts, the Court of Appeals, AdministrativeJudges' Offices and New York State Law Librariesto the State Reporter and Westlaw.
Retain for six months, thendestroy.
DIVISION OF TECHNOLOGYTECHNOLOGY SERVICES JANUARY 199424
INDEX
Attorney Name and Address Proof List . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1Attorney Retainer and Closing Statements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1Attorney Retainer and Closing Statements B050 Report . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1Attorney Retainer and Closing Statements BOIT Report . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2Attorney Retainer and Closing Statements BOOO Report . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2Attorney Retainer and Closing Statements Data Entry Log . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2Attorney Retainer and Closing Statements Void Records . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2Committee Meetings File . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2Communications Equipment Downtime Report . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3Communications Equipment Downtime Report Synopsis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3Communications Equipment Request File . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3Communications Equipments Response Time Complaint Log . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3Communications Service Request File . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4Communications Service Vendor History Report . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4Communications Shipping Request File . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4Computer Access Authorizations File . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4Computer Access Files . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4Computer Application Accumulator Code List . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5Computer Application Administrative Files . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5Computer Application Audit Files . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5Computer Application Change/Delete Request File . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5Computer Application Conversion Records . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6Computer Application Data Files . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6Computer Application Data Fixes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6Computer Application On Call Schedule . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6Computer Application Operational Manuals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6Computer Application Program Files . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7Computer Application Reports . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7Computer Application Training Materials . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7Computer Application User Meeting Notes File . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7Computer Application Users Manuals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7Computer Backup Tapes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8Computer Equipment Inventory File . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8Computer Schedule File . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8Computer Transaction Counts Log . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8Conference/Training Attendance Sheets . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9Contract History Abstract Files - Revenue Accounts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9Contract History Abstract Files - Vendor Information . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9Criminal History Search File . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9Criminal History Search Pickup Log . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9Criminal History Search Procedures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9Criminal History Search Revenue Log . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10Criminal History Search Tracking Statistics . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10Daily Message Log: see Shift Turnover Report . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19Data And Source Material Request File . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10Data Circuit Inventory File . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10Data Entry Batch Control Logs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11Data Entry Batch Extraction Report . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11Data Entry Batch Tickets . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11Data Entry Edit Reports . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11
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Data Entry Instructions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11Data Entry Operator Identification Control Logs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12Data Entry Performance Reports . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12Data Entry Transfer Log . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12Data Entry Transmittal Memos . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12Data Transport Log . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12Database Diary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13Database Job Schedule File . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13Database Libraries . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13Database Library Reports . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13Database Pack Dumps . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13Dataset Restore Request File . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13Dataset Retention Request File . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13Dial Backup Log . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14Disaster Recovery File . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14Disk Pack Change Form Requests: see Memory Storage Space Change
Form Request File . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16Dumpjunk Report . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14Dumpjunk Tape . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14Hard Copy Print Request File . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14Help Desk Userbooks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14Input/Output Control Procedure Report (IOCP) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15Input/Output Documentation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15Jury Payroll Vouchers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15Jury Post Office Ledger . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15Jury Post Office Receipt Books . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15Jury Questionnaire Mailing Schedule File . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15Jury Questionnaire Runs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16Mainframe System Output Reports . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16Mainframe System Structure Listing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16Memory Storage Space Change Form Request File . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16Network Change Form Request File . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16Network Listing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17New York City Criminal Court Violation Docketing Log . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17New York City Office Of General Services Work Order Request File . . . . . . . . . . . . . . . . . . . . . . 17New York State Department Of Correctional Services File (DOCS) . . . . . . . . . . . . . . . . . . . . . . . . 17Office Of New York State Comptroller Memos (OSC Memos) File . . . . . . . . . . . . . . . . . . . . . . . . . 18Problem Report Forms File . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18Production Turnover Request File . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18Project Management System (PMS) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18Requests To Assign Permanent Tape Retention: see Dataset Retention Request File . . . . . . . . . . 13Requests To Restore Datasets: see Dataset Restore Request File . . . . . . . . . . . . . . . . . . . . . . . . . . . 13Revenue Billing (Invoices) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18Revenue Delinquency Log . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18Revenue Files . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19Revenue Generation Log . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19Revenue Generation Reports . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19Runbooks: see Input/Output Documentation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15Scratch Tape Request File . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19Shift Turnover Report . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19Site Survey Correspondence File . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19Standard Operations Procedures (SOP) Manual . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20Supervisor's Log (Superlog) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20System Log (Syslog) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20
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System Management Facilities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20System Operations Change Form Request File . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20System Operations File . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21Tape Management System (TMS) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21Tape Management System (TMS) Procedures Manual . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21Tape Management System (TMS) Reports . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21Technical Bulletins/Memos . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21Technical Bulletin/User Manual Approval Form . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22Trouble Log/Suspense Log . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22Universal Summons Log . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22Universal Summons Volume Report . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22Vendor Contact Sheets . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23Vendor Files . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23Westlaw Procedures File . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23Westlaw Transmission Log . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23