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Court Operating Rules

Section/Rule:COR 4
Subject: Court Operating Rule 4 Publication / Adopted Date:August 21, 1995
Topic:Uniform Record Keeping SystemRevised / Effective Date:January 1, 2014

Court Operating Rule 4
UNIFORM RECORD KEEPING SYSTEM

GENERAL PROVISIONS

4.01 Uniform Record Keeping System
4.02 Optional Methods of Record Keeping
4.03 Official Court Record - Composition
4.04 File Numbers
4.05 File Numbers: Criminal and Juvenile Cases
4.06 File Folders
4.07 Filing Information Sheet
4.08 Court Docket Sheet or Backer Sheet
4.09 Index to Cases
4.10 Index to Wills Deposited During Testator’s Lifetime
4.11 Calendar System
4.12 Judgments
4.13 Judgment Index: Civil
4.14 Judgment Index: Criminal/ Municipal
4.15 Administrative Orders for Support Filed by the Family Support Division - Child Support Enforcement
4.16 Transcript Judgments/Employment Security Assessments
4.17 Foreign Judgments
4.18 Mechanics’ And Materialmen’s Liens
4.19 Abstract of Executions Filed Under Chapter 513, RSMo
4.20 Missouri Automated Child Support System (MACSS)
4.21 Jury Records
4.22 File Maintenance/Security
4.23 Local Rules for File Maintenance/Security
4.24 Confidential Records
4.25 Sealed Records
4.26 Expunged Records
4.27 Reconstruction of Case File
4.28 Reporting to the Office of State Courts Administrator
4.29 Municipal Division Reporting to the Municipality
4.30 4.49 RESERVED
4.50 COR 4 General Provisions Shall Apply
4.51 Uniform Accounting System Mandatory
4.52 Accounting Records
4.53 Pre-Numbered Receipts
4.54 Cash Control Records
4.55 Case Fee Records
4.56 Open Items Records
4.57 Uncollected Costs, Fines, and Judgment
4.58 Investment Records
4.59 Monthly Reconciliation Records

4.01 UNIFORM RECORD KEEPING SYSTEM

There shall be a uniform record keeping system in the Circuit Court that shall be mandatory for the form, style, and maintenance of records dealing with civil, criminal, juvenile, probate, mental health, family court, traffic and municipal cases.

(Adopted eff. Jan. 1, 2004)

4.02 OPTIONAL METHODS OF RECORD KEEPING

1) Records required by this COR 4 may be maintained in paper format or in one of the following approved media:

2) All courts shall provide and maintain equipment necessary for public access to court records and information. The equipment shall be accessible for use by the public and shall present the information in legible form.

3) Courts shall adhere to the requirements of Court Operating Rules 1 and 8 when maintaining records in other than paper format.

4) If a court maintains the record in multiple formats, it shall designate which of the formats is the official court record as defined in COR 4.03.

(Adopted eff. Jan. 1, 2004)

4.03 OFFICIAL COURT RECORD – COMPOSITION

1) The official court record in all cases, except those involving the summary administration of an estate, shall consist of:

2) A backer sheet may be used for cases initiated by uniform citation, including traffic, municipal, conservation, and watercraft cases.

See Appendix for sample backer sheet.

(Adopted eff. Jan. 1, 2004. Amended Sept. 10, 2009, eff. Jan. 1, 2010.)

4.04 FILE NUMBERS

A uniform file numbering system shall be used for all cases and documents required to be indexed by the courts. For purposes of this COR 4, cases shall include but not be limited to: case types as approved by the State Judicial Records Committee; administrative support orders; transcript judgments; employment security assessments; mechanics’ and materialmen’s liens; wills deposited during testator’s lifetime; search warrants; and other records requiring an identifying number for indexing and management purposes.

1) Converted Construct

2) Interim Construct

3) New Construct

4) The uniform citation number, as assigned by the Missouri State Highway Patrol, shall serve as the file number for less serious traffic cases and for watercraft and conservation cases initiated by uniform citation.

1) A uniform case numbering system, comprised of the following, shall be used:

2) Courts may use the uniform citation number, as assigned by the Missouri State Highway Patrol, as the file number for cases initiated by uniform citation.

3) Cases originating in a municipal court shall be assigned a new case number when transferred to an associate or circuit division.

1) Courts shall assign a unique identifying number to each case at the time of filing.

2) If different than the format in COR 4.04.2, the numbering system shall be approved by the State Judicial Records Committee.

3) Courts may use the uniform citation number, as assigned by the Missouri State Highway Patrol, as the file number for cases initiated by uniform citation.

(Adopted eff. Jan. 1, 2004. Amended Sept. 10, 2009, eff. Jan. 1, 2010.)

4.05 FILE NUMBERS: CRIMINAL AND JUVENILE CASES

1) A separate file number shall be assigned to each defendant named in a criminal complaint or information and the file numbers shall be related in the automated case management system for scheduling and other processing.

2) A separate file number shall be assigned to each child named in a petition filed pursuant to section 211.091, RSMo and the file numbers shall be related in the automated case management system for scheduling and other processing.

3) Dissolutions and paternity actions shall be filed separately. A separate case number shall be assigned for each dissolution and each paternity action filed and shall be related in the automated case management system for scheduling and other processing.
(Adopted eff. Jan. 1, 2004. Amended Sept. 10, 2009, eff. Jan. 1, 2010.)

4.06 FILE FOLDERS

1) The court docket sheet, if applicable, and all documents received shall be securely fastened to a file folder; each document shall be placed on top of the last document received. See COR 4.03.

2) No file folder is required for cases where a backer sheet is used. Documents shall be attached to the back of the sheet, one behind the other, as they are received.

3) The folder shall either be colored or a colored label shall be affixed to the folder, with the color identifying the case category. The following color scheme shall be followed:

Additional colors may be used to further distinguish among case types.

(Adopted eff. Jan. 1, 2004.)

4.07 FILING INFORMATION SHEET
1) Courts shall require a filing information sheet for each civil, domestic relations, and probate case filed.

2) The filing information sheet shall reflect the case type and contain the following information for each party occupying the position of or on the same side as the plaintiff or defendant, each decedent, or each ward/protectee in the case:
3) Responsibility for completing these sheets is with the parties, who shall make reasonable effort to provide full information.

4) Courts may require the prosecuting or circuit attorney to file a filing information sheet for each criminal case filed. The filing information sheet shall contain defendant’s name, defendant’s address, date of birth and charges. If reasonably available, the filing information sheet may contain defendant’s social security number, height, weight, gender, race, hair color, eye color, and other information as needed by the court.

5) The filing information sheets are confidential records. For domestic relations cases, the filing information sheet shall be placed under seal and filed with the domestic relations case file. For all other probate, civil and criminal cases, the filing information sheet shall be filed in case number sequence and stored separately from the case file or destroyed upon entry of the information. If a court is scanning court documents, the confidential filing may be scanned and maintained at the appropriate security level and the original may be destroyed.

6) Filing information sheets shall not be required when the filing is made electronically, provided required information on party type, party name, date of birth and social security number is contained in the electronic submission.

(Adopted eff. Jan. 1, 2004. Amended May 20, 2013, eff. Jan. 1, 2014)
Courts may require a filing information sheet for each civil, domestic relations, probate, and criminal case filed. If required and if they contain social security numbers, these sheets shall be confidential records, filed in case number sequence, and stored separately from the case file or destroyed when no longer needed.

(Adopted eff. Jan. 1, 2004. Amended Sept. 10, 2009, eff. Jan. 1, 2010. Amended May 20, 2013, eff. Jan. 1, 2014)

4.08 COURT DOCKET SHEET OR BACKER SHEET

1) Courts shall maintain the following information to generate a court docket sheet as needed:

2) Clerks shall be responsible only for docket entries into the automated system. They shall not be responsible for entries on a manual docket sheet.

1) A court docket sheet or backer sheet shall be prepared for all case types except those involving the summary administration of an estate. See COR 4.03.

2) The court docket sheet shall include the same elements as set forth in COR 4.08.1 (1) for courts using an approved automated system.

3) Courts shall maintain a security copy of the docket sheet for all cases except small claims, felony preliminary, and chapter 517 cases, and misdemeanor cases filed before associate circuit judges. Upon certification of such cases to the presiding judge, upon bind over of felony preliminaries for arraignment, or upon application for trial de novo at the circuit level, the clerk shall comply with the rule to maintain a security copy of the docket sheet.

4) Security copies of the court docket sheet shall be filed in case number sequence and stored separately from the case file. Upon disposition of the case, the clerk shall certify that the security copy is a true and accurate copy of the court docket sheet.

4.09 INDEX TO CASES

1) Courts shall have the capability to access case records through an automated search of the database by:

2) Confidential case records shall not be accessible through an automated search of the database by persons who are not authorized to view such records.

3) Courts shall not maintain manual indexes for cases disposed of after implementation of the automated system.

1) Separate index cards, bearing the full name of the party, shall be kept in alphabetical order for:

Note: A separate index card naming the State or municipality as plaintiff in a criminal, traffic, or municipal case shall not be prepared.

2) Both the plaintiff index and the defendant index in civil cases shall contain:

3) The defendant index for criminal, traffic, and municipal cases shall contain:

4) Indexes for probate and juvenile cases shall contain:

5) Indexes for confidential cases shall be stored separately and shall be accessible only by authorized personnel.

(Adopted eff. Jan. 1, 2004.)

4.10 INDEX TO WILLS DEPOSITED DURING TESTATOR’S LIFETIME

Courts shall maintain or have the capability to generate an alphabetic list by name of wills deposited during a testator’s lifetime.

(Adopted eff. Jan. 1, 2004.)

4.11 CALENDAR SYSTEM

Courts shall maintain a calendar system to facilitate compliance with time requirements established by statute or rule and with the case processing time standards established by Court Operating Rule 17.

(Adopted eff. Jan. 1, 2004.)

4.12 JUDGMENTS

1) Judgments in civil cases must be signed by the judge or supported by a document with the judge’s signature. A docket sheet entry denominated as a judgment or decree and signed by a judge may serve as a judgment.

2) A written record of the judgment is required in civil and criminal cases.

(Adopted eff. Jan. 1, 2004.)

4.13 JUDGMENT INDEX: CIVIL

1) Courts shall have the capability to access judgment information through an automated search of the database by:

2) Results of the search shall include:

3) Judgments that are sealed or made confidential by order of the court shall not be accessible through an automated search of the database by persons who are not authorized to view such information.

4) Courts shall not maintain manual indexes or index cards for judgments entered after implementation of the automated system.

1) Courts shall maintain an alphabetic index of all civil judgments with indexing by the party against whom the judgment was entered. The index shall contain:

2) Civil judgment records for circuit level cases shall be maintained in a form approved by the State Judicial Records Committee.

3) A card file of all judgments in associate level civil cases shall be maintained. The cards shall be filed in alphabetic order under the name of each party against whom the judgment was entered.

4) Judgments that are sealed or made confidential by order of the court shall not be entered into indexes that are accessible by persons who are not authorized to view such information.

(Adopted eff. Jan. 1, 2004.)

4.14 JUDGMENT INDEX: CRIMINAL/MUNICIPAL

1) Judgment information shall be accessible through an automated search of the database by:

2) Results of the search shall include:

Judgment information for each defendant, including a summary of the judgment or sentencing order shall be entered on the case index card prepared pursuant to COR 4.09.

(Adopted eff. Jan. 1, 2004.)

4.15 ADMINISTRATIVE ORDERS FOR SUPPORT FILED BY THE FAMILY SUPPORT DIVISION – CHILD SUPPORT ENFORCEMENT

1) Administrative orders on existing Missouri judicial orders shall be assigned the same case number as the judicial order and filed in the judicial case file.

2) Other Administrative Paternity, Default and Consent Orders

3) Administrative Modifications of Administrative Orders

(Adopted eff. Jan. 1, 2004.)

4.16 TRANSCRIPT JUDGMENTS/ EMPLOYMENT SECURITY ASSESSMENTS

1) The transcript of judgment provided for in Supreme Court Rule 74.13 and the employment security assessment provided for in section 288.170 RSMo, shall be given a case number when filed.

2) Transcript judgments and employment security assessments shall be entered into the judgment index described in COR 4.13.

3) The original transcript or certificate shall be filed in case number sequence and stored in a secure location from which it may be readily retrieved.

(Adopted eff. Jan. 1, 2004.)

4.17 FOREIGN JUDGMENTS

Applications for registration of a foreign judgment under section 511.760 RSMo and pursuant to Supreme Court Rule 74.14, including orders for support and income withholding, shall be treated as civil cases. Judgment information shall be entered into the judgment index described in COR 4.13.

(Adopted eff. Jan. 1, 2004.)

4.18 MECHANICS’ AND MATERIALMEN’S LIENS

Liens filed pursuant to chapter 429 RSMo shall be given an identifying number when filed.

1) Courts shall have the capability to access lien information through an automated search of the database by:

2) Results of the search shall include:
3) No manual abstract of the lien shall be prepared.

1) An abstract, containing the same information as set forth in COR 4.18.1 for automated courts, shall be prepared for each lien filed.

2) Abstracts shall be maintained in alphabetic order by name of the party against whom the claim was entered.

(Adopted eff. Jan. 1, 2004.)

4.19 ABSTRACT OF EXECUTIONS FILED UNDER CHAPTER 513, RSMo

1) Courts shall have the capability to access execution information through an automated search of the database by plaintiff or defendant name.

2) Results of the search shall include:

3) No manual abstract of executions shall be prepared.

1) An abstract, containing the same information as set forth in COR 4.19.1 for automated courts, shall be prepared for each execution issued.

2) Abstracts shall be maintained in alphabetic order by plaintiff and defendant name.

(Adopted eff. Jan. 1, 2004.)

4.20 MISSOURI AUTOMATED CHILD SUPPORT SYSTEM (MACSS)

When information on past support payments and disbursements has been certified by the circuit clerk to the Family Support Payment Center, the information entered into MACSS becomes the official record.

(Adopted eff. Jan. 1, 2004.)

4.21 JURY RECORDS

Courts shall maintain the following records pertaining to grand and petit juries:

1) Master jury list;

2) Questionnaires submitted by prospective jurors:

3) Individuals comprising each jury panel;

4) Applications for postponement of or for disqualification or excuse from service;

5) Juror service dates; and

6) True bills and no true bills issued by grand juries:

(Adopted eff. Jan. 1, 2004.)

4.22 FILE MAINTENANCE/ SECURITY

1) File Storage

2) File Removal

3) File Check-Out

Other courts may use a library or out-card or automated system for their file-checkout.

(Adopted eff. Jan. 1, 2004.)

4.23 LOCAL RULES FOR FILE MAINTENANCE/ SECURITY

Nothing contained herein shall preclude a court from requiring additional measures for the maintenance and security of court records, as long as such rules do not conflict with COR 4.

(Adopted eff. Jan. 1, 2004.)

4.24 CONFIDENTIAL RECORDS

1) Confidential records shall be maintained so as to be inaccessible to the general public. Such records may be sealed. The following, including court docket sheets and indexes for these matters, are confidential:

2) The court shall consider all requests to inspect confidential records and may approve such requests if authorized by statute or Supreme Court Rule. A docket entry of the decision of the court shall be made.

(Adopted eff. Jan. 1, 2004.)

4.25 SEALED RECORDS

1) Records shall be stored in a sealed envelope within the case file or in a sealed envelope or other container apart from the case file. Sealed records stored within the file shall be removed prior to inspection of the case file by non-court personnel.

2) The case number, case description and date the record was sealed shall be noted on the envelope or container.

3) A court order shall be required to open records that have been sealed.

(Adopted eff. Jan. 1, 2004.)

4.26 EXPUNGED RECORDS

Records ordered to be expunged shall be destroyed, or if destruction of the record is not feasible, such record entries shall be blacked out.

(Adopted eff. Jan. 1, 2004.)

4.27 RECONSTRUCTION OF CASE FILE

If a case file is lost or destroyed, it may be reconstructed under the supervision of the court.

(Adopted eff. Jan. 1, 2004.)

4.28 REPORTING TO THE OFFICE OF STATE COURTS ADMINISTRATOR

Courts shall report case information to the Office of State Courts Administrator. Reporting requirements shall be approved by the State Judicial Records Committee.

1) Information that is required to be entered into an automated case management system approved for statewide use by the State Judicial Records Committee shall yield data that meets reporting requirements of the Committee.

2) Any information that is not entered or otherwise available through the automated system shall be reported at least monthly on forms or in a format approved by the Office of State Courts Administrator.

3) Courts shall comply on a timely basis with requests from the Office of State Courts Administrator to correct reporting errors or to supply information omitted from a previous report.

1) Required information that is accessible through the automated system shall be transmitted in a format approved by the Office of State Courts Administrator.

2) Any information that is not entered or otherwise available through the automated system shall be reported at least monthly on forms or in a format approved by the Office of State Courts Administrator.

3) Courts shall comply on a timely basis with requests from the Office of State Courts Administrator to correct reporting errors or to supply information omitted from a previous report.

1) Courts shall report on forms supplied by or in a format approved by the Office of State Courts Administrator. Information shall be submitted at least monthly and shall reflect all activity on required data elements that has occurred since the last report.

2) Courts shall comply on a timely basis with requests from the Office of State Courts Administrator to correct reporting errors or to supply information omitted from a previous report.

(Adopted eff. Jan. 1, 2004.)

4.29 MUNICIPAL DIVISION REPORTING TO THE MUNICIPALITY
On or before the 15th of each month, the Municipal Division shall submit to the municipality a copy of the monthly case load summary report for the preceding month required by Court Operating Rule 4.28.

(Adopted Dec. 20, 2006, eff. Jan. 1, 2007)

4.30 - 4.49 [RESERVED]
UNIFORM ACCOUNTING SYSTEM - COURT REGISTRY FUNDS

4.50 COR 4 GENERAL PROVISIONS SHALL APPLY

The general provisions of Court Operating Rule 4 shall apply to the Uniform Accounting System – Court Registry Funds section of this COR. Exceptions or additional requirements are set out below.

(Adopted eff. Jan. 1, 2004.)

4.51 UNIFORM ACCOUNTING SYSTEM MANDATORY

There shall be a uniform accounting system in the Circuit Court that shall be mandatory for all court registry fund payment and disbursement records. The uniform accounting system shall be maintained in accordance with the Recommended Accounting Guidelines and Recommended Accounting Review Procedures for Appointing Authorities promulgated by the Office of State Courts Administrator.

(Adopted eff. Jan. 1, 2004.)

4.52 ACCOUNTING RECORDS

1) The accounting records shall include:
2) Accounting records maintained in an automated system approved by the State Judicial Records Committee shall not be maintained manually.

(Adopted eff. Jan. 1, 2004.)

4.53 PRE-NUMBERED RECEIPTS

(Adopted eff. Jan. 1, 2004, Amended Sept. 13, 2013, eff. Jan. 1, 2014.)

4.54 CASH CONTROL RECORDS

A cash control record shall be established and maintained. The cash control record shall be a combined list of the amounts received and checks issued or shall be two separate lists, one of amounts received and one of checks issued. The cash control record shall include:

(Adopted eff. Jan. 1, 2004.)

4.55 CASE FEE RECORDS

A case fee record shall be established and maintained for each case, except a case fee record is not required when fines and judgments due the court are imposed and court costs are assessed, collected, and disbursed in one transaction on the case control record. The case fee record shall include:

(Adopted eff. Jan. 1, 2004.)

4.56 OPEN ITEMS RECORDS

A system to identify all cases with amounts on deposit with the court shall be established and maintained. A record of the open items balances shall be prepared monthly, and the balances on the record shall be identified by case number at least every December 31 or at the end of the fiscal year.

(Adopted eff. Jan. 1, 2004.)

4.57 UNCOLLECTED COSTS, FINES, AND JUDGMENTS

A system to identify all cases with amounts due the court shall be established and maintained.

(Adopted eff. Jan. 1, 2004.)

4.58 INVESTMENT RECORDS

An investment record shall be established and maintained for each investment account. The investment record shall include:

(Adopted eff. Jan. 1, 2004.)

4.59 MONTHLY RECONCILIATION RECORDS

All bank balances and open items records shall be reconciled at least monthly. A record of the reconciliation shall be maintained in the office of the clerk of the court.

(Adopted eff. Jan. 1, 2004.)