NYC History

What We're Working on Now: Indexing Felony Indictment Files

On November 25, 1878, Richard Plunkett wrote to a Mr. W. D. Sloane from his jail cell in “The Tombs” prison. “I will once again appeal to you for mercy not for myself but for my poor old father & mother who is on the brink of the grave and for my poor wife and two little children all of whom with yourself I have so cruelly wronged.” In another missive from his cell on the same day, he added with regard to his wife and children, “I don’t know what will become of them I suppose they will go to the poorhouse.”

“The Tombs” Prison with its distinctive “Egyptian” motif entrance, ca. 1880s. DeGregorio Lantern Slide Collection. NYC Municipal Archives.

The letters, and other documents can be found in the New York District Attorney’s felony prosecution file, Peo. v. Richard Plunkett, November 14, 1878. According to the Bill of Indictment, the Grand Jury indicted Mr. Plunkett for “Embezzlement and Grand Larceny” of money from the firm of W. & J. Sloane. The file included evidence in the form of a check made payable to “R. Plunkett” for One Thousand Sixty-Four Dollars,” [equivalent to about $30,000 currently] dated October 29, 1878, drawn on the Bank of New York.

In one of his several letters to the Sloane brothers, proprietors of the firm, Plunkett explains, “Mr. Sloane whatever money I took it was not to hoard up... if that was the case I could have taken tens of thousands; no, it was only when I had no money to satisfy my thirst for rum.”

Letter to W. D. Sloane, from Richard Plunkett, page 1, November 25, 1878. New York District Attorney Indictments Collection. NYC Municipal Archives.

Letter to W. D. Sloane, page 2. New York District Attorney Indictments Collection. NYC Municipal Archives.

These letters, and many thousands of similar documents, are found in the New York District Attorney’s closed case file collection, one of the series of records pertaining to the administration of criminal justice in the Municipal Archives.

Beginning in 1990, the National Endowment for the Humanities (NEH) awarded grant funds to the Municipal Archives for several projects to ensure long-term preservation and provide greater access for selected series in the collection. The types of material include docket books, minutes of court proceedings, and case files. They currently total more than 20,000 cubic feet, and date from 1684 through the 1980s.

Bill of Indictment, for “Larceny of Money & Etc. from the Person in the Night,” with notation of conviction, 1878. New York District Attorney Indictments Collection. NYC Municipal Archives.

Among the preservation projects, the Endowment supported indexing the New York District attorney’s felony indictments from 1879 through 1894. Creation of that index greatly expanded the utility of the series for social historians and other researchers. The Archives is currently continuing the indexing effort, beginning with cases filed in 1878 and working in reverse chronological order.

The records being indexed consist of the “files” or papers, produced over the course of the felony indictment process. Each file pertains to a particular defendant accused of a felony. The case files generally include three types of documents: 1) the grand jury indictment (a “bill” of indictment), signed by the foreman; 2) documents generated by the lower courts—police or magistrate’s—including the defendant’s plea; and 3) supporting documents including witness statements, coroner’s inquests, photographs, newspaper clippings, correspondence, diaries, marriage certificates, business cards, and bankbooks.  

Plea Statement, Police Court, 1878. New York District Attorney Indictments Collection. NYC Municipal Archives.

The first document in most case files is the formal indictment; it serves as a cover sheet for the succeeding items in the file. It typically reads, “The People vs.... [name of defendant]” and lists the alleged offense, name of counsel, date of indictment, name of district attorney, and whether or not the defendant has been bailed. It is signed by the foreman of the grand jury. There is usually a notation indicating the trial outcome, e.g. “tried and acquitted” or, “convicted” and sometimes if convicted, the sentence, e.g. “S.P. (State Penitentiary), 10 years.” The indictment also includes a full account of the alleged criminal offense; for more routine crimes, this usually consists of a printed form where the clerk simply fills in the name of the defendant. Otherwise, it is a very detailed written statement.

The file includes various documents generated during the arraignment process in the police court. They comprise the original “complaint” filed by a police officer, the victim of the crime, or an officer of an organization such as the Society for the Prevention of Cruelty to Children. The forms detail the names of the police court justice, arresting officer, court clerk, and witnesses. Other papers provide detailed information as to the time, place, and circumstances of the offense. These documents provide the rich descriptive information that researchers often find the most rewarding.

The lower court documents also include the defendant’s plea statement. The form consists of a series of questions that the clerk would ask of the defendant: “What is your name? How old are you? Where were you born? Where do you live? What is your occupation?” And finally, “Have you anything to say, and if so, what relative to the charge here preferred against you?” The answer is usually “I am not guilty.” The court clerk records the answers and the defendant signs the document, or makes an “X” if unable to write.

Bill of Indictment, for “Arson” with notation of circumstances and dismissal, 1878. New York District Attorney Indictments Collection. NYC Municipal Archives.

The types of cases found in this series include indictments for more than seventy felony offenses ranging from abandoning a child to voting illegally and every other possible felony: bigamy, fraud, libel, homicide, rape, forgery, arson, poisoning, rioting, embezzlement, kidnaping, perjury, and keeping a disorderly house, to name a few. The more routine larceny, assault, and robbery are very well represented.

Letter to District Attorney, in Peo. v McCoy, 1878. New York District Attorney Indictments Collection. NYC Municipal Archives.

Thanks to widespread availability of digitized newspapers, combined with the felony indictment index database, patrons can now access case files that previously would have been exceedingly difficult to identify. Armed with the name of a defendant and a date of the criminal transgression (usually from a newspaper article), these patrons are rewarded with unique and detailed information.

For family history researchers, it is not necessarily the criminal offenses that are of interest, but rather the other details about the defendants, their families, residences, occupations, possessions—information typically found in the files—that is so valuable and not available from any other source.

The large quantity of these records suggests that criminal activity was a significant and unfortunate fact of life in New York City at that time. However, the records which are the written legacy of that world now provide a windfall for scholars and other researchers as they seek to illuminate the past.

What may not be evident from this description of the records is the level of detail concerning daily life illuminated by the written account of the circumstances of a crime. The description also does not convey the emotions and passions that are revealed in the records. Many attachments in the files, such as letters from family and friends to the district attorney or the courts, are poignant and telling.

Check, evidence in Peo. V. Plunkett, 1878. New York District Attorney Indictments Collection. NYC Municipal Archives.

Returning to Mr. Plunkett, the notation on the Bill of Indictment indicates that he pled guilty to Grand Larceny and was sentenced to the penitentiary for two years. One additional document in the file, dated October 7, 1879, Albany, N.Y. from the New York State Executive Chamber to the New York District Attorney provides further evidence of the outcome. The letter stated that an application had been made to the Governor for the “Pardon of Richard Plunkett” and requested the District Attorney to furnish to the Governor “…with a concise statement of the case as proven on the trial, together with any other facts or circumstances which may have been a bearing on the question of granting or refusing a Pardon.” There is not any documentation in this file on whether the pardon was granted.

The drama of Mr. Plunkett’s predicament and those of the many thousands of other defendants in the Municipal Archives’ collections are unique records that in many instances are the only extant documentation of that person’s existence. Given the value of this series the Municipal Archives believes devoting resources to expanding access is a worthwhile endeavor.

The Old Town Records Collection: A Frenchman’s Possessions

Records in the Municipal Archives sometimes offer a glimpse of what people owned in the past. An entry in the Town of Bushwick records gives us a rare glimpse into the belongings of a Brooklyn resident more than 350 years ago. The entry is titled “Inventory of the property which was found in the house of Jan Maljaart, a Frenchman, on April 29, 1664.”

New Utrecht: A Library Catalogue, circa 1796

New Netherlands. Long Island. Kings County. Brooklyn. New York City. New Utrecht can claim being part of all these jurisdictions during its long history. Established in 1652 as one of the original six towns in Kings County, New Utrecht is now better known as the Bay Ridge and Bensonhurst neighborhoods in the Borough of Brooklyn.   

Recently, archivists processing the Old Town record collection discovered a document titled, “Catalogue of Lane District Library New Utrecht” that gives us unique insight into colonial-era libraries and schools.

The Manhattan Department of Buildings Docket Book Collection, 1866-1959

This blog will describe the Manhattan DOB docket book collection; future blogs will provide information about extant docket books for the other boroughs.

On June 9, 1977, Eugene J. Bockman, Director of the Municipal Reference and Research Center (and the first Commissioner of the Department of Records and Information Services), wrote to Department of Buildings (DOB) Commissioner Jeremiah T. Walsh alerting him to “. . . a potentially dangerous situation” regarding the DOB docket books dating from 1866 through 1915. 

In the 1970s, the DOB was located on the 20th floor of the Municipal Building and the docket books were on open shelves in a public hallway outside their offices. Bockman explained that it had been brought to his attention that the docket books were being “borrowed” for periods of time and not always returned. Bockman offered to house the books in the Municipal Reference and Research Center, located on the 22nd floor of the Municipal Building. He noted that they would be under “constant supervision” by the librarians but still easily accessible to DOB staff and others requiring access.

“The docket books . . . are extremely valuable historical resources,” Bockman added.

Walsh granted Bockman’s request and the pre-1916 docket books were moved to the Library. Three years later, in March 1980, the Municipal Archives accessioned the docket books from the Library. Municipal Archives staff working on the grant-funded Manhattan Building Records project at that time made frequent use of the docket books. In April 1982, the Municipal Archives accessioned the docket books dating from 1916 through 1959 from the DOB. During the 1980s, the Archives solicited donations to re-bind several of the earliest volumes. The Archives microfilmed the entire docket book series in 1989.

Manhattan Department of Buildings Alteration Docket Books. Manhattan Department of Buildings Docket Book Collection, 1866-1959. NYC Municipal Archives.

There are five series in the docket book collection:

  1. New Building Application dockets, 1866-1916, (31 volumes)

  2. New Building Docket Application Index dockets, 1866-1911, (29 volumes)

  3. Alteration Application dockets, 1866-1910, (29 volumes)

  4. Alteration Application Index dockets, 1866-1915, (37 volumes)

  5. Application dockets, 1916-1959, (151 volumes).

On June 4, 1866, the DOB began requiring the filing of written applications, with plans, for the construction of new buildings or alterations to existing structures. They began recording summary information about each application in large, ledger-type books. Prior to 1916, they maintained separate ledgers for new building and alteration applications, and alphabetical indexes to each series.  

Left and right pages of the New Building application docket book from 1880. No. 829 is the application to building no. 1 West 72nd Street, later known as the “Dakota” apartment building.

The building application was filed with the “French Flats” classification, a designation the DOB used after 1874 to denote a multi-family dwelling with more amenities designed to appeal to middle-class families. Manhattan Department of Buildings Docket Book Collection, 1866-1959. NYC Municipal Archives.

The New Building and Alteration Application ledgers are organized in column format on two facing pages in two sections; across the top of the page and then continuing across the lower portion. The pre-1916 ledgers record extensive information about each application.

Reading left to right, headings at the top of the left-hand page:

  • Plan no. /Date Submitted /Location /Street No. /Owner /Architect /Building /Ward No.

Reading left to right, headings at the top of the right-hand page:

  • Value /Size of Lot /Size of Building /Height in Stories /Foundation Specifications /Upper Walls Specifications /Materials of Front /Type of Roof /Material of Cornice.

Reading left to right, headings at the lower half of the left-hand page:

  • Plan No. /Iron Shutters /Configuration of Roof /Access to Roof /Type of Walls /Strength of Floors /Trap Doors /Fire Escapes /Type of Furnaces /Type of Building (1st Class Dwelling, 2nd Class Dwelling, etc.)

Reading left to right, headings at the lower half of the right-hand page:

  • Approved /Not Approved /Amended and Approved /Date Commenced /Date Completed /Name of Inspector /Remarks.

In April 1916, the Manhattan office of the DOB began recording docket book information on 10 ½” square typewritten forms bound into volumes.  

The new typewritten form also coincided with an expansion in the number and types of applications recorded in the docket books. In addition to the New Building (NB) and Alteration (ALT) applications, the ledgers also included Demolition Permits (DP), Building Notices for minor work (BN), Electric Sign applications (ES), Dumbwaiter installations (DW), Sign Applications (SA), Computations (determination of safe floor loads), Elevators (sometimes accompanying alteration or new building applications), and Plumbing & Drainage Applications (P &D).

New Building (NB) Applications filed April 23, 1931. These entries include the first building applications for Rockefeller Center, including the RCA Building (NB 77 of 1931) and an early, unbuilt version of Radio City Music Hall (NB 78 of 1931). The entry is the only extant government record for this structure since the application itself was disposed when it was withdrawn. Manhattan Department of Buildings Docket Book Collection, 1866-1959. NYC Municipal Archives.

The typewritten format adopted by the DOB in 1916 improved legibility and permitted more narrative accounts, especially important for alteration applications. Alteration application 176 of 1931 pertaining to 35 Beekman Place is an example. It had been built as a private residence in 1866, and later altered to a tenement (i.e. multi-family dwelling) when the area became less desirable. As recorded in the 1931 application, the building would be altered back to a single- family residence in keeping with the revival of Beekman and Sutton Places as fashionable residential neighborhoods. Manhattan Department of Buildings Docket Book Collection, 1866-1959. NYC Municipal Archives.

New Building Application Index, 1880. Manhattan Department of Buildings Docket Book Collection, 1866-1959. NYC Municipal Archives.

There are several ways to find a docket book entry.

If the New Building application dates between 1866 and 1911, or the Alteration application dates between 1866 and 1915, the index volumes can be searched to identify the application number and relevant entry in the NB or ALT dockets. The indexes are based on location—i.e. street address of the building. In many instances, the location is rendered in distance from a street or avenue. For example an entry in the 1880 NB index for the letter “E” written as “83 S.S. 125’ W. 10th” translates to: 83rd Street, South Side, 125-feet west of 10th Avenue. It is also important to note that street names may have changed in the succeeding decades. For example, the Dakota Apartment building, is listed on the 1880 index under the letter “E” for Eighth Avenue; the name change to Central Park West did not take place until the 20th century.

Another avenue to identifying application numbers is the Department of Building’s website. Entering building address or block and lot numbers into the search box on their Building Information System (BIS) brings up a “Property Profile Overview.” At the bottom of that screen there is a “select from list” box where the application type, e.g. NB—New Building, can be chosen. After clicking “show actions” the relevant New Building application number will appear in the search results. Using the Dakota apartment building again as an example, entering the current address, 1 West 72nd Street results in NB 829-80* in the search result. (The asterisk indicates the date is 1880, not 1980.)

Another approach is using the searchable database created by the Office for Metropolitan History (OMH). Founded in 1975 by the late Christopher Gray, an architectural historian and journalist (he wrote the popular “Streetscapes” column in the Real Estate section of The New York Times from 1987 to 2014), the OMH website is another excellent resource for identifying New Building applications filed after 1900. The OMH data was entered from building application information published in the Real Estate Record and Builders Guide. Digitized copies of the Real Estate Record, 1868 through 1922, are available from Columbia University Libraries Digital Collections.  Although the online Real Estate Record is not a particularly user-friendly tool, it is still a great resource for the pre-1900 information not available in the OMH database.

New Building Applications Filed March 30, 1922. Application no. 188 for a two-story fireproof garage. It was designed by architect Hector C. Hamilton. Manhattan Department of Buildings Docket Book Collection, 1866-1959. NYC Municipal Archives.

Tunnel Garage, 1940 Tax Photograph Collection. NYC Municipal Archives.

The OMH database is particularly useful for researching demolished buildings, or finding information that isn’t on the DOB website. In 2006, a building known as the “Tunnel Garage,” located on Broome Street, near the entrance to the Holland Tunnel, was demolished despite a vigorous campaign by preservationists. According to the Greenwich Village Society for Historic Preservation, the garage had been admired for its “bold graphic lettering, its green and orange terra cotta ornamental accents, its original casement windows, and its striking rounded corner.” It fell into disrepair during the 1980s and was replaced by a nine-story luxury condo. Perhaps tenants of the new building might want to know something about what previously stood on the site. If they did, the answer is readily available by entering address data into the OMH database: NB application: no. 188 of 1922.

The Municipal Archives’ related collection, the Manhattan DOB ‘block and lot folder’ series also serves as an option for identifying application numbers for buildings in lower Manhattan, below block 965. As described in previous blogs [add link], the “block and lot folder” portion of the DOB collection contains the original written applications. Most folders show the application contents listed by application number. But if the application is missing from the folder, the docket books can at least supply summary information.

In addition to providing information about specific buildings, the docket books serve to document the work of architects practicing in the city, and general research on the built environment. Mosette Broderick, Clinical Professor of Art History, New York University, spent many hours at the Archives in the early 1980s reviewing all the New Building and Alteration docket books from 1866 through 1910. “I learned how the city grew,” Professor Broderick remembered in a recent conversation. By tracking new building location information in the dockets she could see patterns of development. She also added that she discovered several smaller, less well-known projects by the renowned architect Stanford White in the dockets.

Eugene Bockman’s remark about the importance of the docket books was accurate and prescient. They have served generations of researchers and future digitization (they are on the priority list) will enhance their significance.