Kansas Records Retention Schedules

36 Schedule Entries Found:

Agency Number: 094-001
Office of the State Bank Commissioner

SERIES ID	0001-094
TITLE	Abstracted Bank History
DESCRIPTION	Ledgers listing banks and any changes in name, location, status, disposition, etc. and maintained for convenience of reference. a.k.a. A-B Books.
RETENTION	See Comments
COMMENTS	Retain permanently or transfer to the archives when no longer useful.
DISPOSITION	Archives
RESTRICTIONS	KSA 9-1712
APPROVED	1997-01-09
K.A.R. NUMBER	53-2-110

SERIES ID	0002-094
TITLE	Amendments to Articles of Incorporation
DESCRIPTION	Copies of various amendments to articles of incorporation of regulated entities originally filed with the Secretary of State's Office.
RETENTION	See Comments
COMMENTS	Retain until no longer useful, then destroy.
DISPOSITION	Destroy
RESTRICTIONS	None
APPROVED	1997-01-09
K.A.R. NUMBER	53-2-110

SERIES ID	0003-094
TITLE	Annual Reports
DESCRIPTION	Oaths of directors, list of stockholders, list of director and officers submitted yearly by all regulated entities to the Bank Commissioner as required by KSA 9-1118 and 9-805.
RETENTION	001 cldr yr
COMMENTS	Microfilm, then destroy hard copy.
DISPOSITION	Archives
RESTRICTIONS	None
APPROVED	1998-07-14
K.A.R. NUMBER	53-2-116

SERIES ID	0004-094
TITLE	Annual Trust Questionnaire
DESCRIPTION	Questionnaire completed by trust departments/companies listing the types and numbers of trust accounts and the market value of fiduciary assets used to establish fees paid to the Bank Commissioner.
RETENTION	See Comments
COMMENTS	Retain until no longer useful, then destroy.
DISPOSITION	Destroy
RESTRICTIONS	KSA 9-1712
APPROVED	1997-01-19
K.A.R. NUMBER	53-2-110

SERIES ID	0005-094
TITLE	Audits - Revenue Bond Issuers
DESCRIPTION	Annual audits compiled by revenue bond issuers to document an acceptable debt service ratio as required by KAR 17-14-1.
RETENTION	See Comments
COMMENTS	Retain until superseded or no longer useful, then destroy.
DISPOSITION	Destroy
RESTRICTIONS	None
APPROVED	1997-01-09
K.A.R. NUMBER	53-2-110

SERIES ID	0006-094
TITLE	Bank Moratorium of March 3, 1933
DESCRIPTION	Letters and telegrams relating to the bank moratorium reasserting control of banks in Kansas.
RETENTION	See Comments
COMMENTS	Transfer immediately to the archives.
DISPOSITION	Archives
RESTRICTIONS	None
APPROVED	1997-01-09
K.A.R. NUMBER	53-2-110

SERIES ID	0007-094
TITLE	Banking Board Files
DESCRIPTION	Agenda, summaries of bank applications, correspondence, tape recordings, etc. documenting bank related activities conducted at the monthly board meetings.
RETENTION	See Comments
COMMENTS	Retain until no longer useful, then transfer to the archives for purging. Tape recordings were the official record from Feb. 1993 through Aug 1996.
DISPOSITION	Archives
RESTRICTIONS	KSA 9-1712
APPROVED	1997-01-09
K.A.R. NUMBER	53-2-110

SERIES ID	0008-094
TITLE	Biennial Reports
DESCRIPTION	Reports produced listing all the state charter banks, charter date, officer and directors, and balance sheets.
RETENTION	See Comments
COMMENTS	Retain until no longer useful, then transfer to the archives for purging.
DISPOSITION	Archives
RESTRICTIONS	None
APPROVED	1997-01-09
K.A.R. NUMBER	53-2-110

SERIES ID	0009-094
TITLE	Call In Sheets
DESCRIPTION	Work papers relating to nearly completed regulated entities examinations conducted by bank reviewers reporting progress to the central office.
RETENTION	See Comments
COMMENTS	Retain until no longer useful, then destroy.
DISPOSITION	Destroy
RESTRICTIONS	KSA 9-1712
APPROVED	1997-01-09
K.A.R. NUMBER	53-2-110

SERIES ID	0010-094
TITLE	Call Reports - Banks
DESCRIPTION	Consolidated reports of condition and income of banks including the balance sheets and income statements.
RETENTION	001 cldr yr
COMMENTS	Microfilm hard copies, then destroy. Since July 1995, the Bank Commissioner is no longer receiving paper copies for banks, only CD-ROM. Retain CD-ROM copies until no longer useful, then transfer to the archives.
DISPOSITION	Archives
RESTRICTIONS	Call Report instructions
APPROVED	1998-07-14
K.A.R. NUMBER	53-2-116

SERIES ID	0011-094
TITLE	Call Reports - Trust Companies
DESCRIPTION	Annual consolidated reports of condition and income of trust companies including the balance sheets and income statements.
RETENTION	001 cldr yr
COMMENTS
DISPOSITION	Archives
RESTRICTIONS	KSA 9-1704
APPROVED	1997-01-09
K.A.R. NUMBER	53-2-110

SERIES ID	0012-094
TITLE	Charters - Regulated Entities
DESCRIPTION	Charters granted to individual regulated entities as required by KSA 9-1801 to conduct business in the state.
RETENTION	See Comments
COMMENTS	Transfer defunct charters to the archives in one annual shipment.
DISPOSITION	Archives
RESTRICTIONS	None
APPROVED	1997-01-09
K.A.R. NUMBER	53-2-110

SERIES ID	0013-094
TITLE	Closed Banks and Closed Credit Unions Notebooks
DESCRIPTION	Notebooks containing the name, date, location of failed banks and credit unions, the receiver, attorney, etc. and maintained for convenience of reference.
RETENTION	See Comments
COMMENTS	Obsolete series. Retain until no longer useful, then transfer to the archives.
DISPOSITION	Archives
RESTRICTIONS	None
APPROVED	1997-01-09
K.A.R. NUMBER	53-2-110

SERIES ID	0014-094
TITLE	Comparative Abstracts
DESCRIPTION	Cumulative balance and income statement sheets listing the financial condition and status of regulated entities.
RETENTION	See Comments
COMMENTS	Obsolete series, transfer immediately to the archives.
DISPOSITION	Archives
RESTRICTIONS	None
APPROVED	1997-01-09
K.A.R. NUMBER	53-2-110

SERIES ID	0015-094
TITLE	Consumer Complaint and Resolution File
DESCRIPTION	Informal procedure relating to banking consumer complaints directed to the Bank Commissioner and includes copies of the bank's response to those complaints.
RETENTION	001 cldr yr
COMMENTS
DISPOSITION	Destroy
RESTRICTIONS	KSA 45-221(a)(14)
APPROVED	1997-01-09
K.A.R. NUMBER	53-2-110

SERIES ID	0016-094
TITLE	Correspondence - Closed Banks
DESCRIPTION	Letters and memoranda regarding outside inquiries on closed banks.
RETENTION	See Comments
COMMENTS	Obsolete series, destroy immediately.
DISPOSITION	Destroy
RESTRICTIONS	None
APPROVED	1997-01-09
K.A.R. NUMBER	53-2-110

SERIES ID	0017-094
TITLE	Correspondence - Legal
DESCRIPTION	Incoming letters and memoranda sent to the Bank Commissioner regarding routine interpretations of banking law, banking law surveys, etc.
RETENTION	003 cldr yrs
COMMENTS
DISPOSITION	Destroy
RESTRICTIONS	None
APPROVED	1997-01-09
K.A.R. NUMBER	53-2-110

SERIES ID	0018-094
TITLE	Correspondence - Regulated Entities
DESCRIPTION	Incoming letters and copies of the responses to regulated entities and/or to third parties regarding the financial condition and status of regulated entities.
RETENTION	005 cldr yrs
COMMENTS	May be scanning into an imaging system at a future date.
DISPOSITION	Destroy
RESTRICTIONS	KSA 9-1712
APPROVED	1997-01-09
K.A.R. NUMBER	53-2-110

SERIES ID	0020-094
TITLE	Enforcement Actions
DESCRIPTION	Cease or desist order, directive, memo of understanding, etc. issued by the Bank Commissioner regarding problems discovered by bank reviewers during the examination process used to correct weaknesses.
RETENTION	See Comments
COMMENTS	Retain until no longer useful, then transfer to the archives for purging.
DISPOSITION	Archives
RESTRICTIONS	KSA 9-1712
APPROVED	1997-01-09
K.A.R. NUMBER	53-2-110

SERIES ID	0021-094
TITLE	Failed Banks Packets
DESCRIPTION	Correspondence, Federal Deposit Insurance Corporation (FDIC) receivership information, etc. relating to closed banks.
RETENTION	See Comments
COMMENTS	Retain until no longer useful, then transfer to the archives.
DISPOSITION	Archives
RESTRICTIONS	KSA 9-1712
APPROVED	1997-01-09
K.A.R. NUMBER	53-2-110

SERIES ID	0022-094
TITLE	Fidelity Bonds
DESCRIPTION	Copy of fidelity bond, declaration page, proof of payment, correspondence, etc. required by KSA 9-1115 and 17-5319 for all regulated entities to ensure against employee theft, etc.
RETENTION	See Comments
COMMENTS	Retain until superseded or no longer useful, then destroy.
DISPOSITION	Destroy
RESTRICTIONS	KSA 9-1712
APPROVED	1997-01-09
K.A.R. NUMBER	53-2-110

SERIES ID	0023-094
TITLE	Legal Research Files
DESCRIPTION	Copies of documents retained for convenience of reference relating to banking legal issues.
RETENTION	See Comments
COMMENTS	Retain until no longer useful, then transfer to the archives for purging.
DISPOSITION	Archives
RESTRICTIONS	KSA 9-1712 & 45-221(a)(25)
APPROVED	1997-01-09
K.A.R. NUMBER	53-2-110

SERIES ID	0025-094
TITLE	Legislative Relations Files - Legislative Testimony
DESCRIPTION	Copies of bills, drafts of legislation, copies of statutes, notes, and testimony related to various legislative initiatives.
RETENTION	See Comments
COMMENTS	Retain until no longer useful, then transfer to the archives for purging.
DISPOSITION	Archives
RESTRICTIONS	None
APPROVED	1997-01-09
K.A.R. NUMBER	53-2-110

SERIES ID	0024-094
TITLE	Legislative Relations Files - Research
DESCRIPTION	Copies of bills, drafts of legislation, copies of statutes, notes, correspondence, etc. relating to legislative research compiled by staff regarding a variety of agency interests.
RETENTION	See Comments
COMMENTS	Retain until no longer useful, then transfer to the archives for purging.
DISPOSITION	Archives
RESTRICTIONS	None
APPROVED	1997-01-09
K.A.R. NUMBER	53-2-110

SERIES ID	0026-094
TITLE	Line Sheets
DESCRIPTION	Work papers completed by bank reviewers listing each loan, the property state, and term name which is used to analyze the loan for any problems.
RETENTION	See Comments
COMMENTS	Retain until superseded or no longer useful, then destroy.
DISPOSITION	Destroy
RESTRICTIONS	KSA 9-1712
APPROVED	1997-01-09
K.A.R. NUMBER	53-2-110

SERIES ID	0027-094
TITLE	Memo Book
DESCRIPTION	Memos related to policy and non-policy information issued by the Bank Commissioner.
RETENTION	See Comments
COMMENTS	Transfer new and replaced memos to the archives in an annual shipment.
DISPOSITION	Archives
RESTRICTIONS	KSA 9-1712
APPROVED	1997-01-09
K.A.R. NUMBER	53-2-110

SERIES ID	0028-094
TITLE	Minutes - Staff Meeting
DESCRIPTION	Minutes of daily staff meetings summarizing bank correspondence, examination problems, etc.
RETENTION	Permanent
COMMENTS	Supersedes general schedule entry for "Minutes." Data stored offline should be refreshed periodically to ensure data integrity. All data should be migrated to new electronic information systems as needed.
DISPOSITION	Permanent
RESTRICTIONS	KSA 9-1712
APPROVED	1997-01-09
K.A.R. NUMBER	53-2-110

SERIES ID	0029-094
TITLE	Monitoring Sheets
DESCRIPTION	Work sheets generated for use in the central office summarizing examinations conducted by bank reviewers regarding problem regulated entities.
RETENTION	See Comments
COMMENTS	Retain until no longer useful, then destroy.
DISPOSITION	Destroy
RESTRICTIONS	KSA 9-1712
APPROVED	1997-01-09
K.A.R. NUMBER	53-2-110

SERIES ID	0030-094
TITLE	Personnel Information Files
DESCRIPTION	Notebook relating to internal and state-wide personnel related policies and intended for new employee orientation.
RETENTION	See Comments
COMMENTS	Transfer new and replaced memos annually to the archives for purging.
DISPOSITION	Archives
RESTRICTIONS	None
APPROVED	1997-01-09
K.A.R. NUMBER	53-2-110

SERIES ID	0031-094
TITLE	Reports of Examination
DESCRIPTION	Reports completed by bank reviewers examining the financial condition and status of regulated entities as required by KSA 9-1701.
RETENTION	005 cldr yrs
COMMENTS	Microfilm, then destroy hard copy or transfer to the archives if microfilm does not meet archival standards. Retain microfilm until no longer useful, then transfer to the archives. May eventually scan.
DISPOSITION	Archives
RESTRICTIONS	KSA 9-1712
APPROVED	1997-01-09
K.A.R. NUMBER	53-2-110

SERIES ID	0032-094
TITLE	Revenue Bond Approval Requests
DESCRIPTION	Prospectus, attorney opinion and other documentation as required by KAR 17-14-1 relating to the bond issuance approval process.
RETENTION	See Comments
COMMENTS	Retain 5 years after last issue maturity date, then destroy.
DISPOSITION	Destroy
RESTRICTIONS	None
APPROVED	1997-01-09
K.A.R. NUMBER	53-2-110

SERIES ID	0033-094
TITLE	Thrift Financial Report - Savings and Loans
DESCRIPTION	Quarterly consolidated reports of condition and income of savings and loans including the balance sheets and income statements.
RETENTION	001 cldr yr
COMMENTS
DISPOSITION	Archives
RESTRICTIONS	KSA 17-5610
APPROVED	1997-01-09
K.A.R. NUMBER	53-2-110

SERIES ID	0034-094
TITLE	Topic Files
DESCRIPTION	Documents relating to a wide variety of agency interests and maintained for convenience of reference.
RETENTION	See Comments
COMMENTS	Retain until no longer useful, then transfer to the archives for purging.
DISPOSITION	Archives
RESTRICTIONS	Portions per KSA 9-1712.
APPROVED	1997-01-09
K.A.R. NUMBER	53-2-110

SERIES ID	0035-094
TITLE	Weekly Highlights Newsletter
DESCRIPTION	Weekly newsletters updating staff on examination concerns, personnel issues, etc.
RETENTION	See Comments
COMMENTS	Retain until no longer useful, then destroy.
DISPOSITION	Destroy
RESTRICTIONS	None
APPROVED	1997-01-09
K.A.R. NUMBER	53-2-110

SERIES ID	0036-094
TITLE	Work Papers - Exam
DESCRIPTION	Variety of documents relating to the examination process conducted by bank reviewers on regulated entities.
RETENTION	See Comments
COMMENTS	Retain until no longer useful, then destroy.
DISPOSITION	Destroy
RESTRICTIONS	KSA 9-1712
APPROVED	1997-01-09
K.A.R. NUMBER	53-2-110

Agency Number: 094-005
Office of the State Bank Commissioner
Criminal History Records Section
Criminal History Records Section

SERIES ID	0019-094
TITLE	Criminal Referrals
DESCRIPTION	Copies of Federal Deposit Insurance Corporation (FDIC) reports filed by regulated entities describing crimes or suspicious activities.
RETENTION	003 cldr yrs
COMMENTS	Obsolete series.
DISPOSITION	Destroy
RESTRICTIONS	KSA 45-221(a)(10)
APPROVED	1997-01-09
K.A.R. NUMBER	53-2-110

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