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Kansas Records Retention Schedules

Results of Query:

Agency Code: 094 (Office of the State Bank Commissioner)

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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 See comments 
RESTRICTIONS None 
APPROVED 2014-01-23 
K.A.R. NUMBER 53-2-179 

SERIES ID 0037-094 
TITLE Administrative Interpretations 
DESCRIPTION Formally issued interpretations of the Kansas Uniform Consumer Credit Code authorized pursuant to KSA 16a-6-104. 
RETENTION See comments 
COMMENTS Retain until revoked or superceded, then transfer a copy to the State Archives. Records may be maintained in electronic format per Electronic Recordkeeping Plan. 
DISPOSITION Archives 
RESTRICTIONS None 
APPROVED 2014-01-23 
K.A.R. NUMBER 53-2-179 

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 stamped for approval and submitted to the Kansas Secretary of State. No copies retained by the Office of the State Banking Commissioner. 
DISPOSITION See comments 
RESTRICTIONS None 
APPROVED 2014-01-23 
K.A.R. NUMBER 53-2-179 

SERIES ID 0003-094 
TITLE Annual Reports of Regulated Entities 
DESCRIPTION Annual reports required to be submitted by regulated entities reporting officers, owners, and business activities.  
RETENTION Permanent 
COMMENTS Records may be maintained in electronic format per Electronic Recordkeeping Plan.  
DISPOSITION Permanent 
RESTRICTIONS Portions KSA 45-221(a)(30) 
APPROVED 2014-01-23 
K.A.R. NUMBER 53-2-179 

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 1 year from date of audit 
COMMENTS Records may be maintained in electronic form per Electronic Recordkeeping Plan. 
DISPOSITION Destroy 
RESTRICTIONS None 
APPROVED 2014-01-23 
K.A.R. NUMBER 53-2-179 

SERIES ID 0007-094 
TITLE Banking Board Files 
DESCRIPTION Agenda, minutes, summaries of bank applications, correspondence, tape recordings, etc. documenting bank related activities conducted at the monthly board meetings. 
RETENTION See comments 
COMMENTS Transfer 1 copy to the State Archives after 1 calendar year; maintain copy in agency permanently. Records may be maintained in electronic format per Electronic Recordkeeping Plan. 
DISPOSITION Archives 
RESTRICTIONS Portions per KSA 9-1712 
APPROVED 2014-01-23  ; Revised 2014-01-24
K.A.R. NUMBER 53-2-179 

SERIES ID 0038-094 
TITLE Banking Division Application Logs 
DESCRIPTION Lists of applications received and statuses of each.  
RETENTION 005 cldr years 
COMMENTS Records may be maintained electronically per Electronic Recordkeeping Plan. 
DISPOSITION Destroy 
RESTRICTIONS Portions per KSA 9-1712 
APPROVED 2014-01-23 
K.A.R. NUMBER 53-2-179 

SERIES ID 0039-094 
TITLE Banking Division Applications 
DESCRIPTION Applications pertaining to bank holding companies, banks, trust companies and money transmitters. 
RETENTION Permanent 
COMMENTS Records may be maintained electronically per Electronic Recordkeeping Plan. 
DISPOSITION Permanent 
RESTRICTIONS Portions per KSA 9-1712, KSA 45-221(a)(1)(30) 
APPROVED 2014-01-23 
K.A.R. NUMBER 53-2-179 

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 005 cldr years 
COMMENTS Records may be maintained in electronic format. Kansas Secretary of State maintains original filings. 
DISPOSITION Destroy 
RESTRICTIONS KSA 9-1712 
APPROVED 2014-01-23 
K.A.R. NUMBER 53-2-179 

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 0040-094 
TITLE Closed Bank Files - No Longer Supervised By Office of the State Bank Commissioner 
DESCRIPTION Bank files for banks that no longer are supervised by the Office of the State Bank Commissioner, as a result of a merger, purchase and assumption, dissolution, conversion, or other action.  
RETENTION 001 cldr year 
COMMENTS Records may be maintained electronically per Electronic Recordkeeping Plan. 
DISPOSITION Destroy 
RESTRICTIONS Portions per KSA 9-1712 
APPROVED 2014-01-23 
K.A.R. NUMBER 53-2-179 

SERIES ID 0015-094 
TITLE Consumer Complaint and Resolution File 
DESCRIPTION Correspondence and other documents relating to written complaints directed to the agency.  
RETENTION 003 cldr years 
COMMENTS Records may be maintained in electronic format per Electronic Recordkeeping Plan. 
DISPOSITION Destroy 
RESTRICTIONS Portions per K.S.A. 45-221(a)(30) 
APPROVED 2014-01-23 
K.A.R. NUMBER 53-2-179 

SERIES ID 0017-094 
TITLE Correspondence - Legal 
DESCRIPTION Written inquiries from regulated entites and the general public pertaining to the agency's regulatory jurisdiction and the agency's responses.  
RETENTION 005 cldr years 
COMMENTS Records may be maintained in electronic format per Electronic Recordkeeping Plan. 
DISPOSITION Destroy 
RESTRICTIONS Portions KSA 45-221(a)(30) 
APPROVED 2014-01-23 
K.A.R. NUMBER 53-2-179 

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 Records may be maintained in electronic format per Electronic Recordkeeping Plan. 
DISPOSITION Destroy 
RESTRICTIONS KSA 9-1712 & KSA 9-2217 & KSA 16a-6-106 
APPROVED 2014-01-23 
K.A.R. NUMBER 53-2-179 

SERIES ID 0021-094 
TITLE Failed Banks files 
DESCRIPTION Correspondence, Federal Deposit Insurance Corporation (FDIC) receivership information, etc. relating to closed banks. 
RETENTION Permanent 
COMMENTS Records may be maintained in electronic format per Electronic Recordkeeping Plan. 
DISPOSITION Permanent 
RESTRICTIONS KSA 9-1712 
APPROVED 2014-01-23 
K.A.R. NUMBER 53-2-179 

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 005 cldr years 
COMMENTS Records may be maintained in electronic format per Electronic Recordkeeping Plan.  
DISPOSITION Destroy 
RESTRICTIONS KSA 9-1712 
APPROVED 2014-01-23 
K.A.R. NUMBER 53-2-179 

SERIES ID 0019-454 
TITLE Legal Case Files and Supervisory Actions 
DESCRIPTION Variety of documents relating to legal proceedings against licensees or registrants. 
RETENTION See comments 
COMMENTS Retain entire case file for 5 calendar years after case is closed, then maintain the final agency order permanently. Records may be maintained in electronic form per Electronic Recordkeeping Plan. 
DISPOSITION See comments 
RESTRICTIONS KSA 45-221(a)(1), (25), (30) & KSA 9-2217 & KSA 16a-6-106 & KSA 60-426. Restrictions for permanent records: portions KSA 9-1712, KSA 45-221(a)(30), KSA 9-2217 and KSA 16a-6-106. 
APPROVED 2014-01-23 
K.A.R. NUMBER 53-2-179 

SERIES ID 0041-094 
TITLE Legal Opinions and Memorandums 
DESCRIPTION Formal written and issued memorandums or legal opinions analyzing the facts of a scenario and applying the law. Internal communications only from legal department to staff. 
RETENTION 005 cldr years 
COMMENTS Records may be maintained in electronic format per Electronic Recordkeeping Plan. 
DISPOSITION Destroy 
RESTRICTIONS KSA 45-221(a)(15) and KSA 60-426 
APPROVED 2014-01-23 
K.A.R. NUMBER 53-2-179 

SERIES ID 0021-454 
TITLE Licensees Files 
DESCRIPTION Documents relating to the application, licensing, examination and supervision of licensees and registrants to ensure compliance with statutes, regulations, and standards. Included are files on individual owners and officers of companies.  
RETENTION See Comments 
COMMENTS Retain until after licensee's license has been inactive for 3 calendar years, then destroy. Retain owner and officer files until 3 calendar years after their owner or officer status was terminated, then destroy. Records may be maintained in electronic format per Electronic Recordkeeping Plan. 
DISPOSITION Destroy 
RESTRICTIONS Portions per KSA 45-221(a)(30) and KSA 16a-6-106 
APPROVED 2014-01-23 
K.A.R. NUMBER 53-2-179 

SERIES ID 0042-094 
TITLE Meeting Summary Reports (MSRs) 
DESCRIPTION Written summaries of meetings with banks that are not related to an examination.  
RETENTION 005 cldr years 
COMMENTS Records may be maintained electronically per Electronic Recordkeeping Plan. 
DISPOSITION Destroy 
RESTRICTIONS KSA 9-1712 
APPROVED 2014-01-23 
K.A.R. NUMBER 53-2-179 

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 005 cldr years 
COMMENTS Records may be maintained in electronic format per Electronic Recordkeeping Plan. 
DISPOSITION Destroy 
RESTRICTIONS KSA 9-1712 
APPROVED 2014-01-23 
K.A.R. NUMBER 53-2-179 

SERIES ID 0025-454 
TITLE Notifications 
DESCRIPTION Worksheets used in notifying registrants of fees due, cancellations, etc. 
RETENTION Retain until the licensee's license has been inactive for 3 calendar years. 
COMMENTS Records may be maintained in electronic format per Electronic Recordkeeping Plan. 
DISPOSITION Destroy 
RESTRICTIONS None 
APPROVED 2014-01-23 
K.A.R. NUMBER 53-2-179 

SERIES ID 0043-094 
TITLE Professional Organizations files 
DESCRIPTION Documents relating to membership/participation in professional organizations. 
RETENTION 005 cldr years 
COMMENTS Records may be maintained electronically per Electronic Recordkeeping Plan. 
DISPOSITION Destroy 
RESTRICTIONS None 
APPROVED 2014-01-23 
K.A.R. NUMBER 53-2-179 

SERIES ID 0027-094 
TITLE Public Guidance Documents 
DESCRIPTION Memos related to policy and non-policy information issued by the Bank Commissioner to regulated entities. 
RETENTION See comments 
COMMENTS Transfer 1 copy to the State Archives after 1 calendar year. Records may be maintained in electronic format per the Electronic Recordkeeping Plan. 
DISPOSITION Archives 
RESTRICTIONS None 
APPROVED 2014-01-23 
K.A.R. NUMBER 53-2-179 

SERIES ID 0026-454 
TITLE Registrants and Licensees Databases 
DESCRIPTION Computer databases of current registrants/licensees files. 
RETENTION Permanent 
COMMENTS Data will be retained permanently per Electronic Recordkeeping Plan. 
DISPOSITION Permanent 
RESTRICTIONS None 
APPROVED 2014-01-23 
K.A.R. NUMBER 53-2-179 

SERIES ID 0031-094 
TITLE Reports of Examination 
DESCRIPTION Reports prepared by examination staff documenting the results of the examinations of the regulated financial institutions.  
RETENTION 010 cldr yrs 
COMMENTS Records may be maintained in electronic format per Electronic Recordkeeping Plan. 
DISPOSITION Destroy 
RESTRICTIONS KSA 9-1712 & 16a-6-106 & 9-2217  
APPROVED 2014-01-23 
K.A.R. NUMBER 53-2-179 

SERIES ID 0032-094 
TITLE Revenue Bond Applications 
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 until maturity of bond, then destroy. Retain incomplete or not approved revenue bond applications for 3 calendar years, then destroy. Records may be maintained in electronic format per Electronic Recordkeeping Plan. 
DISPOSITION Destroy 
RESTRICTIONS None 
APPROVED 2014-01-23 
K.A.R. NUMBER 53-2-179 

SERIES ID 0044-094 
TITLE Subpoenas 
DESCRIPTION Subpoenas directed to the OSBC and the response, along with any documents produced.  
RETENTION 005 cldr years 
COMMENTS Records may be maintained in electronic format per Electronic Recordkeeping Plan. 
DISPOSITION Destroy 
RESTRICTIONS Portions per KSA 9-1712, KSA 9-2217, and KSA 16a-6-106 
APPROVED 2014-01-23 
K.A.R. NUMBER 53-2-179 

SERIES ID 0030-454 
TITLE Telecommunications and Inquiry Logs 
DESCRIPTION Registers recording incoming and outgoing telephone calls and emails of the agency. 
RETENTION 003 fiscal years 
COMMENTS Records may be maintained in hard copy or electronic format per Electronic Recordkeeping Plan. 
DISPOSITION Destroy 
RESTRICTIONS None 
APPROVED 2014-01-23 
K.A.R. NUMBER 53-2-179 

SERIES ID 0036-094 
TITLE Work Papers - Exam 
DESCRIPTION Variety of documents and information obtained, created, or generated during the examination process conducted by examination staff.  
RETENTION See Comments 
COMMENTS Retain until subsequent examination, then destroy. Records may be maintained in electronic format per Electronic Recordkeeping Plan. 
DISPOSITION Destroy 
RESTRICTIONS KSA 9-1712 & KSA 9-2217 & KSA 16a-6-106 
APPROVED 2014-01-23 
K.A.R. NUMBER 53-2-179 

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