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Kansas Records Retention Schedules

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Agency Code: 553 (Kansas Racing and Gaming Commission)

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Agency Number: 553-001
Kansas Racing and Gaming Commission
Administration

SERIES ID 0067-553 
TITLE Background Investigations - Employee 
DESCRIPTION Application and supporting documentation relating to individuals applying for a position at the Racing and Gaming Commission. 
RETENTION See Comments 
COMMENTS Retain until no longer useful, then transfer to the records center for 5 years, then destroy. 
DISPOSITION Destroy 
RESTRICTIONS KSA 45-221(a)(4),(10) KSA 22-4707, KSA 74-8804(o) 
APPROVED 2003-04-10 
K.A.R. NUMBER 53-2-134 

SERIES ID 0066-553 
TITLE Background Investigations - Racing Track 
DESCRIPTION Application and supporting documentation relating to an individual applying for a position at a racing track facility. 
RETENTION See Comments 
COMMENTS Retain in office until no longer useful, then transfer to the records center for 5 years, then destroy. 
DISPOSITION Destroy 
RESTRICTIONS KSA 45-221(a)(10), KSA 22-4707, KSA 74-8804(o) 
APPROVED 2003-04-10 
K.A.R. NUMBER 53-2-134 

SERIES ID 0068-553 
TITLE Breed Awards and Purse Supplements 
DESCRIPTION Documents relating to the distribution of breed awards and purse supplements and maintained for accountability purposes. 
RETENTION 005 fisc yrs 
COMMENTS Retain in office 3 fiscal years, transfer to the records center for 2 fiscal years, then destroy. 
DISPOSITION Destroy 
RESTRICTIONS None 
APPROVED 2003-10-09 
K.A.R. NUMBER 53-2-136 

SERIES ID 0069-553 
TITLE Complaint Files 
DESCRIPTION Complaint form submitted to either the racing judge or steward or to the Kansas Racing and Gaming Commission regarding alleged violations of state laws or regulations and subsequent decisions made by the judge or steward or by the Commission. 
RETENTION 005 cldr yrs 
DISPOSITION Destroy 
RESTRICTIONS None 
APPROVED 2006-10-12 
K.A.R. NUMBER 53-2-149 

SERIES ID 0070-553 
TITLE Hearing Files 
DESCRIPTION Hearings conducted by the Kansas Racing and Gaming Commission resulting from investigations of alleged misconduct or violations of the Kansas parimutuel racing act. 
RETENTION See Comments 
COMMENTS Retain until no longer useful, then transfer to the archives for purging. 
DISPOSITION Archives 
RESTRICTIONS None 
APPROVED 2006-10-12 
K.A.R. NUMBER 53-2-149 

SERIES ID 0001-553 
TITLE Judge's Reports 
DESCRIPTION Documents relating to the commission's effort to monitor performances and conduct at each dog racing facility: judge's daily reports, official results charts, and racing programs. 
RETENTION 003 cldr yrs 
COMMENTS Retain 3 calendar years, then destroy. 
DISPOSITION Destroy 
RESTRICTIONS None 
APPROVED 2009-10-21 
K.A.R. NUMBER 53-2-161 

SERIES ID 0075-553 
TITLE Kansas Whelped Program - Greyhound Registration 
DESCRIPTION Kansas Whelped Program-related documents, including registration application files (application, copies of checks, etc.) and related correspondence. 
RETENTION 12 cldr yrs 
DISPOSITION Destroy 
RESTRICTIONS K.S.A. 45-221(a)(14), (30) and (49), K.S.A. 75-3520 
APPROVED 2014-10-16 
K.A.R. NUMBER 53-2-182 

SERIES ID 0074-553 
TITLE Kansas-Bred Program - Horse Registration 
DESCRIPTION Kansas Bred Program-related documents including mare and stallion registration application files (application, Kansas-bred certificate, national breed certificate, check copies, etc.) and related correspondence. 
RETENTION 25 cldr yrs 
DISPOSITION Destroy 
RESTRICTIONS K.S.A. 45-221(a)(14), (30) and (49), K.S.A. 75-3520 
APPROVED 2014-10-16 
K.A.R. NUMBER 53-2-182 

SERIES ID 0002-553 
TITLE Parimutal Reports 
DESCRIPTION Computer printout detailing parimutual wages and payouts at each racing facility and maintained for convenience of reference. 
RETENTION 001 cldr yr 
DISPOSITION Destroy 
RESTRICTIONS None 
APPROVED 1999-07-08 
K.A.R. NUMBER 53-2-120 

SERIES ID 0003-553 
TITLE Simulcast - Liability Summary 
DESCRIPTION Computer printout reporting the amounts wagered (handled) and amounts paid out (breakage) on bets placed at the track facilities. 
RETENTION 003 fisc yrs 
DISPOSITION Destroy 
RESTRICTIONS None 
APPROVED 1994-10-13 
K.A.R. NUMBER 53-2-102 

SERIES ID 0004-553 
TITLE Simulcast - Outs Summary 
DESCRIPTION Computer printout reporting uncashed winning tickets purchased at track facilities. 
RETENTION 003 fisc yrs 
DISPOSITION Destroy 
RESTRICTIONS None 
APPROVED 1994-10-13 
K.A.R. NUMBER 53-2-102 

SERIES ID 0005-553 
TITLE Simulcast - Price Report 
DESCRIPTION Computer printout reporting the prices of the payoffs on winning tickets purchased at the track facilities. 
RETENTION 003 fisc yrs 
DISPOSITION Destroy 
RESTRICTIONS None 
APPROVED 1994-10-13 
K.A.R. NUMBER 53-2-102 

SERIES ID 0006-553 
TITLE Steward's Reports 
DESCRIPTION Documents relating to the commission's effort to verify and monitor performances and conduct at each horse racing facility: steward's daily reports, official results charts, and racing programs. 
RETENTION 003 cldr yrs 
COMMENTS Retain 3 calendar years, then destroy. 
DISPOSITION Destroy 
RESTRICTIONS None 
APPROVED 2009-10-21 
K.A.R. NUMBER 53-2-161 

Agency Number: 553-002
Kansas Racing and Gaming Commission
Animal Health Division

SERIES ID 0009-553 
TITLE Lab Reports 
DESCRIPTION Results of tests conducted by contract laboratories on specimens taken from animals at race tracks to ensure that drug violations have not occurred. 
RETENTION See Comments 
COMMENTS Retain in office 1 calendar year, transfer to the records center for 2 calendar years, then destroy. See also Test Barn Reports. 
DISPOSITION Destroy 
RESTRICTIONS None 
APPROVED 1996-01-18 
K.A.R. NUMBER 53-2-107 

SERIES ID 0010-553 
TITLE Test Barn Reports 
DESCRIPTION Records documenting that specimens have been taken from animals at race tracks for testing to ensure that drug violations have not occurred: race date, type of race, time of test, animal tested, etc. 
RETENTION See Comments 
COMMENTS Retain in office 1 calendar year, transfer to the records center for 2 calendar years, then destroy. See also Lab Reports. 
DISPOSITION Destroy 
RESTRICTIONS None 
APPROVED 1996-01-18 
K.A.R. NUMBER 53-2-107 

Agency Number: 553-003
Kansas Racing and Gaming Commission
Licensing Division

SERIES ID 0011-553 
TITLE Concessionaire Licensing Files 
DESCRIPTION Applications and supporting documentation relating to businesses requesting a concessionaire license to operate a concession stand at the racetracks as required by KSA 74-8817. 
RETENTION See Comments 
COMMENTS Retain in office 2 years, transfer to the records center for 10 years, then destroy. 
DISPOSITION Destroy 
RESTRICTIONS None 
APPROVED 1997-10-09 
K.A.R. NUMBER 53-2-113 

SERIES ID 0012-553 
TITLE Daily Licensing Records - Central Office 
DESCRIPTION Documents relating to daily administration of the licensing process: daily deposit reports, occupation license summary reports, list of voids, list of licensees, and other supporting documents. 
RETENTION See Comments 
COMMENTS Retain in office 1 calendar year, transfer to the records center for 10 calendar years, then destroy. a.k.a. "Deposit Reports" 
DISPOSITION Destroy 
RESTRICTIONS None 
APPROVED 1996-01-18 
K.A.R. NUMBER 53-2-107 

SERIES ID 0013-553 
TITLE Daily Licensing Records - Track Offices 
DESCRIPTION Track office copies of documents relating to daily administration of the licensing process: occupation license summary reports, list of voids & licensees, copies of checks, cash register tape, etc. 
RETENTION 001 cldr yr 
COMMENTS a.k.a. "Field Deposit Report" 
DISPOSITION Destroy 
RESTRICTIONS None 
APPROVED 1996-01-18 
K.A.R. NUMBER 53-2-107 

SERIES ID 0065-553 
TITLE Facility Manager Licensing Files 
DESCRIPTION Application and supporting documentation relating to the licensing and renewal process for individuals to manage a racing facility as required by KSA 74-8815. 
RETENTION 027 cldr yrs 
DISPOSITION Destroy 
RESTRICTIONS None 
APPROVED 2003-04-10 
K.A.R. NUMBER 53-2-134 

SERIES ID 0064-553 
TITLE Facility Owner Licensing Files 
DESCRIPTION Application and supporting documentation relating to the licensing and renewal process for racing facility owners as required by KSA 74-8815. 
RETENTION 027 cldr yrs 
DISPOSITION Destroy 
RESTRICTIONS None 
APPROVED 2003-04-10 
K.A.R. NUMBER 53-2-134 

SERIES ID 0071-553 
TITLE Kennel Names Registration Form 
DESCRIPTION Application form submitted annually by an entity owning greyhounds to register the name of the kennel with the Kansas Racing and Gaming Commission as required by K.S.A. 74-8812(d). 
RETENTION 004 cldr yrs 
COMMENTS Retain in office 1 calendar year, transfer to the records center for 3 calendar years, then destroy. 
DISPOSITION Destroy 
RESTRICTIONS None 
APPROVED 2006-10-12 
K.A.R. NUMBER 53-2-149 

SERIES ID 0072-553 
TITLE Multiples Registration Form 
DESCRIPTION Application form submitted annually by more than one entity owning a horse stable or greyhound kennel to register the name of stable or kennel with the Kansas Racing and Gaming Commission as required by K.S.A. 74-8812(d). 
RETENTION 004 cldr yrs 
COMMENTS Retain in office 1 calendar year, transfer to the records center for 3 calendar years, then destroy. 
DISPOSITION Destroy 
RESTRICTIONS None 
APPROVED 2006-10-12 
K.A.R. NUMBER 53-2-149 

SERIES ID 0014-553 
TITLE Occupation Licensee Lists 
DESCRIPTION Monthly and yearly listing of individuals employed at race track facilities who are required to be licensed by the Kansas Racing Commission. 
RETENTION See Comments 
COMMENTS Retain in office 1 fiscal year, transfer to the records center for 2 fiscal years, then destroy. 
DISPOSITION Destroy 
RESTRICTIONS None 
APPROVED 1996-04-18 
K.A.R. NUMBER 53-2-108 

SERIES ID 0063-553 
TITLE Occupation Licensing Files 
DESCRIPTION Application and supporting documentation relating to the licensing process for owners and individuals applying to provide or perform services at race facilities as required by KSA 74-8816. 
RETENTION 005 cldr yrs 
DISPOSITION Destroy 
RESTRICTIONS None 
APPROVED 2003-04-10 
K.A.R. NUMBER 53-2-134 

SERIES ID 0062-553 
TITLE Organization Licensing Files 
DESCRIPTION Application and supporting documentation relating to the licensing process for non-profit organizations to conduct horse and/or greyhound races as required by KSA 74-8813. 
RETENTION 027 cldr yrs 
DISPOSITION Destroy 
RESTRICTIONS None 
APPROVED 2003-04-10 
K.A.R. NUMBER 53-2-134 

SERIES ID 0061-553 
TITLE Ownership Entity Registration Files 
DESCRIPTION Application and supporting documentation relating to the type of legal ownership, partnership or shareholders of a racing animal. 
RETENTION 003 fisc yrs 
COMMENTS Retain in office 1 fiscal year, transfer to the records center for 2 fiscal years, then destroy. 
DISPOSITION Destroy 
RESTRICTIONS None 
APPROVED 2003-04-10 
K.A.R. NUMBER 53-2-134 

SERIES ID 0051-553 
TITLE Proofs and Proof Logs 
DESCRIPTION Drafts created of the programs before scheduled race to ensure accuracy. 
RETENTION 002 cldr yrs 
COMMENTS Retain in office 1 fiscal year, transfer to the records center for 1 fiscal year, then destroy. 
DISPOSITION Destroy 
RESTRICTIONS None 
APPROVED 2001-10-18 
K.A.R. NUMBER 53-2-128 

SERIES ID 0073-553 
TITLE Stable Names Registration Form 
DESCRIPTION Application form submitted annually by an entity owning horses to register the name of the horse stable with the Kansas Racing and Gaming Commission as required by K.S.A. 74-8812(d). 
RETENTION 004 cldr yrs 
COMMENTS Retain in office 1 calendar year, transfer to the records center for 3 calendar years, then destroy. 
DISPOSITION Destroy 
RESTRICTIONS None 
APPROVED 2006-10-12 
K.A.R. NUMBER 53-2-149 

SERIES ID 0060-553 
TITLE Totalisator Licensing Files 
DESCRIPTION Application and supporting documentation relating to the licensing process for businesses applying to provide totalisator equipment or services to racing facilities as required by KSA 74-8837. 
RETENTION 012 cldr yrs 
DISPOSITION Destroy 
RESTRICTIONS None 
APPROVED 2003-04-10 
K.A.R. NUMBER 53-2-134 

Agency Number: 553-004
Kansas Racing and Gaming Commission
Parimutuel Division

SERIES ID 0015-553 
TITLE Cash Withheld Reports 
DESCRIPTION Computer printouts listing the amount of each payoff and the federal and state taxes withheld compiled to ensure compliance with accounting procedures and retained for audit purposes. 
RETENTION See Comments 
COMMENTS Retain in office 1 calendar year, transfer to the records center for 3 calendar years, then destroy. 
DISPOSITION Destroy 
RESTRICTIONS None 
APPROVED 1996-01-18 
K.A.R. NUMBER 53-2-107 

SERIES ID 0016-553 
TITLE Commission Distribution Reports 
DESCRIPTION Computer printouts listing the track commission for each wager and a cumulative total of track commissions compiled to ensure compliance with accounting procedures and retained for audit purposes. 
RETENTION See Comments 
COMMENTS Retain in office 1 calendar year, transfer to the records center for 3 calendar years, then destroy. 
DISPOSITION Destroy 
RESTRICTIONS None 
APPROVED 1996-01-18 
K.A.R. NUMBER 53-2-107 

SERIES ID 0017-553 
TITLE Cumulative Performance Comparison Reports 
DESCRIPTION Computer printouts containing cumulative totals of handle, attendance, and track commission for each track during specified periods of time. 
RETENTION See Comments 
COMMENTS Retain in office 1 calendar year, transfer to the records center for 3 calendar years, then destroy. 
DISPOSITION Destroy 
RESTRICTIONS None 
APPROVED 1996-01-18 
K.A.R. NUMBER 53-2-107 

SERIES ID 0018-553 
TITLE Price Reports 
DESCRIPTION Computer printouts detailing prices of payoffs on winning tickets at track facilities compiled to ensure compliance with accounting procedures and retained for audit purposes. 
RETENTION See Comments 
COMMENTS Retain in office 1 calendar year, transfer to the records center for 3 calendar years, then destroy. 
DISPOSITION Destroy 
RESTRICTIONS None 
APPROVED 1996-01-18 
K.A.R. NUMBER 53-2-107 

SERIES ID 0019-553 
TITLE Tote Reports 
DESCRIPTION Computer printouts detailing pari-mutuel wagers and payouts at each racing facility compiled to ensure compliance with accounting procedures and retained for audit purposes. 
RETENTION See Comments 
COMMENTS Retain in office 1 calendar year, transfer to the records center for 3 calendar years, then destroy. 
DISPOSITION Destroy 
RESTRICTIONS None 
APPROVED 1996-01-18 
K.A.R. NUMBER 53-2-107 

Agency Number: 553-005
Kansas Racing and Gaming Commission
State Gaming Agency

SERIES ID 0023-553 
TITLE Architectural Plans, Drawings, Maps, and Specifications 
DESCRIPTION Records documenting the floor plan of the casino and any subsequent changes in the location of gaming machines as required by the Tribal Gaming Oversight Act. 
RETENTION See Comments 
COMMENTS Transfer initial floor to the archives when no longer useful. Retain subsequent plans and drawings until superseded or no longer useful, then destroy. 
DISPOSITION See Comments 
RESTRICTIONS KSA 45-221(a)(12) 
APPROVED 2000-04-13 
K.A.R. NUMBER 53-2-123 

SERIES ID 0024-553 
TITLE Background Investigations - Category 1 
DESCRIPTION Application and supporting documentation relating to an individual applying for a decision or policy making position in a tribal casino requiring the most extensive background investigation. 
RETENTION See Comments 
COMMENTS Records copy is maintained electronically. Retain electronic records in accordance with recordkeeping plan. 
DISPOSITION Destroy 
RESTRICTIONS KSA 45-221(a)(10)(42) & KSA 74-9805(m)(3) 
APPROVED 2005-07-14 
K.A.R. NUMBER 53-2-143 

SERIES ID 0025-553 
TITLE Background Investigations - Category 2 
DESCRIPTION Application and supporting documentation relating to an individual applying for a position with some level of responsibility in a tribal casino requiring an extensive background investigation. 
RETENTION See Comments 
COMMENTS Record copy is maintained electronically. Retain electronic records in accordance with recordkeeping plan. 
DISPOSITION Destroy 
RESTRICTIONS KSA 45-221(a)(10)(42) & KSA 74-9805(m)(3) 
APPROVED 2005-07-14 
K.A.R. NUMBER 53-2-143 

SERIES ID 0026-553 
TITLE Background Investigations - Category 3 
DESCRIPTION Application and supporting documentation relating to an individual applying for a position in a tribal casino requiring a basic background investigation. 
RETENTION See Comments 
COMMENTS Record copy is maintained electronically. Retain electronic records in accordance with recordkeeping plan. 
DISPOSITION Destroy 
RESTRICTIONS KSA 45-221(a)(10)(42) & KSA 9805(m)(3) 
APPROVED 2005-07-14 
K.A.R. NUMBER 53-2-143 

SERIES ID 0033-553 
TITLE Background Investigations - Corporations 
DESCRIPTION Application and supporting documentation relating to vendors, directors, and management companies applying to sell equipment to or manage the activities of a tribal casino. 
RETENTION See Comments 
COMMENTS Record copy is maintained electronically. Retain electronic records in accordance with recordkeeping plan. 
DISPOSITION Destroy 
RESTRICTIONS KSA 45-221(a)(10)(42) & KSA 74-9805(m)(3) 
APPROVED 2005-07-14 
K.A.R. NUMBER 53-2-143 

SERIES ID 0027-553 
TITLE Background Investigations - Discontinued 
DESCRIPTION Application and supporting documentation relating to an individual applying for a position at a tribal casino who have withdrawn from the process. 
RETENTION See Comments 
COMMENTS Record copy is maintained electronically. Retain electronic records in accordance with recordkeeping plan. 
DISPOSITION Destroy 
RESTRICTIONS KSA 45-221(a)(10)(42) & KSA 74-9805(m)(3) 
APPROVED 2005-07-14 
K.A.R. NUMBER 53-2-143 

SERIES ID 0030-553 
TITLE Casino Investigation Files 
DESCRIPTION Correspondence, investigation reports, surveillance videos, etc. relating to investigations conducted by State Gaming enforcement investigators into criminal activities or gaming compact violations. 
RETENTION See Comments 
COMMENTS Retain in office until no longer useful, then transfer to the archives for purging. 
DISPOSITION Archives 
RESTRICTIONS KSA 45-221(a)10 & 42 
APPROVED 2000-04-13 
K.A.R. NUMBER 53-2-123 

SERIES ID 0031-553 
TITLE Casinos Incident Reports 
DESCRIPTION Form and supporting documentation received from the tribal casinos relating to possible violations of the gaming compact or criminal activities which may or may not warrant an investigation. 
RETENTION 006 cldr yrs 
COMMENTS Retain in office 1 year, transfer to the records center for 5 years, then destroy. Any incident reports which warrant an investigation will be filed in the appropriate Casino Investigation File. 
DISPOSITION Destroy 
RESTRICTIONS KSA 45-221(a) 10 & 42 
APPROVED 2000-04-13 
K.A.R. NUMBER 53-2-123 

SERIES ID 0032-553 
TITLE Casinos Inspection Report 
DESCRIPTION Report completed by investigators detailing casino operations to ensure compliance with the Tribal Gaming Oversight Act K.S.A. 74-9801 through 74-9809. 
RETENTION 005 cldr yrs 
DISPOSITION Destroy 
RESTRICTIONS KSA 45-221(a)10 & 42 
APPROVED 2000-04-13 
K.A.R. NUMBER 53-2-123 

SERIES ID 0038-553 
TITLE Litigation Case Files 
DESCRIPTION Documents relating to arbitration or lawsuits involving criminal activities, violations of the tribal gaming compact, or the Tribal Gaming Oversight Act. 
RETENTION See Comments 
COMMENTS Retain until no longer useful, then transfer to the archives for purging. 
DISPOSITION Archives 
RESTRICTIONS KSA 45-221(a) 10 & 42 & 74-9805(m)(3) 
APPROVED 2000-04-13 
K.A.R. NUMBER 53-2-123 

SERIES ID 0040-553 
TITLE Staff Time Database 
DESCRIPTION Database tracking State Gaming enforcement investigators' time in conducting background investigations and maintained for accountability purposes. 
RETENTION 005 fisc yrs 
DISPOSITION Destroy 
RESTRICTIONS KSA 45-221(a)4 
APPROVED 2000-04-13 
K.A.R. NUMBER 53-2-123 

SERIES ID 0042-553 
TITLE Tracking Database 
DESCRIPTION Database monitoring the incoming and outgoing background investigations and maintained to ensure completion of investigations within the required 90 days as agreed upon by the tribes and the agency. 
RETENTION See Comments 
COMMENTS Retain hard copy 3 fiscal years, then destroy. Retain electronic copy until no longer useful, then delete. 
DISPOSITION See Comments 
RESTRICTIONS None 
APPROVED 2000-04-13 
K.A.R. NUMBER 53-2-123 

SERIES ID 0044-553 
TITLE Tribal Compact Files 
DESCRIPTION Correspondence, compact, notifications, etc. relating to a tribal compact arranged between the tribe and the State Gaming Commission. 
RETENTION See Comments 
COMMENTS Retain until no longer useful, then transfer to the archives for purging. 
DISPOSITION Archives 
RESTRICTIONS None 
APPROVED 2000-04-13 
K.A.R. NUMBER 53-2-123 

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