Kansas Records Retention Schedules

Results of Query:

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

Page 1 of 1 showing 31 records of 31 total, starting on record 1

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 plus 5 calendar years, then transfer 1 copy to the State Archives and destroy the remainder.
DISPOSITION	Archives
RESTRICTIONS	None
APPROVED	2022-04-21
K.A.R. NUMBER	53-2-213

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 records relating to written complaints directed to the agency.
RETENTION	6 calendar years
DISPOSITION	Destroy
RESTRICTIONS	Portions may be restricted per KSA 45-221(a)(14)(30)
APPROVED	2022-04-21
K.A.R. NUMBER	53-2-213

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	6 calendar years
DISPOSITION	Destroy
RESTRICTIONS	KSA 45-221(a)(1), KSA 9-1712, KSA 9-2217, and KSA 16a-6-106
APPROVED	2022-04-21
K.A.R. NUMBER	53-2-213

SERIES ID	0036-094
TITLE	Exam Work Papers - Banking
DESCRIPTION	Records and information obtained, created, or generated during the examination process conducted by examination staff.
RETENTION	See Comments
COMMENTS	Retain until subsequent OSBC examination, then destroy.
DISPOSITION	Destroy
RESTRICTIONS	KSA 45-221(a)(1), KSA 9-1712, KSA 9-2217, and KSA 16a-6-106
APPROVED	2022-04-21
K.A.R. NUMBER	53-2-213

SERIES ID	0045-094
TITLE	Exam Work Papers - Consumer and Mortgage Lending
DESCRIPTION	Records and information obtained, created, or generated during the examination of regulated financial entities conducted by the Consumer and Mortgage Lending Division examination staff.
RETENTION	10 calendar years
DISPOSITION	Destroy
RESTRICTIONS	KSA 45-221(a)(1), KSA 9-513c, KSA 9-1712, KSA 9-2217, KSA 16a-6-106, and KSA 50-1128
APPROVED	2022-04-21
K.A.R. NUMBER	53-2-213

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	Records 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 and destroy the remainder.
DISPOSITION	See Comments
RESTRICTIONS	KSA 45-221(a)(1)(25)(30), KSA 9-1712, KSA 9-2217, KSA 16a-6-106, and KSA 60-426.
APPROVED	2022-04-21
K.A.R. NUMBER	53-2-213

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 and Registrants Files
DESCRIPTION	Records 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 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.
DISPOSITION	Destroy
RESTRICTIONS	Portions may be restricted per KSA 45-221(a)(1)(30) and KSA 16a-6-106
APPROVED	2022-04-21
K.A.R. NUMBER	53-2-213

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	Notification Filings
DESCRIPTION	Worksheets used in notifying registrants of fees due, cancellations, etc.
RETENTION	See Comments
COMMENTS	Retain until filing has been inactive for 3 calendar years, then destroy.
DISPOSITION	Destroy
RESTRICTIONS	None
APPROVED	2022-04-21
K.A.R. NUMBER	53-2-213

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	Retain until revoked plus 5 calendar years, then transfer 1 copy to the State Archives and destroy the remainder.
DISPOSITION	Archives
RESTRICTIONS	None
APPROVED	2022-04-21
K.A.R. NUMBER	53-2-213

SERIES ID	0026-454
TITLE	Registrants and Licensees Databases
DESCRIPTION	Records of registrants and licensees, including listing of complaints and exams, but not including copies of complaints and exams.
RETENTION	Permanent
DISPOSITION	Permanent
RESTRICTIONS	None
APPROVED	2022-04-21
K.A.R. NUMBER	53-2-213

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	0046-094
TITLE	Reports of Examinations and Exam Work Papers for Problem Banks
DESCRIPTION	Reports prepared by examination staff documenting the examination results of a problem bank, including the work materials related to the report.
RETENTION	Permanent
DISPOSITION	Permanent
RESTRICTIONS	KSA 45-221(a)(1), KSA 9-1712
APPROVED	2022-04-21
K.A.R. NUMBER	53-2-213

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