36.07.04.07

.07 Record Retention.

A. A facility operator shall develop written record retention procedures for its instant bingo machine operations.

B. All original books and records shall be:

(1) Prepared and maintained in a complete, accurate, and legible form;

(2) Stored in a format that ensures readability, regardless of whether the technology or software that created or maintains it has become obsolete;

(3) Retained in a secure location equipped with a fire notification system at:

(a) The facility; or

(b) An off-site location approved by the Commission for the express purpose of document storage;

(4) Kept immediately available for inspection by the Commission during all hours of operation;

(5) Organized and indexed in a manner designed to provide immediate accessibility to the Commission; and

(6) Destroyed only after expiration of the minimum retention period required under this regulation.

C. On submission of a written request by a facility operator, the Commission may, authorize destruction prior to the expiration of the minimum retention period required under this regulation.

D. Unless a request for destruction is submitted in writing and approved in writing by the Commission, a facility operator shall retain indefinitely original books and records documenting:

(1) Ownership of the facility;

(2) Internally initiated investigations and due diligence;

(3) Personnel matters;

(4) Destruction of documents including:

(a) The identity of the document;

(b) Period of retention; and

(c) Date of destruction.

E. Unless a request for destruction is submitted in writing and approved in writing by the Commission, a facility operator shall retain for a minimum of five years all original books and records.

F. Nothing in this regulation shall be construed as relieving a facility operator of any obligation to prepare or maintain books and records required by any other federal, State, or local governmental entity.