Current through Register Vol. 51, No. 21, October 18, 2024
Section 36.10.13.07 - Record RetentionA. 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:(a) At the sports wagering licensee's facility; or(b) An off-site location approved by the Commission under §F of this regulation 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.B. The Commission may, on submission of a written request or alternate record retention schedule by a sports wagering licensee, authorize destruction prior to the expiration of the minimum retention period required under this regulation.C. Unless a request for destruction or alternate record retention schedule is submitted in writing and approved in writing by the Commission, a sports wagering licensee shall retain indefinitely original books and records documenting: (1) Ownership of the sports wagering licensee's facility if applicable;(2) Internally initiated investigations and due diligence;(4) Signature cards of current employees; and(5) Destruction of documents, including:(a) The identity of the document;(b) Period of retention; andD. Unless a request for destruction or alternate record retention schedule is submitted in writing and approved in writing by the Commission, a sports wagering licensee shall retain for a minimum of 5 years all original books and records not: (1) Identified for indefinite retention under §C of this regulation; or(2) Subject to an exception under §E of this regulation.E. Exceptions. The following exceptions apply to the retention period in §D of this regulation: (1) A minimum retention period of 5 years shall apply to documentation pertaining to cashiers' cage transactions;(2) A minimum retention period of 5 years shall apply to: (a) Signature cards of terminated employees;(b) Insurance records relating to claims by bettors;(c) Surveillance and security department:(v) Equipment malfunction reports; and(d) Documentation pertaining to sports wagering tickets or promotional play instruments reported to the Commission as possibly counterfeit, altered, or tampered with;(3) A minimum retention period of 30 days shall apply to: (a) Cancelled promotional play instruments for which all reconciliations required by the sports wagering licensee's approved internal controls have been conducted and resolved;(b) Voided sports wagering tickets; and(c) Sports wagering tickets and vouchers redeemed at a facility other than through a ticket redemption unit or kiosk.F. On submission of a written request by the sports wagering licensee, the Commission may approve a location outside the facility to store original books and records.G. A sports wagering licensee requesting to store original books and records outside the facility shall submit to the Commission:(1) A description of the proposed location, including details with regard to security and fire notification systems;(2) Details with regard to the ownership of the proposed location; and(3) Procedures for Commission access to original books and records retained at the proposed location.H. A sports wagering licensee may not store books and records outside the facility without the prior written approval of the Commission.I. On submission of a written request by a sports wagering licensee, the Commission may approve a suitable media system for the copying and storage of original books and records.J. A sports wagering licensee submitting a system for the copying and storage of original books and records shall demonstrate to the satisfaction of the Commission that the:(1) Processing, preservation, and maintenance methods to be utilized will make books and records readily available for review and reproduction;(2) Inspection and quality control methods to be utilized will ensure that when books and records are viewed or reproduced they will exhibit a high degree of legibility and readability;(3) Equipment necessary to readily locate, read, and reproduce books and records is available to the Commission at the location or approved off-site location; and(4) Detailed index of all stored data maintained and arranged to facilitate the immediate location of particular books and records is available to the Commission at the location or approved off-site location.K. A sports wagering licensee may not utilize a media system for the copying and storage of original books and records without the prior written approval of the Commission.L. A sports wagering licensee may utilize the services of a contractor for the destruction of books and records permitted to be destroyed under this regulation.M. Nothing in this regulation shall be construed as relieving a sports wagering licensee of any obligation to prepare or maintain books and records required by any other federal, State, or local governmental entity.Md. Code Regs. 36.10.13.07
Amended effective 49:1 Md. R.16, eff. 1/13/2022