Kansas Administrative Regulations
Agency 112 - KANSAS RACING AND GAMING COMMISSION
Article 104 - MINIMUM INTERNAL CONTROL SYSTEM
Section 112-104-41 - Forms; description

Universal Citation: KS Admin Regs 112-104-41

Current through Register Vol. 43, No. 39, September 26, 2024

(a) Each facility manager shall maintain a supply of all forms listed in subsection (b) and any additional forms that the manager deems necessary to manage the facility. Each facility manager's internal control submission shall include an index of all forms that the manager may use.

(b) The following forms shall be a part of each facility manager's minimum internal controls:

(1) Inventory ledgers for the following:
(A) Date of receipt, count, or issuance of cards or dice;

(B) quantity of cards and dice received or issued; and

(C) balance of cards or dice inventory on hand;

(2) a log for card or dice pickup and either cancellation or destruction, including the following details:
(A) The date of the form's preparation;

(B) the date and time of cancellation or destruction of the cards or dice;

(C) the quantity of cards and dice picked up, canceled, or destroyed; and

(D) all required signatures;

(3) a card or dice storage log for the pit area, including the following details:
(A) The date of each entry on the log;

(B) the quantity and description of all cards and dice placed in the compartment;

(C) the quantity and description of all cards and dice removed from the compartment;

(D) the current number of each design and color combination of cards and dice; and

(E) each daily verification of the current inventory;

(4) a cashier's cage or vault count sheet, including the following details:
(A) The date and time of completion of the count sheet;

(B) the location of the cashier's cage;

(C) the amount of each type and denomination of funds;

(D) the actual count total or closing inventory;

(E) the accountability total;

(F) the amount of overages or shortages; and

(G) each signature required by these regulations for the count sheet;

(5) a cashier's cage multiple-transaction log, including the following details:
(A) The location of the cashier's cage or bank where the cash transactions occurred;

(B) the date of the multiple-transaction log;

(C) the full name of any patron making multiple transactions, if provided by the patron, or a description to help identify the patron if the patron refuses to provide a name. Each description shall include weight, height, hair color, and any other observed distinguishing features;

(D) the total cash transaction amount; and

(E) the transaction type. The transaction types shall be the following:
(i) Cash-outs, including cashing personal checks and travelers checks;

(ii) chip redemptions. The gaming location shall be included in the comments column;

(iii) deposits for safekeeping;

(iv) deposits out when withdrawing a safekeeping deposit; and

(v) any other transactions not listed in paragraphs (b)(5)(E)(i) through (iv), including each cash transaction payment of EGM jackpots and each exchange of currency for currency;

(F) the time of the transaction;

(G) the signature and commission license number of the employee logging the transaction;

(H) any observed information that would be useful in identifying the patron or explaining the transaction;

(I) the supervisor's signature. The supervisor's signature shall acknowledge the following items:
(i) That the supervisor has reviewed the log and, to the best of the supervisor's knowledge, all cash transactions of $500 or more have been properly recorded; and

(ii) that all currency transaction reports have been properly completed for all single cash transactions and series of multiple cash transactions in excess of $10,000; and

(J) the page number and total pages of the log for the gaming day;

(6) a chip inventory ledger, including the following details:
(A) The date of receipt, issuance, and destruction;

(B) the number of each denomination of chips received, issued, or destroyed;

(C) the dollar amount of each denomination of value chips, as defined in K.A.R. 112-108-1, received, issued, or destroyed;

(D) the number and description of non-value chips received, issued, or destroyed;

(E) any required signatures; and

(F) the identification of any primary chips held in reserve with the word "reserve";

(7) a safekeeping deposit or withdrawal form, including the following details:
(A) Preprinted numbering on all copies;

(B) the name and signature of the patron making the deposit;

(C) the date of each deposit or withdrawal;

(D) the amount of each deposit or withdrawal;

(E) the type of deposit or withdrawal;

(F) the reason for the deposit or withdrawal; and

(G) any required signatures;

(8) a duplicate key inventory log, including the following details:
(A) The date and time of the log's completion;

(B) the key name;

(C) the key number;

(D) the number of keys in beginning inventory;

(E) the number of keys added or removed;

(F) the number of keys in ending inventory;

(G) the reason for adding or removing keys; and

(H) the required signatures of the two individuals accessing the box;

(9) a tips and gratuity deposit form, including the following details:
(A) The date of completion of the form;

(B) the number of chips listed by denomination;

(C) the total number of all denominations; and

(D) all required signatures;

(10) a temporary bank voucher, including the following details:
(A) The date and time of the voucher's completion;

(B) the location of the temporary bank;

(C) the amount of funds issued;

(D) the signature from the main bank cashier who is issuing the funds;

(E) the signature of the individual receiving funds;

(F) the signature of the individual returning funds; and

(G) the signature of the main bank cashier receiving returned funds;

(11) a duplication of any critical program storage media log. "Critical program storage media" and "CPSM" shall mean any media storage device containing data, files, or programs, as determined by the commission, that are capable of affecting the integrity of gaming. The duplicate CPSM log shall include the following details:
(A) The date of completion of the form;

(B) the manufacturer of the chip;

(C) the program number;

(D) any personnel involved; and

(E) the disposition of any permanently removed CPSM;

(12) an EGM drop compartment sweeps log, including the following details:
(A) Each EGM number and location;

(B) the date and time of the drop;

(C) the signature of each employee performing the sweep; and

(D) the signature of the supervisor overseeing the drop;

(13) an EGM drop or win report, including the following details:
(A) The gaming date;

(B) the amount wrapped by denomination and totaled;

(C) the dollar value difference by denomination;

(D) the percentage variance difference by denomination;

(E) the total jackpot payouts;

(F) the total drop by denomination;

(G) the total drop of all denominations;

(H) the net win or loss by denomination and total; and

(I) all required signatures;

(14) an EGM entry access log, including the following details:
(A) The EGM number and location;

(B) the date and time of the EGM access;

(C) the reason for entry; and

(D) all required signatures;

(15) an EGM hand-paid jackpot form, including the following details:
(A) The date and time of completion of the form;

(B) an EGM number that required hand payment and the location and denomination of the payment;

(C) the amount of jackpot;

(D) the reel symbols on each EGM jackpot requiring hand payment; and

(E) all required signatures;

(16) an EGM sweeps log, including the following details:
(A) Each EGM number and location;

(B) the date and time of the EGM sweep;

(C) the signature of each employee performing the sweep; and

(D) the signature of the supervisor overseeing the sweep;

(17) an even exchange slip, including the following details:
(A) The date, time, and location of the exchange;

(B) the amounts to be exchanged by type;

(C) the amounts to be changed for;

(D) all required signatures; and

(E) the total amount exchanged;

(18) each cage or bank variance slip, including the following details:
(A) The date and time of completion of the slip;

(B) the location of the bank;

(C) the amount of overage or shortage; and

(D) all required signatures;

(19) ingress or egress logs for the count rooms, surveillance rooms, and cages, including the following details:
(A) The date and time of each ingress or egress;

(B) the printed name of each person entering or leaving;

(C) the room entered or left;

(D) the reason for entry; and

(E) all required signatures;

(20) a main bank or vault accountability log, including the following details:
(A) The date and shift that the accounting was made;

(B) the opening balance;

(C) the amount of each type of accountability transaction;

(D) detail of the total main bank or vault inventory, including the inventory of the following:
(i) Currency;

(ii) coin;

(iii) chips;

(iv) safekeeping deposits; and

(v) any unclaimed property account;

(E) the total main bank or vault inventory;

(F) all overages and shortages;

(G) the closing balance; and

(H) all required signatures;

(21) a master gaming report, including the following details:
(A) The gaming date;

(B) the game and table number;

(C) the opening table inventory slip;

(D) the total fill slips;

(E) the total credit slips;

(F) the closing table inventory slip;

(G) the total drop per table;

(H) the overall totals by game;

(I) the total win or loss; and

(J) all required signatures;

(22) a RAM clearing slip, including the following details:
(A) The date and time that the RAM was cleared;

(B) an EGM number, the location, and the number of credits played before the RAM clearing occurred;

(C) the current reel positions or video displays;

(D) the previous two reel positions or video displays;

(E) the actual meter readings of the internal hard and soft meters;

(F) the progressive jackpot display, if linked;

(G) the reason for RAM clear; and

(H) all required signatures;

(23) the returned check log, including the following details:
(A) The name and address of each person who presented the check that was subsequently returned;

(B) the date of the check;

(C) the amount of the check;

(D) the check number;

(E) the date the facility manager received notification from a financial institution that the check was not accepted; and

(F) the dates and amounts of any payments received on the check after being returned by a financial institution;

(24) a sensitive key log, including the following:
(A) The date the key activity occurred;

(B) the key number;

(C) the individual or automated key box issuing the key;

(D) the name of the individual receiving the key;

(E) the time the key was signed out;

(F) the time the key was signed in;

(G) the individual returning the key; and

(H) the individual or automated key box receiving the returned key;

(25) a signature authorization list, including the following details for each employee listed:
(A) The employee's hire date;

(B) the employee's name;

(C) the department;

(D) the position;

(E) the license number;

(F) the employee's initials as on a signature card; and

(G) the employee's signature, with at least the first initial and last name;

(26) a surveillance incident report, including the following details:
(A) The date and incident report number;

(B) the time and location of the incident;

(C) the name and address of each witness and subject involved in the incident, if known;

(D) a detailed narrative of the incident;

(E) an identification of any videotape covering the incident;

(F) the final disposition of the incident; and

(G) all required signatures;

(27) a surveillance shift log, including the following details:
(A) The date that the entry is being made;

(B) the time of and duration, description, and location of all unusual occurrences observed;

(C) a listing of any surveillance issues, including the following:
(i) Equipment malfunctions related to other logged events or activities;

(ii) completed tapes;

(iii) still photograph requests; and

(D) required signatures;

(28) a surveillance tape release log, including the following details:
(A) The tape number;

(B) the date and time of release;

(C) the printed name, department, or agency;

(D) a notation indicating whether the tape is a duplicate or original;

(E) an authorization notation;

(F) an "issued by and to" notation; and

(G) all required signatures;

(29) a surveillance tape retention log, including the following details:
(A) The date and time of the tape retention activity;

(B) the tape number being retained;

(C) a description of the activity recorded and the recording mode; and

(D) all required signatures;

(30) a table credit slip, if applicable, including the following details:
(A) The date, pit, game or table number, and time of the table credit activity;

(B) the amount of each denomination of chips to be credited;

(C) the total amount of all denominations to be credited; and

(D) all required signatures;

(31) a table fill slip, including the following details:
(A) The date, pit, game or table number, and time of the table fill activity;

(B) the amount of each denomination of chips to be distributed;

(C) the total amount of all denominations to be distributed; and

(D) all required signatures;

(32) a table inventory slip, including the following details:
(A) The date and shift;

(B) the game and table number;

(C) the total value of each denomination of chips remaining at the table;

(D) the total value of all denominations; and

(E) all required signatures;

(33) a table soft count slip or currency counter machine tape, including the following details:
(A) The date of the soft count or printing of the machine tape;

(B) the table game and number;

(C) the box contents by denomination;

(D) the total of all denominations; and

(E) all required signatures;

(34) a wide-area progressive secondary jackpot slip, including the following details:
(A) The date and time of the wide-area progressive secondary jackpot;

(B) an EGM number, location, and denomination;

(C) the amount of the jackpot in alpha and numeric description;

(D) the reel symbols and number of credits played;

(E) all required signatures; and

(F) the game type;

(35) a security incident report, including the following details:
(A) The incident report number;

(B) the date and time of the incident;

(C) the location of the incident;

(D) the type of incident;

(E) the names and addresses of any witnesses and subjects involved in the incident, if known;

(F) a detailed narrative of the incident;

(G) the identification of videotape covering the incident, if applicable; and

(H) all required signatures;

(36) a security incident log, including the following details:
(A) The date of the daily log;

(B) the time of the incident;

(C) the incident report number;

(D) the name of the reporting security department employee and the employee's commission license number; and

(E) the summary of the incident;

(37) a visitor or vendor log, including the following details:
(A) The date of the visitor's or vendor's visit;

(B) the printed name;

(C) the company;

(D) the time in and time out;

(E) the type of badge and the badge number;

(F) the reason for entry; and

(G) all required signatures;

(38) a key access list, including the following details:
(A) The name of the key;

(B) the location of the key;

(C) the custodian of the key;

(D) the quantity of the keys; and

(E) the job titles authorized to sign out the key and, if applicable, any escort requirements and specific limitations;

(39) a table games variance slip, including the following details:
(A) The gaming date;

(B) the game or table number;

(C) the shift;

(D) a description of the discrepancy found; and

(E) all required signatures;

(40) an inventory log of prenumbered forms, including the following details:
(A) The name of the prenumbered form;

(B) the date received or issued;

(C) the quantity received or issued;

(D) the number sequence of forms received or issued;

(E) the name of each department to which forms were issued; and

(F) all required signatures and commission license numbers;

(41) a gift log, including the following details:
(A) The name of the gift recipient;

(B) the gift donor;

(C) a description and value of the gift; and

(D) the date the gift was received;

(42) a safekeeping log, including the following details:
(A) The date of deposit or withdrawal;

(B) the name of the patron;

(C) the dollar amount of deposit or withdrawal;

(D) the type of deposit or withdrawal; and

(E) the total balance of all deposits;

(43) a card or dice discrepancy report, including the following details:
(A) The date and time of the noted discrepancy;

(B) the location;

(C) a description of the discrepancy found; and

(D) all required signatures;

(44) a remote access log, including the following details:
(A) The access start date and time;

(B) the access end date and time;

(C) the reason for the remote access; and

(D) the person making access;

(45) a personnel access list, including the following details:
(A) The employee name;

(B) the license number; and

(C) all authorized functions the employee may perform;

(46) a redemption log, including the following details:
(A) The date the claim is being made;

(B) the dollar value of each item received by mail;

(C) the check number;

(D) the patron's name and address; and

(E) the signature of the employee performing the transaction;

(47) a currency cassette log, including the following details:
(A) The date of the currency cassette log;

(B) the time of the currency cassette log;

(C) the tamper-resistant seal number;

(D) the unique cassette number;

(E) the amount of cash in the cassette;

(F) the denomination of currency in the cassette; and

(G) the signature of the main bank cashier who prepared the cassette; and

(48) a table games jackpot slip, including the following details:
(A) The date of the table game jackpot;

(B) the time of the table game jackpot;

(C) the amount of winnings in alpha and numeric description;

(D) the table game number;

(E) the type of jackpot;

(F) the player's name;

(G) the signature of the cashier;

(H) the signature of the dealer;

(I) the signature of the table games supervisor; and

(J) the signature of the security officer escorting the funds; and

(49) a meter-reading comparison report, including the following details:
(A) The date of the meter-reading comparison report;

(B) the asset number;

(C) the beginning and ending credits played;

(D) the beginning and ending credits paid;

(E) the beginning and ending amount-to-drop, if applicable;

(F) the beginning and ending jackpots paid;

(G) the difference between the beginning and ending amount for all meters;

(H) the variance between the meters, if any; and

(I) the signature of an accounting department employee.

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