DEPARTMENT OF BUSINESS AND INDUSTRY
OFFICE OF THE LABOR
COMMISSIONER
POLICIES AND
PROCEDURES
MANUAL
MICHAEL TANCHEK, STATE LABOR COMMISSIONER
555 E. WASHINGTON AVENUE, SUITE 4100
LAS VEGAS, NEVADA 89101
(702) 486-2650
675 FAIRVIEW DRIVE, SUITE 226
CARSON CITY, NEVADA 89701
(775) 687-4850
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TABLE OF CONTENTS
SECTION I: INTRODUCTION
GUIDELINES FOR DRAFTING AGENCY PROCEDURES
INTERNAL CONTROL POLICY
SECTION II: AGENCY MISSION AND STRATEGIC PLANNING
STATE OF NEVADA STRATEGIC PLAN
DEPARTMENT OF BUSINESS AND INDUSTRY
OFFICE OF THE LABOR COMMISSIONER
SECTION III: PROGRAM MANAGEMENT
WAGES AND HOURS
WAGE CLAIMS
WAGE CLAIM FORMS
Claim for Wages
Instructions for Completing Wage Claim Form
Instrucciones para Llenar el Formulario para Reclamo de Sueldo
Supplemental Forms
INTAKE OF WAGE CLAIM FORMS
Reviewing Wage Claim Forms
Routing of Wage Claims for Statistical Purposes
INVESTIGATORS AND AUDITORS FIELD MANUAL
AUDITS
Introduction
Audit Selection
Pre-Audits
Audits
The Audit Process
The Field Audit
Records to be Examined
Audit Write-Up
Distribution of Completed Audits
Audit Collection Activities
WAGE CLAIM/AUDIT REVENUE AND DISBURSEMENT
Introduction
Intake and Deposit
Posting Receipts to the Wage Claim 5s System
Issuing Payments
Direct Payments to Claimants
Unavailable Claimants
Monthly Reconciliation
PROCEDURES FOR FINANCIAL DESK
BANKRUPTCY CASES
PUBLIC WORKS PROJECTS
PUBLIC WORKS PROJECT PROCEDURES
Assigning and Issuing Public Works Project (PWP) Numbers
PWP Numbers for Canceled/Delayed Projects
Project Tracking
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Creating a Public Works Project File
Subcontractors
FORMS
Request for public works identifying number (pwp number)
Notice of award for public works project
Notification of canceled/delayed public works projects
Notice of completion for public works projects
DATABASE DESK REFERENCE FOR PUBLIC WORKS (LAS VEGAS)
Opening the Database
Assigning a Public Works Project (PWP) Number
Opening a Project/Prime Contractor File
Opening Subcontractor Files
Closing Subcontractors
Closing Prime Contractor Files
Looking Up a PWP Project
Backing Up Files
DATABASE DESK REFERENCE FOR PUBLIC WORKS (CARSON CITY)
Opening a Public Works Project
Creating a Public Works Project File
Printing Labels and Letters
Opening Subcontractor Files
Printing Letters for Subcontractors
Closing Public Works Projects Files
Researching the Databases
Printing the Sorted Data
Backing-up Files
CONTRACTOR PREQUALIFICATION CERTIFICATION
PRIVATE EMPLOYMENT AGENCIES
MISCELLANEOUS PROCEDURES
RESPONDING TO SUBPOENAS FOR PUBLIC RECORDS
SECTION IV: INTERNAL OPERATIONS MANAGEMENT
INTEGRATED FINANCIAL SYSTEM (IFS)
REVENUE
PURCHASING
Direct Purchases
Purchases: State Purchase Requisition Required
ACCOUNTS PAYABLE
JOURNAL VOUCHERS AND BILLING CLAIMS
BUDGET TRACKING
POST AUDIT
RECORDS RETENTION
BACK-UP PLAN BY POSITION (CARSON CITY)
BACK-UP PLAN BY POSITION (LAS VEGAS)
FORMS
PRE-AUDIT CHECKLIST
POST AUDIT CHECKLIST
PURCHASE APPROVAL REQUESTS
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INVENTORY CONTROL
ADDING/REMOVING ASSETS
ANNUAL INVENTORY OF ASSETS
PAYROLL
EMPLOYEE TIMESHEETS
TIMESHEET ENTRY INTO ADVANTAGE/ IFS-HR
RECONCILING PAYROLL REPORTS
PAYCHECK DISTRIBUTION
TRAVEL AND TRANSPORTATION
TRAVEL REQUESTS
TRAVEL CLAIMS
COMMERCIAL CREDIT CARD
INTERNAL AUDIT PROGRAM
AGENCY INTERNAL AUDIT WORKSHEET
RECORDS
ARCHIVING/STORING DOCUMENTS AND RECORDS
RETRIEVING DOCUMENTS FROM ARCHIVES
―ARCHIVES WORKING FORMS‖ DESK MANUAL
FORMS
Records Center Accession Sheet
PERSONNEL/HUMAN RESOURCES
DOMESTIC VIOLENCE IN THE WORKPLACE
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SECTION I
INTRODUCTION
The operation of a regulatory agency, even a small one like the Office of the Labor Commissioner is
a complicated undertaking. There are basically two sides to the operation: programs and
operations. The programs are those areas of subject matter jurisdiction such as wages and hours,
public works/prevailing wage, apprenticeship, child labor and private employment agencies. The
operations side concerns the day-to-day internal operations of the agency such as
personnel/human resources, purchasing, business management, internal controls and the
numerous other tasks necessary to keep an agency up and running.
As the title suggests, the Policies and Procedures Manual contains both policies and procedures. It
covers what we do, why we do it and how to do it. It is also a living document. Policies change,
new issues and technologies arise and better ways of doing things come along with regularity. The
manual should reflect these changes and always be in the process of being updated.
The manual does not cover every possible contingency. In some cases, the guidance is very
specific, as in the case with internal controls. In others, the guidance is more generic reflecting the
need for flexibility in both thinking and doing. Additionally, there are other policies and procedure
manuals that are government wide in their scope. The State Administrative Manual is the best
application. These other manuals are incorporated by reference.
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GUIDELINES FOR DRAFTING
AGENCY PROCEDURES
(February 15, 2001)
The purpose of these instructions is to provide general guidelines when drafting agency
procedures. There will be times when various staff members may be directed to draft procedures to
be incorporated into the agency's Policies and Procedures Manual based on, but not necessarily
limited to their respective areas of responsibility. Particular attention will be given to reviewing the
portion of the procedures manual concerning the agency's system of "internal accounting and
control" as required by the provisions of NRS §353A.020(3).
When drafting procedures, please observe the following guidelines:
1. Purpose of Procedure: Where appropriate, briefly describe the reason for and intended
purpose of the proposed procedure. In doing so, it would be reasonable that such
description answers the question, "Why is this procedure necessary?"
2. Include Applicable Cross-References: Many of the procedures to be drafted have some
basis in an existing reference source. Cross references include, but are not limited to, the
Nevada Revised Statutes (NRS), Nevada Administrative Codes (NAC), U.S. Code (USC),
Code of Federal Regulations (CFR), and the State Administrative Manual (SAM). For
example, a procedure on wage claims could cross reference NRS §§607.160, 607.170, or
338.515(4). Continuing, a procedure on in-state travel policy could cross reference SAM
0212.0
Where applicable, such cross-references should be separately stated, preferably beneath
the title of the procedure. The purpose in requiring a cross reference is to ensure that
procedures adopted are consistent with governing law or policy and not merely drafted and
implemented because "that's the way we've always done it." Additionally, cross-references
allow readers to verify the accuracy of the procedure by reviewing the applicable cross-
reference source. For example, a procedure is drafted to provide for notices of hearing and
states that ―notice should be sent not less than 30 days…‖ but when the cross reference
provided is reviewed, it would become known that 15 days notice are in fact required
pursuant to NRS §607.207(2).
Finally each of the cross-references listed above as examples are accessible via the
Internet.
3. Internal Accounting and Control: When drafting procedures required as part of the
agency's system of internal accounting and control, refer to the guidelines set forth in NRS
§353A.020. Specifically, ensure the following elements are incorporated, where appropriate:
a. Provide for segregation of duties when safeguarding the agency's assets,
receivables, etc.
b. Limit access to assets of the agency to persons who need access to such in order to
perform their assigned duties.
c. Provide for procedures for authorizations/pre-approval and record keeping which
effectively control accounting of assets, liabilities, revenues and expenses.
d. Include a mechanism for internal review. That is, for each internal accounting and
control procedure, there must be a method to evaluate whether the established
procedures were even followed. This is a major issue evaluated by Auditors of the
Internal Audit Division and this function is generally the responsibility of the agency
head.
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4. Format of Procedure: At all times possible, state the proposed procedure in sequential,
narrative form. For example, if proposing a procedure for the determination of the prevailing
rates of wages, the following format would be acceptable:
a. In consultation with the Labor Commissioner, the Chief Assistant will develop a
timeline in which to reasonably accomplish conducting the survey and compiling the
data related thereto.
b. The Chief Assistant will obtain from the Labor Commissioner the classifications for
which survey data will be sought. As a reference, previous year's surveys can be
used. The Labor Commissioner will ensure the classifications are consistent with the
legislative intent of determining the prevailing rates of wages for "each craft or type
of work" as referenced in NRS 338.030(1).
c. The Chief Assistant will obtain from the State Contractor's Board a list of eligible
contractors to be surveyed. Contractors who perform commercial construction in
excess of $100, 000 are to be deemed eligible. Edit such list to ensure that any
duplicate entries are excluded from the subsequent mailing.
d. And so on …
A general rule of thumb in drafting and proposing procedures is to answer the question, "Who
does what, when, and how." To answer the "why," the purpose of the procedure as previously
discussed, along with applicable cross-references will accomplish such.
Responsibilities can be assigned in the steps setting forth the procedure, such as in the example
above or at the beginning of the draft procedure, for example:
The following duties are to be performed by the Program Assistant II, Position Control No. 12,
currently Jane Smith.
1. When processing the agency's mail, the Incumbent will …
2. Upon completion of the aforementioned, the Incumbent shall …
3. Etc…Etc…
Or, after it has been identified who will be performing certain tasks, the first person can be used.
For example:
1. Place incoming mail in a secure location where it can be opened, reviewed, processed,
and forwarded to the appropriate party.
2. Ensure that matters marked "urgent" or "confidential" are handled appropriately.
3. And so on…
With the exception of the example previously provided, avoid the use of names in drafting the
procedure. For example, the following would not be acceptable:
1. Mary will receive the wage claims and input such into the Wage Claim Program after
reviewing and verifying such for accuracy.
2. Jan will then input the data into the Financial Program.
5. Use of Microsoft Word: All procedures drafted are to be developed in Microsoft Word. The
reason for this is to facilitate making the procedures centrally available on the agency's shared
drive/staff website. The WordPerfect format typically generates more difficulties in this
endeavor.
6. Name of Drafter/Agency Head: Similar to a signature line, at the conclusion of each proposed
procedure, states the name of the person who drafted the procedure and the date on which it
was drafted. For example:
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DRAFTED BY:_______________________ DATE:________________
Judy Honea, Office Manager
In addition to the obvious reasons, this allows the reader to direct specific, clarifying questions
they may have to the drafter in an effort to ascertain what was meant by a certain procedure.
All proposed procedures must be approved the agency head. Therefore, also provide a space
for the signature and approval of the agency head and the date approved. For example:
APPROVED BY:____________________ DATE:________________
Terry Johnson, Labor Commissioner
For the Chief Investigator and the Administrative Supervisor, in the rare instance that you have
asked a subordinate to draft a procedure, you may include a signature line for yourself
indicating that you have reviewed and approved the proposed procedure and the date on which
such was done.
When proposing procedures, draft them as if you were either explaining them to a new employee
on their first day of work who has little or no knowledge of the agency's operation or as if you were
explaining the agency's procedures to an auditor from the Legislature or the Internal Audit Division.
As well, try to anticipate a question that either a new employee or an outside Auditor might ask and
then strive to answer such question(s) within the procedure. Be as thorough as necessary.
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INTERNAL CONTROL POLICY
Internal controls are a significant component of the Office of the Labor Commissioner‘s
organizational management plan. The purpose of internal controls is to help ensure that the
following objectives are being achieved:
- Effectiveness and efficiency of operations
- Reliability of financial reporting, and
- Compliance with applicable laws and regulations
Due to the myriad of reporting requirements found in state government, it is necessary to
summarize internal controls as if they were stand alone functions within the agency‘s overall
operations. It must be recognized that internal controls aren‘t a single component of the agency‘s
operation. Rather, they are suffused throughout and impact all areas of operation. The internal
controls that are found in this section are merely summaries of the agency‘ internal control plan.
Most of this information can be found in other sections of the policy and procedure manual, both in
terms of program management and internal operations. The internal control section is divided into
two principal parts. The first is for those internal controls required by the state‘s Integrated
Financial System (IFS). Prior to going on-line with IFS, each agency was required to develop
internal controls that addressed only those functions unique to IFS. The second section addresses
those internal control issues that are not part of IFS. The format for these controls follows,
generally, the standards of internal control set forth in the State Administration Manual (SAM)
2416.0 and identified in All Agency Memorandum number13-02 (March 19, 2002, John P.
Comeaux, Director, Department of Administration.)
SAM 2416.0 and the memorandum establish five standards of internal control. These five
standards are:
- Control Environment
- Risk Assessment
- Control Activities
- Information and Communication
- Monitoring
Prior to 2002, internal controls focused primarily on the fiscal matters related to agency
management. In 2002, the philosophy changed to include the more updated view that included
managerial issues, essentially shifting the focus from efficiency to effectiveness.
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SECTION II
AGENCY MISSION AND STRATEGIC
PLANNING
Every agency in state government plays a particular role and serves a particular purpose. The
Office of the Labor Commissioner is no different from any other agency in that regard. In carrying
out the responsibilities incumbent on the agency, it is essential that all of the employees
understand their role in the overall plan for state government.
The first substantive section of the Policies and Procedures Manual concerns the strategic plans for
the State of Nevada as a whole, the Department of Business and Industry in general and the Office
of the Labor Commissioner in specific. In order to better serve the public and carry out our mission,
it is essential that these strategic visions of state government complement each other and that our
individual activities are consistent with and serve to further the goals and objectives of the plans.
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Kenny Guinn
Governor JOHN P. COMEAUX
Director
STATE OF NEVADA
NEVADA STATE STRATEGIC PLAN
VISION
We envision a Nevada that honors and defends fundamental principles of trust, honesty and hard
work; a Nevada where all citizens are made welcome and have the opportunity for a quality
education and stable, rewarding employment; a Nevada whose people are secure in their health,
their homes and their property; and a prosperous Nevada, where families and individuals find work
meaningful, recreation plentiful, and the wonders of our natural environment preserved.
We envision a Nevada whose government is steadfast in its values and accountable to its people, and
whose citizens proudly share a common identify, sense of community, and civic mindedness.
MISSION
To enable all Nevadans to exercise their individual rights, enjoy equality of opportunity, and accept
responsibility for themselves and their families; to preserve Nevada‘s cultural, historic, and
environmental resources and economic prosperity for future generations; to provide other essential
government services both efficiently and cost-effectively; and to keep governmental intrusion in our
citizens‘ personal lives to a minimum.
PHILOSOPHY
Government cannot solve every problem or meet every need, so state government should focus on
its priorities and do them well. To that end, we will be responsive to the public, prudent with its
money, and protective of its interest. We will be cooperative, forthright, and dedicated. We will use
innovation and creativity to provide the highest level of service possible within our limited resources.
We will exhibit an abiding commitment to Nevada and the future of its people, and we will be honest
and ethical in all our dealings with others. Finally, we will promote and defend time-honored
principles of individual responsibility, common civility, and compassion for others.
FUNCTIONAL GOALS
1. Provide a tax structure that is equitable, stable, and keeps taxes and fees to a minimum.
2. Develop incentives that encourage economic development.
3. Protect the state‘s interest and competitive advantage in gaming and tourist-related
industries, but increase the share of non-gaming business in Nevada‘s economy.
4. Implement zero-based budgeting and develop ongoing revenue forecasts and spending
plans for a minimum of 8 years into the future.
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5. Provide meaningful incentives or rewards to state departments and employees to operate
more efficiently.
6. Eliminate duplication of services and effort among state agencies and other local or
nonprofit entities.
7. Maintain lean but appropriate state staffing levels, and provide state employees with a good
working environment and a competitive wage.
8. Maximize the use of the Internet and other technology to make government more accessible
and more economical.
9. Improve pupil achievement in elementary and secondary schools, and increase the number
of students going on to higher education in Nevada.
10. Foster government services at the level closest to the people.
11. In developing environmental policies and programs, use cost-benefit analyses that consider
all relevant social, economic, and legal factors.
12. Reduce the recidivism rate of prison inmates and reduce the incidence of juvenile violence.
13. Increase the percentage of Nevadans with health insurance.
14. Provide a social service system that enables, motivates, and rewards self-sufficiency.
15. Increase the effectiveness of family services in the state.
16. Develop an accessible, flexible, cost efficient and responsive government.
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DEPARTMENT OF BUSINESS AND
INDUSTRY
VISION, MISSION, PHILOSOPHY, AND DEPARTMENT
GOALS
VISION
We envision a Nevada where all workers earn a fair wage under safe, healthy conditions; a state
that supports and encourages the start-up, financing, licensing, and continued growth, development
and legal operation of business and industry; a Nevada where consumers can purchase real estate,
insurance, dairy products, affordable and manufactured housing, and banking/financial, hospital
and other goods and services with confidence and for a fair price; a state where residents and
visitors can hire a taxicab, limousine or household mover for a fair price with the surety that they
and their possessions are safe; a Nevada where people with disabilities find employment
opportunities in all career fields; and a Nevada where all workers have a fair opportunity to bargain
and mediate their pay, labor and workers compensation benefits.
MISSION
To carry out the overall Mission of the State of Nevada to provide for the highest quality of life for
Nevada Citizens, promote a strong economy and optimize the business and government
environments, the Department of Business and Industry will encourage and promote the growth,
development and lawful operation of business and industry for the benefit of the citizens and
workers of Nevada.
PHILOSOPHY
The agency‘s mission will be accomplished through a well-coordinated and efficient government
organization that:
1. regulates the business professions and commercial and industrial enterprises in a proactive,
firm and fair manner;
2. promotes safe working environments and safeguards workers‘ rights;
3. provides consumer services to assure that the products, commodities and services made
available to the citizenry are safe, accessible, competitively priced and marketed through
fair, non-deceptive and lawful practices;
4. administers, develops and supports financing and other services for qualified individuals and
businesses to start up or expand, diversifying Nevada‘s economy; and
5. Implements educational and public awareness programs that inform business and
consumers of their legal rights, privileges and responsibilities.
DEPARTMENT GOALS
1. Establish a departmental culture that is user-friendly, responsive to the changing needs of
the persons and businesses served by the agencies in the Department, sensitive to the
need for delivering essential services in a cost-effective manner and diligent in implementing
statutory duties or authority.
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2. Maintain fair and uniform workplace standards and practices in all agencies of the
Department that enhance individual self-esteem and encourage the worth of each person in
achieving the Department‘s objectives.
3. Establish a synergy among all divisions, offices and agencies comprising the Department of
Business and Industry to develop new ideas and approaches that encourage teamwork,
professionalism and increased productivity.
4. Enhance consumer protection programs through citizen involvement in policy making,
education of the public and business community through consumer information and
instruction and innovative uses of the regulatory authority of consumer services agencies.
5. Focus efforts within the Department to provide financial assistance from public and private
sources of capital necessary to support business retention, expansions, start-ups and
relocation in Nevada.
6. Through appropriate Departmental division, assure that the products, commodities and
services provided by businesses under the jurisdiction of the Department are properly
regulated and that the quality of those services and products can be trusted by citizens and
visitors to be safe and not harmful.
7. Assist Nevada citizens to attain the highest quality of life.
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OFFICE OF THE LABOR
COMMISSIONER
VISION, PHILOSOPHY, MISSION, GOALS, OBJECTIVES,
AND PERFORMANCE INDICATORS
(Revised May 29, 2002)
VISION
We envision a work force in which all employees are compensated for all work performed and
where all employers comply with the labor laws, ultimately resulting in an economic benefit for the
State of Nevada. We envision an open labor force where all people have the opportunity to obtain
training that will enable them to attain rewarding employment and accountable citizenship in the
State of Nevada. We envision a State of Nevada where there are appropriate safeguards in the
employment of minors.
PHILOSOPHY
We aspire to be efficient, professional, effective, and tenacious in the process of enforcing the labor
laws of the State of Nevada.
MISSION
As the principal labor and industrial relations regulatory agency, the mission of the Office of the
Labor Commissioner is to enforce all labor and industrial relations laws of the State of Nevada not
otherwise assigned to another entity; to protect the interest of working families; and to provide for
the fair and lawful conduct of commerce by Nevada businesses.
GOALS, OBJECTIVES AND PERFORMANCE MEASURES
Goal #1
To efficiently investigate and resolve wage claims filed with the Office of the Labor Commissioner in
a timely manner.
Strategies
Ensure there are current procedures established for investigators to proceed with adjudicating
wage claims efficiently.
Impose deterrents such as administrative fines and penalties, for employers who violate labor
laws.
Educate employers of their responsibilities under Nevada labor laws.
Objective
To have 75% of wage claims adjudicated within 60 days of receipt.
Performance Measure
The percentage of wage claims adjudicated within 60 days.
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Goal #2
To effectively interpret and enforce the labor and industrial relations laws of the State of Nevada.
Strategies
To have individuals involved in issuing determinations, decisions, and orders receive ongoing
training.
To subscribe to more periodicals related to such topics.
Objective
To strive for an 85% outcome, on a yearly basis, for the number of determinations, decisions, and
orders issued by the Labor Commissioner that are not reversed by the Courts.
Performance Measure
The percentage of determinations, decisions, and orders not reversed by the Courts.
Goal #3
To accurately establish the prevailing rates of wages in each County pursuant to the laws of the
State.
Strategies
Conduct workshops and public announcements in an effort to increase the awareness of wage
surveys.
To streamline the wage survey process so that it is more user-friendly for contractors.
To conduct audits of wage survey information submitted to the Labor Commissioner.
Objective
To strive for a 95% outcome, on a yearly basis, for the number of prevailing wage rates established
by the Labor Commissioner that is not reversed by the Courts.
Performance Measure
The percentage of prevailing wage rates established by the Labor Commissioner that is not
reversed by the Courts.
Goal #4
To ensure that all registered apprenticeship training programs are administered in accordance with
the laws of the State.
Strategies
Schedule audits on a timetable based on the frequency and time they were last audited as well
as the results of their previous audit findings.
To maintain a reciprocal relationship with other organizations that possess similar objectives to
promote apprenticeship training and compliance.
Objective
To ensure that 90% of the compliance audit determinations issued are not reversed by the Courts
each fiscal year.
Performance Measure
The percentage of compliance determinations not reversed by the Courts.
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Goal #5
To coordinate the licensing, registration, and bonding of private employment agencies in a timely
manner.
Strategies
Ensure there are current procedures and deadlines established for staff as well as applicants to
process applications efficiently.
Ensure that staff is available for questions and guidance.
Objective
To license, register, or bond 90% of private employment agencies within 60 days of receipt of an
application.
Performance Measure
The percentage of private employment agencies licensed or registered within 60 days.
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SECTION III
PROGRAM MANAGEMENT
Section II, Program Management concerns the policies and procedures necessary for the Office of
the Labor Commissioner to carry out its regulatory and administrative responsibilities as set forth in
the Nevada Revised Statutes. The functional areas covered by these procedures include the
requirements of Nevada Revised Statutes Chapters 607 (Labor Commissioner), 608
(Compensation, Wages and Hours), 609 (Employment of Minors), 610 (Apprenticeships), 611
(Employment Agencies and Offices), 613 (Employment Practices), 614 (Organized Labor and Labor
Disputes) and 338 (Public Works Projects.)
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WAGES AND HOURS
WAGE CLAIMS
Far and away, the greatest volume of work at the Office of the Labor Commissioner centers on
claims by employees against employers for wages for hours worked that have either not been paid
or paid incorrectly. The statutory provisions concerning wage claims are found in Nevada Revised
Statutes Chapter 608.
The wage claim system of the Labor Commissioner‘s Office consists of three fundamental
components. These include the investigation and determination process; data base management
for claims, payment and reporting; and hearings. The following policies and procedures deal with
the investigation and determination process, the electronic and hard copy database management
for claims and the financial functions for receipt and payment of claims. Hearings are subject to the
procedures set forth in Nevada Administrative Code Chapter 607 and are addressed elsewhere.
The electronic data base management system for the Labor Commissioner‘s wage claim program is
the ―Wage Claim 5s‖ program. It is a stand-alone system developed by the Nevada Department of
Information Technology. The system has several functions including maintaining electronic files
for all private sector wage claims and prevailing wage claims filed with the Office of the Labor
Commissioner, tracking the receipt and disbursement of funds paid to the Labor Commissioner for
disbursement to wage claimants and a reporting function. Staff is developing a Users‘ Guide that is
designed to assist with the mechanics of navigating the system. Hard copy files are kept for all
transactions as part of the internal control for the system.
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WAGE CLAIM FORMS
CLAIM FOR WAGES
INSTRUCTIONS FOR COMPLETING WAGE CLAIM FORMS
INSTRUCTIONS FOR COMPLETING WAGE CLAIM FORMS (SPANISH)
SUPPLEMENTAL FORMS
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Complaint-Claim for Wages
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INSTRUCTIONS FOR COMPLETING WAGE CLAIM
FORMS
(August 21, 2001)
Complete each item by number. If you require assistance in completing this form, please
telephone or come in to the office for assistance.
GENERAL INFORMATION:
1. Your name as shown on your paycheck(s) and/or as your employer knows you.
2. If you do not have a social security number, write ―none.‖ DOB means your date of
birth.
3. Enter the address to which our correspondence will be mailed to you. Include your
zip code. It will be your responsibility to advise us if this address (and/or your
telephone number) should change prior to the settlement of your claim.
4. Provide at least one telephone number where you may be reached, or a message
left for you.
5. Indicate whether or not you can afford an attorney. In accordance with NRS
607.170: The Labor Commissioner may take an assignment of a claim for wages....
of any person who is financially unable to employ counsel...
6. Under some circumstances a claimant may be required to provide a financial
statement to verify his/her inability to afford an attorney.
7. Indicate whether or not you will be able to attend a pre-hearing conference and/or an
administrative hearing if required.
8. Enter the name of the business for which you worked. This should be the same as
the company name on your paychecks. If it is not, explain the reason for the
difference.
9. Provide the name of the owner or the president of the company if known.
10. Enter the business address of the company for whom you worked. If business is
closed, indicate business is closed and provide any additional address information
you may have below under item 11, noting that it is an alternate address where we
may be able to contact the employer.
11. Provide mailing address if not the same as the address in item 10. This area may
also be used to provide an alternate address for the employer. Indicate the type of
address; Home, corporate address, another business location, or...
12. Enter the telephone number of the business. Enter the fax number if known.
13. Enter the telephone number and fax number where payroll records may be available
if other than the business telephone number. This space may be used to provide
other helpful telephone numbers. Identify the name of the person to whom the
telephone number belongs.
14. Type of business should be as explicit as possible.
JOB INFORMATION:
15. The name of the county in Nevada where the work was performed. If more than one
county, list all. We are unable to accept claims for work performed outside of
Nevada.
16. Type of work performed should be as explicit as possible. Enter the base rate of pay
you received for the work you normally performed and at your regular rate, not
overtime or premium pay.
17. If you do not know the date you were hired, estimate the month and year. We will
need to know the date of the last day you worked. Check the proper box for the
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reason for leaving. If unsure, chose one.
18. Check the appropriate box(es). Did you have a wage agreement: yes/no? If yes,
was it written or told to you? If it was a written agreement, attach a copy. If you
never received a copy, make note that the employer has the only copy. Were you
paid an hourly rate, piece work, salary, or commissions, or a combination? Be
specific. Were you paid by cash or by check, or a combination? If you were paid by
cash, did you sign a receipt: yes/no?
WAGES CLAIMED:
19. Check the appropriate box(es). Why are you filing this claim?
20. What evidence do you have to support your claim. Provide copies of supporting
documents.
21. With whom did you discuss the money you feel is due to you? When did you
contact them? Did you talk to your employer or did you write a letter to your
employer? If you wrote a letter to your employer, attach a copy.
22. What is the date of the first day you worked without pay and the last day you worked
without pay? These dates, indicating the total amount of time, will be entered on the
reverse side of this claim form.
23. To claim for unpaid wages, enter the total number of hours (or other units) you
worked for which you were not paid. If paid by the day, the week, the month, or
piecework, or whatever, enter the total number of units and the rate of pay you were
to receive per each unit. Then enter the total gross amount of your claim for unpaid
units.
24. To claim unpaid commissions, enter the total amount of the commissions you feel
are due to you and then complete the supplemental commissions due form.
25. To claim unauthorized deductions (or for authorized deductions which were then not
paid to the proper agency by your employer) enter the total amount you are claiming
and provide copies of paycheck stubs and/or other documents supporting your
claim.
26. To claim for bad checks, enter total net amount of the check. You may add charges
the bank charged you because your paycheck was returned. You may not add
charges that occurred because checks you wrote were unable to clear. We must
have the original check(s); not a copy. If you deposited a check to your bank
account and are now in an overdraft status because your employer‘s check did not
clear, and the bank has kept the original check, you may file a claim for unpaid
wages. Supply all supporting documents for your claim.
27. Did you receive an advance, payment for part of the funds due to you, or paid
housing, or other items of value in partial payment of the wages you are claiming?
Enter that amount and subtract it from the amount you are claiming.
28. This is the total amount your are claiming. There must be an entry here in order to
process your claim.
REVERSE SIDE OF FORM:
Fill in the total number of hours worked each day, for which you did not receive payment.
Identify the dates. Even if paid by piece work and/or by salary, we need this information in
order to discuss with the employer the time period of the work performed for which payment
has not been received. If the work performed was a prevailing wage job or new
construction, do not complete this section. Ask for a supplemental information/construction
workers form.
24
Briefly write down the reason for which you are filing the claim. For example: ―Did not get
paid for all hours worked; paid straight time for overtime work; paid incorrect amount for
work performed on public works project; employer deducted insurance premiums and did
not make payment to the insurance company, did not receive commissions when due, etc. ―
Then write the reason the employer gave when you requested the funds you feel are due to
you.
Read the assignment. Be sure to sign and date the form before submitting. Incomplete
and/or confusing forms will be returned to you without processing.
25
OFICINA DE EL COMISARIO DE LABOR
INSTRUCCIONES PARA LLENAR EL FORMULARIO PARA RECLAMO DE SUELDO
1. Nombre (escribir con letras de imprenta). Primer nombre, inicial mediano, apellido.
2. Numero de seguro social y fecha de nacimiento.
3. Direccion.
4. Numero telefonico de su casa y otro numero telefonico.
5. Podria pagar un abogado?
6. Estaria dispuesto proveer una declaracion financiera si se lo piden?
7. Estaria de acuerdo presentarse a una conferencia pre-audiencia o audiencia administrativa
programada, si es necesario para presentar informacion relatada a su reclamo de sueldo?
8. Nombre del negocio.
9. Nombre del dueno/presidente.
10. Direccion del negocio.
11. Direccion para enviar correspondencia (si es diferente).
12. Numero telefonico y numero de fax.
13. Numero telefonico para archivos de nomina y numero de fax.
14. Typo de negocio.
15. Condado donde usted trabajo.
16. Typo de trabajo empenado y base de pago recibido.
17. Fecha de contratamiento y ultimo dia de trabajo. Razon por irse: despedido, renuncio, o sigue
empleado?
18. Hay o hubo un acuerdo de sueldo? Oral o escrito? Si fue por escrito adjunte una copia.
Base de pago: por pieza salario
Metodo de pago: cheque en efectivo
Si pagado en efectivo, usted firmo un recibo si, o no?
por hora comision
19. Razon por reclamo de sueldo;
No pago de sueldo regular Cheque sin fondos
No pago de tiempo extraordinario Deducciones no autorizados
No pago de comision Otro
No pago de sueldo predominante (complete la forma suplementaria)
20. Evidencia sometida para apollar su reclamo de sueldo:
Talones de cheque Documentos de compania
Archivos de tiempo Testigos
Acuerdo/contrato Otro
Archivos de impuestos (ejemplo: Forma W-2)
21. Nombre de persona a quien usted ha pedido su sueldo y la fecha.
22. Fechas trabajadas y no pagadas. De cuando hasta cuando. (Demuestre fechas y horas
trabajadas al otro lado de esta forma.)
23. Total de horas no pagadas y base de pago y cantidad.
24. Total de comision no pagado.
25. Total de deducciones no autorizados.
26. Total de cheques sin fondos y cobro de banco por cheque regresado. (Adjunte cheque original
y declaracion de banco demostrando cobros.)
27. Descuente la cantidad recibido (adelanto de sueldo, habitacion, comida, etc.)
28. Total de cantidad reclamado.
Segunda parte del formulario
Numero de horas trabajadas por dia y fechas por el sueldo que esta reclamando. ( No use esta
grafica para reclamo de sueldo predominante-pida una forma suplementaria.)
26
Brevemente afirme la razon por archivar un reclamo de sueldo y por que el empleador se niega
en pagarle.
POR FAVOR DE NOTAR: ES RESPONSABILIDAD DE EL QUE ESTA HACIENDO EL RECLAMO
DE NOTIFICAR A ESTA OFICINA DE CAMBIOS EN SU DIRECCION DESPUES QUE PRESENTA
ESTE RECLAMO DE SUELDO.
ASIGNAMIENTO
Por este medio, yo declaro que esto es una afirmacion verdadera de sueldo debido a mi
bajo las Leyes de Relaciones de Labor y Industrial de Nevada, a mi mejor conocimiento y creenzia.
Por este medio, yo asigno todos reclamos y todas multas acumulado por su falta de pago, y
todos embargos o acciones segurando los al Comisario de Labor del Estado de Nevada para
collectar en acuerdo con las leyes aplicables y reglamento de este estado.
Yo autorizo que el Comisario de Labor y sus deputados reciban cualesquier cheques,
money orders, o dinero en efectivo obtenido como pago de este reclamo. Por este medio autorizo
que se envie por correo semejante
dinero a mi propio riesgo o retener semejante hasta que yo reclame semejante.
Por este medio, yo autorizo el Comisario de Labor que apruebe un ajuste propuesto de este
reclamo al menos que yo oponga en escrito a semejante oferta dentro de 10 dias despues de que
notificacion es enviado a mi a mi direcc- ion dada por mi al Comisario de Labor. Si yo no solicito
que regresen cualesquier papeles sometidos por mi en conneccion con este reclamo, Por este
medio yo autorizo el Comisario de Labor que los destruia despues de dos anos de la fecha de este
reclamo.
Por este medio asigno todos derechos y privilegios applicable a mi bajo las leyes de
Relaciones de Labor y Industrial de Nevada a el Comisario de Labor y solicito que el actue por mi
en todos asuntos que vayan a surgir
bajo esto en la manera el Comisario o su representante escoje.
Por este medio autorizo que el Comisario de Labor detenga dinero debido a mi hasta que
fondos han sido aprobados para pagar.
ANOTE LA FECHA Y FIRME EL FORMULARIO.
27
INTAKE OF WAGE CLAIM FORMS
(February 26, 2003)
Reviewing Wage Claim Forms
Each wage claim form must be reviewed at the counter with the claimant. The staff person
receiving the claim form must place his/her initials in the upper right hand box. Claims received by
mail should be so marked. All claims for work done on public works projects must be so marked:
―PWP‖.
Review each item by number with the claimant. If items are not complete or need additional
information for clarification, the person reviewing the claim may write that information on the wage
claim form.
1. If the claimant‘s handwriting is illegible, print the name above the claimant‘s name.
2. The claim may be accepted without a social security number if necessary. DOB (date of
birth) must be filled in as a source of identification.
3. Be sure the address is legible and complete, including zip codes.
4. If no telephone number is given, ask if there is any telephone number that they can give us
where we can leave messages.
5. If the claimant checks the ―yes‖ box, indicating that they can afford an attorney, the person
reviewing the claim must discuss this with the claimant. If, after further dialog with the
claimant, it appears that the claimant does not have the financial ability to employ counsel,
the claim form should be changed. If the claimant is insistent that we accept the claim
anyway, avoid arguing with the claimant and accept and process the claim. However, the
claimant needs to be advised in such circumstances that it is possible that we may not be
able to ultimately assist them.
6. The claimant should check the ―yes‖ box to indicate they will provide a financial statement if
required. You may be required to explain to the claimant this is a method of determining their
ability to afford an attorney or not.
7. The claimant should check the ―yes‖ box to indicate their willingness to attend meetings and
hearings to present information for their claim. If the claimant is moving from the area, the
claimant will have an opportunity to discuss how this requirement will be addressed with their
investigator. If the claimant insists on checking the ―no‖ box, the Investigator may not be able
to successfully resolve the claim.
8. This should be the name of the company on their paychecks. If it is different, there needs to
be an explanation. Be sure the business name is legible. An individual‘s name can be used
only if there is no company name.
9. The name of the owner/president should be provided if known. If not known, the claimant
should write, ―unknown.‖ The business address needs to be the physical address where the
claimant actually worked. If the business is closed, the address should still be the address
where the claimant worked with a note that the business is closed. Provide any additional
address(es) in item 11 below. Zip codes must be included. If the address is in this area, look
up the zip code in the telephone zip code directory to confirm the number while the claimant
is still at the counter. If the address is out of the area, try to confirm the number with some of
the documentation provided by the claimant. It is important to confirm these numbers to
assure that the claim will be assigned to the proper investigator. The zip+four site on the US
Postal Service web site is also a source for checking zip code numbers.
10. Provide a mailing address if it is different from item 10. This line may also be used to provide
an alternate address for the employer. Indicate the type of address, for example, home,
corporate address, another business address, etc.
11. Enter the telephone number of the business. If the phone has been disconnected, so
indicate. Enter the business fax number if known. If more than one telephone number is
given, label which number is what, and at what location.
28
12. Enter telephone and fax number of payroll office if different from the business telephone
number and fax number, if known.
13. The type of business should be as explicit as possible.
14. The county where the work was performed must be completed to determine whether claim
will be worked from the Las Vegas or the Carson City office.
15. The type of work should be specific, especially if it is a public works project. The type of work
for construction workers should be specific and include the classification of work performed.
The Base Rate of Pay Received must be completed.
16. The first day worked may be estimated, but last day worked must be precise. The claimant
must specify the reason for leaving. If they say they don‘t know, have them chose one. If
unusual circumstances exist, for example, the company is closed or bankrupt, the claimant
should make a special notation to that effect.
17. If there was a written wage agreement, we must have a copy. We will make copies at no
charge. Many claimants will say ―yes,‖ but when questioned further, will acknowledge that it
was something else and not actually a written agreement. If there is a written agreement, but
the claimant never received a copy, make a note that the employer has the only copy. The
claimant must explain the basis and method of payment.
18. The claimant must indicate the reason(s) for filing the wage claim.
19. The claimant must indicate what evidence they are submitting to support wage claim. Make
every effort to obtain copies of previous paycheck stubs and time records. We will make
copies at no charge.
20. The claimant must list the name of the person upon whom the demand for wages was made
(or attempted to be made) and the date. If the claimant made a written demand, a copy is
desirable. The claimant needs to have at least made an attempt to make an oral demand for
their wages and advise us who they talked to (or tried to talk to) and when. If they indicate
they have not made, or at least tried to make, an oral demand, advise the claimant that they
must make an attempt before we can take the claim.
21. We must have dates in this section. Our wage claim computer program and the demand
letters require this information. Compare these dates with the ―Last day worked‖ as listed
above. Be sure the claimant is not filing for time worked after the last day they worked.
22. To claim unpaid wages, the claimant must enter the total number of hours (or other units)
they worked and were not paid. These hours must be entered on the reverse side of the
form. Be sure to compare the dates on both sides of the form to ensure they are consistent.
23. If the claimant is filing for unpaid commissions, the claimant must enter the total amount of
the commissions they feel are due and complete the supplemental commissions due form.
24. If the claimant is filing for unauthorized deductions, they must enter the total amount they are
claiming and provide copies of paycheck stubs and/or other documents supporting their
claim.
25. If the claimant is filing for bad checks, they must enter the amount of the bad check. They
may also add any fee that their bank charged them because the employer‘s check did not
clear. The may not add bank fees accumulated because they are now in an overdraft
situation and/or because checks the claimant issued have not cleared. (A possible NSF
check would also be entered here.) If the claimant deposited a check to their bank account
and is now in an overdraft status because the employer‘s check did not clear and the bank
has kept the original check, the claimant will not make their entry in this section. The
claimant may file for unpaid wages, in which case they will fill out section 23, as if they had
not received the bad check. They must supply all supporting documents needed for the
claim. In order to process a bad check claim, we must have the original check, not a copy.
26. If the claimant received a partial payment and/or in kind payments, this section must be
completed
27. The claimant must provide a total amount they are claiming. If they do not have an exact
dollar amount, they must estimate to the best of their ability.
On the reverse side of the form:
29
1. The claimant must fill in the total number of hours worked each day, for which they did not
receive payment, whether paid by the hour, by salary, by piecework, or by commission.
Extension sheets are available. ―See attached‖ will be acceptable if the attachment provides
all of the information required.
2. If the work is a public work or any new construction, the claimant must complete the
supplemental form for construction work and write ―see attached‖ in this area. If a
commission claimant is filing for commissions only and does not want to provide the hours
they worked because they want the commissions only, have them write a statement to that
effect in this area. Double check to be sure these hours compare to the hours listed on the
front side of the claim.
3. Public works and construction workers must complete a supplemental form. Our staff
members who work with the public works projects may be able to assist in identifying a
project and/or a contractor.
4. Claimants filing for commissions must complete the supplemental commission form.
5. If the claim is for piecework, the claimant must fill out the supplemental form for piecework.
BE SURE THE CLAIM FORM IS SIGNED AND DATED. ASK FOR PHOTO IDENTIFICATION.
MAKE A COPY FOR THE FILE. IF CLAIMANT DOES NOT HAVE PHOTO ID, WE CAN ACCEPT
THE CLAIM WITHOUT, BUT BE SURE THE CLAIMANT KNOWS THAT IF WE RECEIVE FUNDS
FOR THEM, THEY WILL NEED TO HAVE PHOTO IDENTIFICATION IN ORDER FOR US TO
RELEASE A CHECK TO THEM.
The claimant has the burden of completing the form. We do not have detectives on staff to hunt for
people and information. If they don‘t know the times and dates we will request payroll and time
records on their behalf. Do not accept a claim from anyone for whom we have a records request
pending. After we obtain the records for them, they may file a claim.
If the person accepting the form at the counter is unsure of the completeness and/or accuracy of
the information and/or whether the claim falls into our jurisdiction, they may seek the assistance of
the Senior Investigator or Chief Investigator. If neither of them is available, one of the other
Investigators, (preferably the Investigator who will be assigned to the claim) if available. This is
determined by the zip code.
In those instances when a claimant comes in who is unable to write or is unable to write in English,
we can assist them in completing the form or in filling in the information for them. Be sure the
claimant signs the forms.
If, at any time, anyone comes to the counter and becomes assertive and insistent that we accept a
claim from them with the information they have given. Accept the claim. Place a note with the claim
form with an explanation and let the investigative staff close or pursue the claim as appropriate.
Possible Non-Sufficient Funds (NSF) Checks
A possible NSF check is a paycheck that has not been dishonored by a bank, as evidenced by a
stamp on the check that designates it has such, but which, for some reason, the claimant believes
will not be honored when it is presented to the bank. When a possible NSF check is received, it
should be accompanied by a wage claim for at least the amount of the check. In some cases,
claims will include wages or other items in addition to the wages represented by the check. As far
as this office is concerned, this is still a valid check and should be treated as such.
The first step is to secure the check in accordance with internal control policy. The check should be
logged in the cash receipts log, endorsed for deposit and secured until it is time to deposit the
check into the trust fund. The person responsible for the check log needs to be aware that the
check could be possible NSF and needs to coordinate with the Administrative Assistant opening the
30
claim to ensure that the status of the check is noted in the log. The appropriate number of check
copies should also be made at this time.
Once the claim is stamped in and has been reviewed, it is forwarded to the Investigator for review.
The Investigator will direct the Administrative Assistant to either open the claim in the wage claim
system or have it returned to the claimant for additional information. Once the claim is opened, the
amount of the check is entered into the financial program of the wage claim system. The
Investigator and the Administrative Assistant discuss how they are going to proceed with the
handling of the claim. It is especially important for them to coordinate as to if and when a
Notification of Funds letter is mailed to the claimant.
Claims of this nature are either only for the amount of the possible NSF check or else includes
additional claims. If the claim is only for the amount of the check, the Investigator places a note on
her tickler to follow up with the Administrative Assistant on the status of the check in fifteen days.
The file is forwarded to the Administrative Assistant who holds the file for the fifteen days. At the
end of the fifteen days, the Investigator checks with the Administrative Assistant as to the status of
the check.
If the check clears the bank, a Notification of Funds letter is sent to the claimant to notify them that
their check is available to pick up. If the bank returns the check as NSF, the check and the file are
returned to the Investigator and the wage claim investigation continues.
If the wage claim includes additional claims beyond the possible NSF check, several problems
arise. Basically, until the check is either dishonored or clears the bank, we are unable to determine
whether or not the employee has been paid. Unless the employer pays the claim with cash, a
cashiers check or by some other means that allows immediate disbursement before the fifteen day
waiting period on the possible NSF check expires, the wage claim will have to be adjusted one way
or another.
Currently, we treat the possible NSF check as ―wages paid‖ and deduct the value of the NSF check
from the amount of the payment requested in the Notification of Claim letter. The advantage is that
the investigation on the balance of the claim is not delayed for fifteen days waiting for the check to
clear. If the check clears, the funds can either be held until the balance of the claim is resolved or
else paid out as a ―partial‖ payment. If the check does not clear, then either the open claim has to
be amended or, if the original claim was closed for some reason, the claim will have to be
reopened. In either case, a new demand needs to be made on the employer.
A second approach is to open two separate claims; one for the possible NSF check by itself and the
other for the balance of the claim. Each claim is worked independently. Again, the additional claim
can be worked without waiting for the check to clear, but in this instance the confusion inherent in
an amended claim is eliminated. Additionally, if the claim reaches the settlement or determination
stage, both claims can be consolidated.
Routing of Wage Claims for Statistical Purposes
The purpose of this procedure is to maintain accurate statistics for the agency while streamlining
the process. It will allow each Investigator more time to investigate wage claims.
New wage claims will be given to Administrative Assistant II responsible for the wage claim system
to be recorded in the wage claim program. The Administrative Assistant II will then distribute the
claim to the appropriate Investigator who will determine the issue and calculate the penalty amount.
The Investigator will return the claim, noting the appropriate letter to be sent and the penalty
amount, to the Administrative Assistant II. The information will be entered into the Wage Claim 5s
31
program, generate a Notice of Wage Claim letter and then return the file and letter to the
Investigator for review and signature.
The Investigator will calendar the claim and mail the letter.
When the claim is resolved the Investigator will note the applicable information on the file folder and
return the folder to Administrative Assistant II to record the closed claim in the statistics database.
The file will then be given to the Administrative Assistant II to process in the wage claim program.
At month end, the Administrative Assistant II will prepare statistical reports for each investigator and
each Investigator will complete a monthly hours summary. The reports and summaries will be
forwarded to the Chief Compliance Audit Investigator by the third day of the following month.
The Chief Compliance Audit Investigator will prepare monthly recaps for both the Carson City and
Las Vegas staffs and forward the information to the Labor Commissioner by the fifth day of the
following month.
32
INSERT INVESTIGATION FIELD
MANUAL
33
STATE OF NEVADA
Department of Business & Industry
Office of the Labor
Commissioner
Policies and Procedures
Distribution: All Staff Effective Date: 03-01-04
Subject: Wage Claim References/Cross References: NRS 607.160-607.170; NAC 607
Investigations §§12-16
Wage Claim Investigations
1. Upon receipt of a claim for investigation, the Investigator-Auditor reviews the claim for
completeness and determines the relevant issues and applicable statutes. Additionally, the
Investigator-Auditor must make an initial determination as to whether the claim filed is properly
within the jurisdiction of the Office of Labor Commissioner (OLC) based on a review of the
applicable statutes and regulations. For example, NRS 608.018 provides in part for certain
exemptions to Nevada's overtime requirements. Thus, a claim for overtime wages filed that is not
subject to this office's jurisdiction based on the statutes must be closed as "No Jurisdiction" and the
claimant promptly notified.
2. If jurisdiction over a claim for wages is properly with the OLC, the Investigator-Auditor will
send a notice of the wage claim to the appropriate Respondent along with a copy of the wage claim
that was filed. It is the responsibility of the Investigator-Auditor to verify the correctness of the
Respondent named.
3. The notice of claim for wages must contain the following:
-The name of the employer
-The name of the employee filing the claim for wages
-A copy of the claim for wages
-A citation to the statute or regulation alleged to have been violated by the employer
-The wages alleged to be owed to the employee
-The basis on which the wages alleged to be owed to the employee were calculated
-Any penalties that are being proposed (see below); and
-Notice to the employer that he may object to the notice of the claim for wages
Regarding penalties, an Investigator-Auditor, on behalf of the Labor Commissioner, may exercise
discretion in initially proposing penalty amounts for private employment claims. NRS 607.040
provides for the computation of penalties in connection with wages dues. However, NRS 607.160
enables the Labor Commissioner to "effect reasonable compromises" of wages due, which may
include applicable penalties. As a general rule, an initial penalty should be no less than 25% of the
penalties that would otherwise be due. The Investigator-Auditor may use a graduated penalty
scheme that encourages an
employer to pay certain amounts by certain deadlines. In instances of repeat or egregious
violations, the Investigator-Auditor should consider proposing the maximum amount of penalties
due. A penalty cannot be waived without the approval of the Chief Investigator or the Deputy Labor
34
Commissioner and should be very limited in occurrence. It is the policy of this administration to
aggressively use penalties as a deterrence to violating the state's labor laws.
4. Upon receipt of a notice of a claim for wages, an employer may settle the claim under the
conditions set forth in the notice or provide written notice of his objection to the notice within 15
days after the date of service of the claim for wages. The written notice must provide the specific
reasons upon which the employer is objecting to the claim and the facts that substantiate those
reasons.
Settlement Conferences: If, appearing from the wage claim and the response thereto by the
Respondent that the claim may be more expeditiously resolved by way of a settlement conference,
the Investigator-Auditor will provide written notice to the parties of the date, time and location of the
settlement conference.
At the settlement conference:
-An employer may be represented by legal counsel.
-With good cause appearing, parties may participate in the settlement conference via telephone.
-The parties shall present all evidence then known to them that substantiates their respective
positions during the settlement conference.
-The proceedings cannot be recorded.
-Offers of settlement discussed cannot be used as an admission at any subsequent hearing and the
parties must be so informed at the beginning of the settlement conference.
-The parties, with the assistance of the Investigator-Auditor, shall make a good faith effort to resolve
the claim through settlement or stipulation.
-If the matter cannot be resolved at the settlement conference, the Investigator-Auditor may issue a
Determination in the matter based on their investigation.
An Investigator-Auditor may request the issuance of a subpoena to compel the attendance of
persons required to participate in the settlement conference and any necessary documents. The
subpoena should be served by someone other than the Investigator-Auditor assigned to the claim
and otherwise in accordance with the Nevada Rules of Civil Procedure. If a person is issued a
subpoena and fails to answer accordingly, the matter must be forwarded, through the Labor
Commissioner, to the Attorney General for prosecution. If a claimant fails to appear at a reasonably
noticed settlement conference, such may be deemed a lack of interest and desire on the part of the
claimant to proceed and the Investigator-Auditor may proceed to closing the claim.
If a settlement agreement is reached where legal counsel represents the Respondent, the
Commissioner must approve the written agreement.
5. If an employer neither settles nor objects to the claim, the Investigator-Auditor may issue a
Determination based on the facts as set forth in the claim. The Determination must contain the
following:
-A clear and plain statement of each alleged violation;
-A citation to the statute or regulation alleged to have been violated;
The relevant facts ascertained as a result of investigating the wage claim;
-Any fines or penalties attaching as a result of the investigation into the wage claim; and
-Notice that the employer or other affected persons may object to the Determination.
For additional information on preparing Determinations, see the specific policy/procedure
concerning such.
6. A Determination is to be served upon the parties by regular mail.
7. If an objection to the Determination is filed, the Investigator-Auditor will review such with the
Chief Investigator (Chief) in the Southern Nevada office or the Deputy Labor Commissioner
35
(Deputy) in the Northern Nevada office. The objection must be accompanied by a short statement
that identifies the specific findings within the Determination upon which the objection is based and
facts to substantiate the objection. Within 10 days of receiving an objection, the Investigator-
Auditor, through either the Deputy or Chief, will forward to the Commissioner a referral
memorandum pertaining to the claim, a copy of the claim, the determination issued and the
objection received. The referral memorandum must include a recommendation that the
Determination should either be affirmed or scheduled for administrative hearing. Within 5 days of
receiving the objection, the Commissioner will either schedule the matter for hearing or issue an
order affirming the determination and thereby dismissing the objection. In the event of the latter,
such an order must be served on the parties by certified mail and shall be deemed the final order of
the Labor Commissioner on the matter for purposes of judicial review.
8. If an objection to a Determination is not filed, the Investigator-Auditor will forward to the
Labor Commissioner, through the Deputy or Chief, a referral memorandum and a copy of the
Determination. The referral memorandum must contain the signature of the applicable Investigator-
Auditor and the Chief or Deputy indicating they have reviewed the Determination for accuracy,
completeness and legal sufficiency and otherwise agree with the findings contained therein. At the
direction of the Commissioner, the Chief Assistant Labor Commissioner (Chief Asst.) will draft either
an order affirming the Determination or a Notice of Hearing. If an order affirming the Determination
is drafted, the Commissioner will review and sign the order, file stamp the same and return it to the
Chief Asst. for entry into the OLC's log for orders/decisions. Thereafter, the Chief Asst. will cause
the order to be served upon the parties via certified mail. If a Notice of Hearing is drafted, it is the
responsibility of the Investigator-Auditor to supply the Chief Asst. with all necessary information and
exhibits to be served upon the parties with the Notice of Hearing. The Notice of Hearing must be
served via certified mail and otherwise in accordance with NRS 607.207. The Chief Asst. will
maintain a file for each order or hearing decision entered by the Labor Commissioner.
9. After an order or decision has been entered, a party aggrieved thereby has 30 days within
which to file a petition for judicial review of the order or decision with the District Court. If a judicial
review petition is filed, the Chief Asst. will prepare the administrative record on appeal in
consultation with the Attorney General and the Attorney General shall coordinate the agency's
response to the judicial review petition. It is the responsibility of the Investigator-Auditor to confer
with the Chief Assistant to determine if a judicial review petition has been filed within the allowable
time period.
10. If a petition for judicial review is not filed within 30 days of entry of the order or decision, the
Investigator-Auditor will initiate steps to reduce the final order or decision to a judgment in favor of
the OLC. (In the Southern Nevada office, the Investigator-Auditor will forward the determination and
order to the Administrative Supervisor for the judgment process. In Northern Nevada, the
Investigator will directly initiate the judgment filings applicable to the Justice and Small Claims
Courts and will refer judgment matters to the District Court through the Attorney General.)
11. Once obtained, the judgment will then be referred to the Controller for collections pursuant
to Chapter 353C if efforts to otherwise effect collection or garnishments are not readily available.
The Investigator-Auditor will prepare the Collections Referral Form and present the same to the
Labor Commissioner along with 2 copies of any judgments entered. Upon approval, the Labor
Commissioner will forward the referral to the Controller, provide a copy of the approved referral to
the Investigator and maintain a copy of the referral in the Labor Commissioner's file in the matter.
12. After an order has been issued affirming a determination or a hearing decision has been
entered adjudicating an objection to a determination, it is the responsibility of the Investigator-
Auditor to keep the Labor Commissioner informed as to the status of collecting any monies deemed
due and owing. Copies of any judgments obtained or any other information related to the claim for
wages must be communicated to the Labor Commissioner, through the Chief Assistant, in writing.
36
The Chief Assistant will make the appropriate status related entries into the agency's log of orders
and decisions.
13. Any offers of settlement of a matter already decided by the Labor Commissioner by way of
an order or decision must be approved by the Labor Commissioner.
APPROVED:
Labor Commissioner
Date: 03-01-04
37
REFERRAL OF DETERMINATION
TO: Terry Johnson, Labor Commissioner
FROM: [Investigator]
DATE:
RE: [Claimant] vs. [Respondent]
Please find attached a Determination entered in the above referenced matter.
__A qualifying, timely objection has been received and is attached hereto, along with the claim.
__A qualifying, timely objection has not been received.
Pursuant to NAC 607, as amended, please:
__ Enter a final order affirming the Determination; or
__ Set the matter for administrative hearing.
SUBMITTED BY:
___________________________
APPROVED BY:
___________________________
[Deputy or Chief Investigator]
------------------------Instructions to Chief Assistant from Commissioner------------------
__ Draft a final order
__ Draft a notice of hearing
__ Return to Deputy/Chief Inv.: __________________________________________________
________________________ _____________
LABOR COMMISSIONER DATE
[Investigator/Auditor Name]
38
Nevada Controller’s Office
DELINQUENT RECEIVABLE REFERRAL FORM- REFERRED FOR DEBT COLLECTION
Agency: Nevada Labor Commissioner
Budget Account Number: 3900
Year End Balance: Reverts to General Fund
Contact Person:
Phone:
Email:
Date of Referral
Date Referral Received:
Delinquent Debtor Information
Name (Individual and/or Company):
Street Address:
City, State, Zip:
SSN/EIN:
Phone:
E-mail:
Amount of Debt:
Date Incurred:
Principal:
Interest:
Penalties:
Type of Debt: Unpaid wages
Statute of Limitation Expiration Date:
Has the debtor been information that the accounts will be turned over to a private collection firm in accordance with NRS
353C.200(1)(c)? Yes
Does the agency have statutory authority, other than NRS 353C, that provides for the collection of debts? No
Did the debtor have the opportunity for a hearing or to dispute the amount of the debt? Yes
Was the debt the subject of Administrative Hearings or Litigation? Yes Please forward any copies of findings or judgments to
the Controller’s Office. See Attachment
I certify that the information regarding the name of the debtor, the amount of the debt and the existence of a debt are accurate:
__________________________ ______________
TERRY JOHNSON DATE
Labor Commissioner
Nevada Controller’s Office
DELINQUENT RECEIVABLE REFERRAL FORM- REFERRED FOR DEBT COLLECTION
STATE OF NEVADA
OFFICE OF THE LABOR COMMISSIONER
CLAIMANT )
39
)
vs )
)
RESPONDENT )
_____________________ )
SETTLEMENT AGREEMENT
The parties in the above-captioned matter hereby stipulate and agree to settle this
claim as follows:
1. Respondent agrees to pay the claimant a gross amount of $______in settlement of
the wage claim.
2. Respondent agrees to provide payment on or before _______to the Office of the
Labor Commissioner for distribution to claimant.
3. The claimant agrees to accept $________ in gross wages as full and final settlement
of his claim filed against respondent.
4. Both Respondent and Claimant understand and agree that by entering into this
agreement they are waiving their rights to a hearing pursuant to Chapter 607 of
Nevada Revised Statutes and Nevada Administrative Code, respectively.
________________________________ __________________
Claimant Date
_______________________________ __________________
Respondent Date
_______________________________ __________________
Witness Signature Date
40
WAGE CLAIM DETERMINATIONS
Instructions for Using the Wage Claim Determination Template
(Rev. July 2003)
In order to keep Investigation Determinations simple, concise and consistent, we have adopted a
uniform format for the Determinations. The Determination is essentially a charging document, the
purpose of which is to fairly inform the Claimant/Complainant and the Respondents of the facts,
laws, consequences and procedures of the action that is pending. The job of the Investigator is to
determine the facts of a situation. It is not to act as an advocate for either employees or employers.
There is often an element of truth in both sides of the story. At the same time, there are often facts
or opinions that are not sustainable in both. In many cases, the Determination will include some
facts from each side. By the time a Determination is issued, the Investigator will be supporting one
side or the other, but this should not be known until all of the available facts have been reviewed.
There is a sample letter below. The portions of the letter that are in bold font are the portions that
will change from Determination to Determination. The format for the letter is as follows:
1. Heading
a. Date: Self-explanatory
b. Name and address of Respondent: The statute defines an employer as ―every
person having control or custody of any employment, place of employment or any
employee.‖ There should be at least two respondents on a wage claim, the business
entity and the individual who is responsible for the business. Include both in the
address. Put the individual last. The reason for naming the individual is simple.
Companies don‘t make decisions, only people do that and the statute is broad
enough to encompass both.
c. Certified mail: Because the aggrieved party is the one most likely to object, the
Determination should be sent to that party via certified mail. The other party should
be sent by regular mail with a certificate of mailing.
d. Caption: Under the heading ―DETERMINATION OF WAGE CLAIM‖ insert the name
of the Claimant and the name(s) of the Respondent(s). Make sure the names in the
address above match the names of the respondents. Include the claim number.
2. Lead sentence
The lead sentence should also identify the Claimant and Respondents and consistent with
the addresses and the caption.
3. Statement of Facts
In order to establish a sustainable claim, certain facts must be present. Furthermore, these
facts need to be based on evidence. In a Determination, you must present all of the
relevant facts. The evidence need not be presented at this time. The appropriate time for
evidence is at the hearing, should one become necessary. For every fact that is listed, the
Investigator should be able to answer the question ―How do you know this is true?‖ with ―I
know this is true because…‖ Depending on the specific circumstances of the claim, the fact
pattern may vary somewhat. Generally, the fact statement should be presented according
to the following pattern:
1. Establish that the employer is or has been conducting business with a legitimate tie
to Nevada. This establishes the jurisdiction of the Nevada Labor Commissioner‘s
Office over the matter. If they are not or have not been conducting business in
Nevada, the claim could very well belong in another state. This can usually be done
through the business license or corporate filing documents. It is essential that
enough research be done into this issue to guarantee that the correct business
entity is named in the claim. If there is any ambiguity whatsoever as to the proper
name of the business, keep looking until the ambiguity is resolved.
41
2. Establish that the employer in fact, employed the employee in question. If the
employee did not work for that employer, the claim is not legitimate. It may seem
overly simple, but the agency has received claims from people that were not
employed by the respondent.
3. Establish that the employee worked for the employer during the time period that is
under consideration. Just because someone worked for someone else at one point
in time, it does not necessarily follow that they worked for them at all periods in time.
4. Define the established rate of pay for the employee. This can be another area of
dispute on a regular basis; particularly when pay is based on commissions, a salary
or piecework.
5. Establish the number of hours that the employee worked during the time period in
question. This is a common area of disagreement. The employee may say X hours,
the employer Y hours.
6. Calculate the wages that were earned during the time period in question. This is
item number four, the established rate of pay times the hours worked as shown in
item number five.
In some cases, although not shown in the example, there may be offsets. For
example, the employer may have made a partial payment to the employee or the
employee is claiming a bonus or vacation pay. As a result, the amount owed the
employee could be less than what is stated in the claim. If there is an offset, it
should be disclosed right after the wages are earned is listed. This would show up
in the Determination as the next numbered fact.
7. Establish the last day worked by the employee and whether the last day was as the
result of a layoff/discharge or a resignation. This will have a bearing on the date by
which the date by which the wages should have been paid. It is used to compute
any penalties that may be due the employee.
8. Establish the length of time that the employee has remained unpaid. This will be
used to calculate the time period over which the penalty can be assessed.
9. Using the established rate of pay, calculate the daily wages earned by the claimant.
This figure times the length of time unpaid can be used to establish the penalty.
10. Finally, put in the amount of penalty that is due.
By the time the fact pattern is completed, all of the elements needed to establish the liability for and
amount of wages and penalties should be present.
4. Statutory citations
The next section is a numerical listing of the statutes and regulations that have been
violated and the applicable penalty statutes. Cite the number and add a one-line tag that
identifies generally the statute. There is no need to quote the entire text of the law.
5. Settlement offer
The next section in the Determination is a settlement offer. The wages due are not
negotiable, only the penalty. There are two parts to the offer:
a. The date by which the settlement payment must be received.
b. The amount that will be acceptable to settle the claim.
Since there is a fifteen-day response period in which to dispute the Determination and
request a hearing, the period available to settle should be slightly less. The settlement
amount should be going up with each step in the process. For example, when the Notice of
Claim was sent, the offer may have been made to settle the claim for 25% of the applicable
penalty. Having foregone that opportunity, for good or bad reasons, and escalating the
process to a higher level, the amount that is acceptable to settle the claim should also
escalate. As a rule of thumb, double what was offered in the Notice of Claim. The
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Investigators have some flexibility in this regard, but try not to play ―let‘s make a deal.‖ Bear
in mind that the letter goes on to notify the parties that, if the matter is not settled and goes
to a hearing, ―the Labor Commissioner will pursue all sanctions and remedies available…‖ If
there is going to be an abatement of the penalties after a hearing, the Hearing Officer will
handle it.
6. Right to Object/Hearing
The next section of the Determination apprises the parties of their right to object to the
Determination and request a hearing. In order to have a valid objection, the objection must:
a. be filed within the fifteen day timeframe and
b. provide a legitimate reason for the objection
The timeframe is fixed. The legitimate reason for the objection has two parts. First of all,
the objection must identify the specific facts that are being disputed. The numerical format
used above simplifies this process. If for example, the basis of the dispute is that the
claimant was not an employee of the business, then the fact in dispute is found in #2 in the
sample. If the established rate of pay is being disputed, then fact #4 is in dispute. If the
Determination lays out all of the facts needed to establish the liability and amounts due and
the party filing the objection cannot identify which fact is not correct or at least disputable,
there is no point in going to the time and expense of a hearing. On the other hand, if the
objecting party does point out which fact or facts are in dispute, the remaining undisputed
facts can be taken as given and the hearing can be limited to resolving only the facts in
dispute.
The second requirement is, having identified the facts at issue, the objecting party must also
submit evidence that supports their position. Just like the Investigator, if an objecting party
submits their own version of the facts, they need to be able to answer the ―how do you know
that?‖ question.
7. Hearing
The next section is boilerplate that tells the parties that they can get a hearing date within 15
days if they meet the requirements set forth in the section above.
8. Consequences
The last substantive section is boilerplate that details the consequences of either not
responding or not objecting properly.
9. Closing Self-explanatory.
43
Sample Determination Letter
April 10, 2003
Michael Tanchek
Tanchek Associates
675 Fairview Drive
Carson City, NV 89701
Certified Mail: 7002 0510 0000 3684 2994
David Smith
555 Washington Ave.
Las Vegas, NV 89101
RE: DETERMINATION OF WAGE CLAIM
David Smith, CLAIMANT vs. Tanchek Associates and Nevada Natural Treasures.com,
and Michael Tanchek, RESPONDENTS. (CC200300681)
Greetings:
Pursuant to the claim for wages filed against Tanchek Associates and Nevada Natural
Treasures.com and Michael Tanchek by David Smith in the above matter, the Determination of
the Office of the Labor Commissioner is as set forth in the following findings:
1. The Office of the Labor Commissioner has jurisdiction over this matter pursuant to
NRS 607.160 and NRS 608.180, respectively.
2. Tanchek Associates is licensed as a Nevada corporation and does business as
Nevada Natural Treasures.com.
3. David Smith was an employee of Tanchek Associates and Nevada Natural
Treasures.com and Michael Tanchek.
4. David Smith worked between December 2, 2002 and December 16, 2002.
5. David Smith’s established rate of pay was $10.00 per hour.
6. David Smith worked a total of 80 hours during that time period.
7. David Smith earned wages in the amount of $800.00 for that time period.
8. David Smith was discharged on December 16, 2002.
9. David Smith has remained unpaid for a period exceeding 30 days.
10. David Smith’s daily rate of pay is $80.00 per day calculated at $10.00 per hour
for 8 hours.
11. In addition to the wages due, the applicable penalty in this case is $2,400.00.
You are in violation of the following Nevada Revised Statutes (NRS) and subject to penalties as
stated:
1. NRS 608.016 - Payment for each hour of work.
2. NRS 608.020 - Payment of employee who is discharged.
3. NRS 608.040 - Penalty for failure to pay discharged or quitting employee.
4. NRS 608.195 - Every person violating any of the provisions of NRS 608.005 to
608.190, inclusive, is guilty of a misdemeanor.
You may settle this claim under the following terms and conditions:
1. Payment is to be received by the Office of the Labor Commissioner on or before April 30,
2003.
44
2. Payment shall be in the amount of $800.00 for the outstanding wages plus $1,800.00 in
penalties for a total of $2,600.00.
If you do not to settle this claim by April 30, 2003, the Office of the Labor Commissioner will pursue
all available sanctions and remedies available, including but not limited to, the full penalty amount of
$2,400.00 added to the outstanding wages of $800.00 for a total of $3,200.00
If any party does not agree with this Determination, the aggrieved party must file a written objection
to the Determination and request a hearing on the matter within 15 days of your receipt of this
Determination. A short statement that identifies the specific facts within the Determination that are
the cause of the objection and evidence to substantiate the objection must accompany the
objection. Submit any and all documentation that supports the objection.
If your objection and request for a hearing is properly filed within the time set forth above, the Labor
Commissioner shall set a time and place for conducting the hearing and you shall be so notified no
less than fifteen days before the time set for the hearing.
If you fail to either settle or file a proper objection to the Determination and request a hearing within
the time set forth above:
1. This Determination will become the final Order of the Labor Commissioner in this matter.
2. The Order will be filed with the Courts for reduction to a judgment and any other relief the
Courts deem appropriate.
3. The matter will be turned over to the Nevada State Controller for collection through a
private collection agency, pursuant to Chapter 353C of NRS.
4. The Labor Commissioner will pursue criminal prosecution of this matter pursuant to NRS
608.180, the result of which could be 6 months imprisonment and/or a $1,000 fine.
If you have any questions, please contact me at (xxx) xxx-xxxx.
Sincerely,
xxx
INVESTIGATOR
45
AUDITS
Introduction
The Audit Program of the Office of the Labor Commissioner is intended to ensure compliance with
Nevada Revised Statutes (NRS) and Nevada Administrative Code (NAC) Chapters 607 through
611, inclusive, and Chapter 338 pertaining specifically to public works.
The goals and objectives of the Audit Program will be achieved through systematic review and
documentation of employers‘ record keeping practices and education of employers concerning
proper procedures that comply with statutes and regulations.
A completed audit should be a ―stand alone‖ document that summarizes the scope and audit
procedures supported by the detail of the findings, conclusions and determination of the auditor.
The audit file can be used as evidence in an administrative hearing or legal proceeding.
Audit Selection
Wage Claims/Complaints
In the course of investigation of wage claims/complaints, the investigator may collect evidence that
an employer has violated a statute or regulation and the best way to bring that employer into
compliance is through an audit of the company. Referrals will be made at the discretion of the
investigators. One criteria would include at least two (2) wage claims and/or complaints filed
against the employer for different time periods.
Pre-audits
Auditor should check both internal and public databases for information before beginning a new
audit. Pre-audit checks may include but are not limited to the following:
1. Open and closed wage claims
2. Business licenses
3. Contractor or other professional licenses
4. Secretary of State filings
Background information may also be obtained from the prime contractor in the event that the
employer is a subcontractor.
The Auditor may visit the employer‘s place of business to observe, first hand, how the business is
operated.
The Audit
In an Audit the employer‘s timekeeping and payroll records will be examined to establish violations
of NRS Chapters 607-611 and Chapter 338. When an employer has worked on Public Works
project during the audit period the auditor will need to audit the certified payroll reports. The
Auditor will want to choose which timekeeping and payroll records would be most likely to establish
violations of widely varying statutes. The timekeeping and payroll records kept by any employer will
also be dependent on the industry and size of the employer. The records which would be used to
46
establish that an employer is not paying termination pay in accordance with statute will be quite
different from the records needed to establish that a private employment agency is complying with
the statutory invoicing of applicant-paid agency fees.
The Auditor is responsible for writing an Audit Plan for each audit based on the nature of the
alleged violations and the records that employers would be expected to keep. The Audit Plan will
generally take into account the normal sequencing of timekeeping and payroll processing.
Many audits will need to start with the timecard or time sheet prepared by the employee; the
timecard or time sheet is the SOURCE DOCUMENT for all subsequent timekeeping and payroll
processing functions. The Source Document will contain the most detailed information about the
transaction between the employer and the employee; subsequent processing by the employer will
sort, classify and summarize information contained in the timecard or time sheet with the
corresponding loss of detail. The employer would normally enter the timecard or time sheet
information into a payroll system which would enable the employer to calculate the pay for the
employee; many computerized payroll systems are also integrated with job cost systems so that the
timekeeping is not only used to calculate pay but to track labor costs for management reports and
for billing clients.
The payroll calculation is entered into a payroll register or journal which is the BOOK OF
ORIGINAL ENTRY. The book of original entry may have different formats depending on the
industry, size and preferences of the employer. The book of original entry may be comprised only
of copies of the paychecks filed in check-number order; the employer totals the gross pay,
deductions and net pay and enters the totals into a ledger. Other employers may prepare manual
or payroll registers. The book of original entry normally shows the hours paid, the rate of pay,
itemized deductions and the net payment to the employee. This is an especially useful document
for establishing violations of overtime pay and unauthorized deductions.
After the employer calculates the pay and prepares a pre-check register to balance the payroll,
most employers will prepare payroll checks. It is customary for employers to pay employees by
check because of the convenience for the employer and the documentation it provides. This
documentation is referred to as an AUDIT TRAIL. A rare employer may still pay employees with
cash; that employer would normally keep a receipt signed by the employee as part of the audit trail.
The check or the receipt is useful in providing information about the actual payment of wages: the
date, the name of the payee and the amount. The canceled check is also used to obtain
information about the negotiation of the check. Stamps and endorsements provide information to
the Auditor about who negotiated the check, when and where; the canceled check will also provide
information about whether the employee deposited the check or cashed it.
The Auditor may want to examine other records as well including: the ledger, job cost distribution
reports, payroll tax returns, worker compensation reports, union reports, fringe benefit reports and
statements and evidence of payment of fringe benefits. Private Employment Agency audits would
necessarily entail a broad range of documentation to comply with statutes.
Once the Auditor has decided on the documents that should be examined and the time period
under audit, the Auditor is responsible for mailing the employer a notice by Certified Mail informing
the employer of the audit. The letter should cite the pertinent statutes, list the records to be
produced, state the time period and/or projects under examination and give the due date for
compliance. The Auditor should inform the employer that failure to comply with the written request
for records will result in the issuance of a Subpoena Deuces Tecum or other legal action to compel
the production of the records. A copy of the letter should be sent to the prime contractor, if any. A
copy of the audit notice should be filed in the employer‘s file. If there are multiple files a copy of the
notice should be filed in each file. A few days before the due date for compliance, the Auditor
should call the employer to discuss compliance.
47
A historical note sheet should be kept in each audit file documenting activities, interviews and
correspondence. Copies of written correspondence and documents should be kept in each file. A
contemporaneous memorandum to file should be prepared documenting in detail each telephone
conversation or interview; the memoranda should be limited to recounting the verbal exchange only.
The Auditor should not make personal observations or express opinions in the documentation of
verbal exchanges.
When the records and documents are received from the employer, the Auditor should immediately
make an inventory of all the records received including a description of the document(s) and the
time period covered. If there are sequential numbers or other identification of the document(s), that
should be shown as well. If the documents are original, the condition of the documents should be
noted. The Auditor should note the date received and from whom the documents are received. If
the documents have been hand-delivered, a receipt for the documents may be required; a copy of
the inventory should be attached.
Before collecting data from the employer‘s documents, the condition of the documents should be
evaluated to determine whether the documents provided appear to be genuine. The Auditor should
look for grayed or frayed edges of paper indicating handling, folds, stains, multiple pens and
pencils, different handwriting and obvious erasures or correction fluid. Any pre-numbered
documents that are out of sequence should be noted. The Auditor should also note whether the
documents contain sufficient information to be used in the normal operation of the business. For
example, if timecard do not contain information about the jobs and the duties of the worker, one
would not expect there to find job cost distribution reports. The Auditor should also compare
documents furnished by the employer to known records furnished by complainants or witnesses;
differences between documents that should be identical indicate that one set of documents may
have been altered. After evaluation of the condition of the documents, the Auditor should make a
determination whether the employer-provided documents appear to be genuine. If the documents
appear to be genuine, the Auditor should continue with the audit. If the documents do not appear to
be genuine, the Auditor should notify the Chief Compliance Investigator/Auditor II and suspend
audit activity. The Auditor should document the findings that the records are not credible in an audit
report for the file; the file may be used to support legal action to compel the production of testimony
or records by the employer.
Records to be Examined
Below is a listing of records to be considered for audit. The Auditor will determine the records
necessary for their audit based on the alleged violation(s).
1. Time sheets or time cards
2. Payroll register, journal or check stubs
3. General ledger, trial balance and/or financial statements
4. Canceled paychecks and bank statements
5. Job cost distribution reports, if any
6. Payroll tax returns including but not limited to the following Federal forms 941, 940, W-2
and W-3, 1099 and 1096 and Nevada State Unemployment and Department of Taxation
returns
7. Worker compensation insurance reports
Audits of Private Employment Agencies
1. Copy of State of Nevada private employment agency license
2. Copy of the statutory bond, certificate or deposit receipt pursuant to NRS 611.070
3. Any and all records kept of every applicant for employment pursuant to NRS 611.160
4. Invoice(s) given to applicant pursuant to NRS 611.180
48
5. Applications submitted by the applicants for employment
6. Receipt(s) given to applicants for the payment of fees pursuant to NRS 611.200
7. The contract between each applicant and the private employment agency
8. Authorizations for referral between each applicant for employment and the private
employment agency pursuant to NRS 611.240
9. Any and all blanks and other supplies used by the private employment agency
10. Copies of documents evidencing refund of employment agency fees and other
charges to applicants for employment pursuant to NRS 611.250
11. Samples of any and all information, representations, notice or advertisements used
by the private employment agency including cards, circulars, letters, direct mailings,
brochures, signs, ads in printed publications and transcripts of telemarketing or other
verbal scripts
12. Documentation concerning the payment of any and all commissions, referral fees or
other compensation including discounts allowed for clients or their agents or
employees of the clients of the private employment agency
13. Dispatch records to actual work sites or referrals
14. Time cards or other claims for compensation, if any
15. Check or payroll registers showing details of compensation, deductions and net pay
16. Check stubs or duplicate checks and canceled checks, front and back, if any
17. Cash disbursement and /or payroll journals and ledgers
18. Federal and State payroll tax returns including forms W-2 and W-3, 941, 940, 1099
and 1096, Nevada State Unemployment and Department of Taxation returns
19. Job costing records and reports, if any
20. Any and all supporting documentation for travel pay, subsistence, per diem, mileage
and other expense reimbursement paid to each applicant for employment
21. A list of applicants for employment who have been charged interest on past due fees
or bad check charges pursuant to NRS 611.225.
Audit of Prevailing Wage Survey (see NAC Chapter 338)
Pursuant to NAC 338.020, the labor commissioner compiles information for use in determining the
prevailing rates of wages. The kinds of information which the labor commissioner will consider in
making determinations of prevailing rates of wages include: (a) Statements showing rates of wages
paid on public and private projects, where the statements are signed by the contractors or their
representatives and contain:
1. The names and addresses of the contractors and subcontractors
2. The locations, approximate costs, dates of construction and types of projects
3. The number of hours each recognized class of workmen is employed on each project
4. The respective rates of wages paid to each recognized class of workmen employed on each
project.
When determining prevailing rates of wages, the labor commissioner may exclude from
consideration any information submitted to him that is untimely filed, duplicative, incomplete or
determined by the labor commissioner to be unverifiable.
Each year the labor commissioner may assign prevailing wage survey audits in an effort to verify
that information submitted is complete and accurate. The auditor will be responsible to verify the
data utilized by the contractor when completing the survey submitted to the labor commissioner.
In addition to any or all of the above records and documents which pertain directly to violations by
employers, the Auditor may want to request records which would be likely to disclose ASSETS of
the business. Checking and other bank account numbers can be obtained from bank statements or
checks; other assets may be identified from the general ledger, trial balance or financial statements.
Having information about the assets of an employer and its principals may be useful in collecting a
liability, especially from an employer not engaged in public works projects.
49
Public records may contain information about not only the assets of the employer and its principals
but about the financial condition of the entity. Public records can be used to discover real estate
owned, loans and their status, liens, UCC filings, buy-sell agreements and other contractual
matters. The Auditor should be especially concerned if there is considerable evidence of financial
problems.
Audit Write-up
The examination of the documents should be made in accordance with the Audit Plan. A well-
documented spreadsheet should be prepared by the Auditor. The Auditor‘s spreadsheet generally
suggests the Audit Plan in its format and documents the tests performed by the auditor as well as
the employer‘s data and the Auditor‘s findings.
The basis for the format of the spreadsheet is usually the most basic record provided by the
employer, a time sheet or its variations, which is the starting point for the Audit Plan. Often, each
transaction will be traced through a path of payroll processing that culminates in the employee
receiving net pay or compensation. The Auditor will document each test in the worksheet; the
auditor may collect data from each document separately in the worksheet or may use a system of
TICKS on a printed copy of the spreadsheet that indicates agreement of the data to other records.
If the auditor chooses to use ticks to document the testing, the auditor must prepare a legend
explaining each tick. The spreadsheet must contain the name of the employer and other
identification, as needed, the initials of the auditor and the date the spreadsheet was created.
The testing done by the Auditor is called ―Exception Auditing‖. The Auditor is seeking to follow each
transaction from the Source document through the processing done by the employer until the
employee negotiates the paycheck. If the Auditor finds that a transaction has been created, lost or
changed during the processing, the Auditor has found an ―exception‖. All exceptions found need to
be documented and resolved or ―PASSED‖ by the Auditor. Passing on an exception indicates that
the Auditor believes that a violation may have occurred but is not going to pursue the matter further;
a common reason for passing on an exception is that the exception would result in an audit
deficiency that is de minimus. Exceptions may be proof of a violation or may indicate the need for
further investigation to prove a violation. The Auditor‘s spreadsheet should be designed to clearly
demonstrate each exception found and its resolution.
The following is an example of an exception audit when the employer is suspected of failing to pay
premium overtime to subject employees. The audit starts when several wage claims are received
from employees of a business alleging that they are not paid for any time worked in excess of 8
hours per day or 40 hours per week. The wage claimants state that they are required to punch in
and out on a time clock. The Auditor writes a simple audit plan that time cards will be compared to
the payroll register, check stubs and canceled checks to determine the hours worked and paid as
well as the pay rate. Since none of the wage claimants has been employed for more than three
months, the Auditor decides to limit the audit to the previous calendar quarter. The employer will be
required to submit the time cards, payroll register, check stubs and canceled checks (front and
back) for the period under audit. The Auditor will prepare a spreadsheet based on the timecard: the
name of the employee, the pay period date and the hours recorded on the timecard will be entered
in the spreadsheet. The Auditor may use additional columns to record the rate(s) of pay for the
corresponding hours from the payroll register or check stubs, the check number and payment date
and agreement to the canceled check. Exceptions would be the differences between the hours
worked shown on the time cards and the hours paid shown in the payroll register. The Auditor
would add a column in the spreadsheet to note the hours worked which were not paid; this is a
calculation made by the Auditor. The Auditor would also add a column for the correct pay rate in
accordance with statute and a column for extension that is the audit deficiency.
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The data in the Auditor‘s spreadsheet may be entered in any order that accommodates the
collection from the employer‘s records. The Auditor may want to sort and print the spreadsheet
differently before finalizing it so that it presents the most information to the reader in the clearest
manner possible. The Auditor should not assume that the reader of the spreadsheet is familiar with
the employer, accounting, the audit process or the alleged violations of statute.
The Auditor‘s spreadsheet should be documented with particularly relevant exhibits.
The Auditor will prepare a Determination Letter, pursuant to NAC Chapter 607, addressed to the
employer. The Letter should comment upon:
1. The date of the audit and the name(s) of the employer‘s representatives interviewed
2. The scope of the audit
3. The records examined
4. The findings of the Auditor
5. Citations of the statutes violated, if any
6. The Auditor‘ findings, conclusions and recommendations
7. The amount of any audit deficiency to be paid by the employer, if any
8. The due date for compliance by the employer, if any.
The Determination Letter will be prepared in accordance with NRS Chapter 607.
A copy of the finalized spreadsheet and pertinent exhibits should be attached to the Determination
Letter.
Distribution of Completed Audits
The Determination will be sent to the employer by certified mail and carbon copied to any interested
party such as the referring investigator, general contractors etc.
If the employer is a subcontractor on a public works project, a copy of the Determination Letter shall
be sent to the Prime Contractor.
Audit Collection Activities
If, after the time to object has passed and the employer has neither objected to the determination or
paid the amount determined to be due, the file will be referred to the Labor Commissioner for a final
order.
If an objection to the determination is received the auditor will review any additional evidence
provided and attempt to resolve the matter. If the matter still cannot be resolved the file will be
referred to the Labor Commissioner who may set the matter for hearing, issue a final order or return
the file for further investigation.
If the employer pays the liability the Auditor will refer file to the Labor Commissioner for a final
order. The auditor will ensure that the spreadsheet which details the amount owed to each worker
includes the address and SSN of each employee. The file will be given to Adm. Assistant after the
final order is issued to disburse money collected.
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NRS 353C JUDGMENTS
Judicial Review
After the Commissioner has issued a Decision and Order, the parties have 30 days within which to
file a petition for judicial review with the District Court.
If we receive a petition for judicial review we will forward a copy of such to our Deputy Attorney
General (DAG) and the Chief Assistant (LV) will prepare a record on the matter. A Motion to Stay
may also be filed by the attorney for the defendant-debtors at this time. If this office receives a
Motion to Stay we need to forward the matter to our Deputy Attorney General for further
instructions.
1. If the petition for judicial review was hand delivered to the Labor Commissioner‘s office we will
then have 30 days from the date of service to prepare the record and have it delivered to the
appropriate court through our DAG.
2. If the petition for judicial review was received in the Labor Commissioner‘s office through the
U.S. Postal Service we will have 33 days from the date of the certificate of mailing to prepare
the record and have it delivered to the appropriate court through our DAG.
If a petition for judicial review is not filed within 30 days of entry of the order, the Investigator III
(0013) in Carson City (CC) or Chief Assistant (0003) in Las Vegas(LV) will initiate the process of
reducing the order to a judgment in favor of the Office of the Labor Commissioner (OLC).
Judgments are obtained using the process outlined in Nevada Revised Statutes Chapter 353C.
The same process is used in both the Justice and District Courts. There is no need to file anything
with Small Claims Court.
Obtaining a Judgment
1. After filing the Order, the Chief Assistant will forward a copy of the Order, and a copy of the
proof of certified mailing (if sent via certified mail) to the Investigator or Auditor who issued
the original Determination.
2. Upon receiving the Order, and the proof of certified mailing, the Investigator/Auditor and
Chief Assistant would calendar the matter for thirty days in order to determine whether a
petition for judicial review has been filed. If a petition is filed, the Chief Assistant (LV) will
prepare a record on the matter.
3. If a petition for judicial review is not filed, a 353C noticed will be prepared. the Investigator
III (CC) will forward a copy of the Order to the Administrative Assistant II (0016) for drafting.
The Deputy Labor Commissioner will sign the notices for Carson City or Chief Assistant (LV)
will complete and sign the 353C notices in the Las Vegas office. NRS 353C.150(2) requires
the agency ―not less than 15 days before the date on which the agency intends to file the
application‖ for summary judgment to ―notify the debtor of its intention to file the application.
The notification must be sent by certified mail to the last known address of the debtor and
must include the name of the agency, the amount sought to be recovered and the date after
which the application may be filed with the court.‖ Attachment A is a sample notice letter
that can be modified to fit the particular case under consideration.
4. The Defendant/Debtor has 15 days in which to respond. The Investigator III (CC) or Chief
Assistant (LV) calendars the matter for another 15 days in order to give the
Respondent/Debtor time to respond. This time period is available to entertain a settlement
of the matter before filing in Court; however, the opportunity for a hearing has passed. Only
settlement can be discussed at this stage.
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5. Once the 15-day notice period has passed, the Administrative Assistant II (CC) or Chief
Assistant (LV) need to prepare the appropriate documents for filing with the Court. The
Administrative Assistant II (CC) or Chief Assistant (LV) must prepare the following
documents:
a) Certificate in Support of Application for Summary Judgment (Attachment B).
This is a procedural document that describes the process that was followed leading
up to the issuance of the Order of the Commissioner. The Investigator III/Auditor who
issued the Determination must sign this certificate.
b) Certificate in Support of Summary Judgment (Attachment C). This is a
procedural document that describes the process that was followed after the
Determination was forwarded to the Commissioner for a decision and order and
includes the steps taken in compliance with the notice requirements of NRS 353C.
c) Application for Entry of Summary Judgment (Attachment D) including the
following exhibits:
1) Exhibit 1- Fifteen day notice of application for Summary Judgment;
2) Exhibit 2- Determination issued by Investigator/Auditor; and
3) Exhibit 3- Order entered by the Labor Commissioner.
d) Civil Cover Sheet (Attachment E), to be completed only when filing with District
Court.
e) Summary Judgment Pursuant to NRS Chapter 353C (Attachment F), this is the
actual summary judgment filed in court.
f) Written Notice of Entry of Summary Judgment (Attachment G), upon receipt of a
certified summary judgment complete a written notice of entry of summary
judgment, along with attachments to be sent to Defendants/Debtors at their last
known address via U.S. Mail.
6. After all of the documents have been prepared for filing, they need to be filed with the
appropriate Justice Court (under $10,000.00) or District Court (over $10,000.00) by the
Investigator III/Auditor (CC) or Chief Assistant (LV). The Application for Entry of Summary
Judgment must include the following documents as attachments:
a) Certificate in Support of Application for Summary Judgment;
b) Certificate in Support of Summary Judgment;
c) Summary Judgment; and
d) Written Notice of Entry of Summary Judgment
The Application for Entry of Summary Judgment must include the following documents as
attachments:
Exhibit 1- Fifteen-day notice of application for Summary Judgment;
Exhibit 2- Determination issued by Investigator/Auditor; and
Exhibit 3- Order entered by the Labor Commissioner.
These documents are taken to the Court Clerk‘s office and filed. We need to obtain at least
two certified copies of the summary judgment.
Receipt of Summary Judgment
1. Once we obtain the judgment, we will file a certified copy of the Summary Judgment only with
the County Recorder‘s office located in the County in which the judgment was issued.
2. The other certified copy of the Summary Judgment will be sent to the State Controller‘s office for
collection.
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3. A copy of the judgment and other documents filed in court, along with written Notice of Entry of
Summary Judgment is sent to the Defendant/Debtor advising him that a judgment has been
filed against him.
4. A copy of the judgment along with a letter (Attachment I) is sent to the Claimant advising him
that we have received a judgment against the Defendant/Debtor.
5. One copy of the judgment will be placed in the Investigator or Auditor‘s original file and returned
to the Investigator/Auditor to close the file.
6. Once the Investigator or Auditor‘s file has been closed the Chief Assistant (LV) will put the file in
the judgment drawer in the Las Vegas office.
7. Chief Assistant (LV) or Investigator III/Auditor (CC) will enter the judgment information, including
the claimant name, respondent, date filed, date of renewal, etc., in excel spreadsheet found on
the ―S‖ drive under Admin, Labor, Staff, and JUDGEMENTS.
Debt Referral
1. After we are in receipt of a Summary Judgment, the Investigator III (CC) or Chief Assistant (LV)
will complete a Debt Referral form (Attachment J) and present the same to the Labor
Commissioner.
2. Upon approval and signature from the Labor Commissioner the Investigator III (CC) or Chief
Assistant (LV) will forward the original signed referral form to the State Controller‘s office in
Carson City for collection via interdepartmental mail.
3. The Investigator III (CC) or Chief Assistant (LV) will then update the log pertaining to collection
referral located on the staff website.
4. Investigator III (CC) or Chief Assistant (LV) will make two copies of the signed referral. One
copy will be provided to the Investigator/Auditor who was assigned to the case, and the other
will be maintained in the Labor Commissioner‘s file on the matter. Chief Assistant (LV) will also
keep a copy of the referral in a binder located in the Chief Assistant‘s office.
5. The Chief Assistant (LV) will move the Investigators/Auditors original file from the judgment
drawer to the collection drawer. Also Chief Assistant (LV) will complete an ―OUT‖ card with the
companies name, the claimants name and indicate that the file has been moved to the
collections drawer.
Satisfaction of Judgment
If after a judgment is obtained, the Office of the Labor Commissioner receives the entire amount of
the judgment we would then complete and file a Satisfaction of Judgment (Attachment K).
1. The Investigator III/Auditor (CC) or Chief Assistant (LV) will file the completed Satisfaction of
Judgment with the appropriate court. Make two copies of the Satisfaction of Judgment. The
court gets the original and they certify the two copies.
2. Next the Investigator III/Auditor (CC) or Chief Assistant (LV) will record the satisfaction of
judgment with the County Recorders Office.
3. Chief Assistant (LV) will make two copies of the judgment after it‘s been filed with the County
Recorders Office.
4. Chief Assistant will go through the Judgment Book (Black Book) and find the Judgment
pertaining to the Satisfaction of Judgment. Take the Judgment out of the black book..
5. Chief Assistant (LV) will go into the litigation book (Red book) cross off the date the judgment
was supposed to be renewed and write satisfied across the date.
6. Chief Assistant (LV) will get out the Satisfied Judgment book (White book) and writ on the top of
the satisfied judgment the date it was satisfied and the purge date. We are able to purge the
satisfied judgment 6 years from the date the satisfaction was filed in court. Attach judgment and
Satisfied Judgment together and put in the Satisfied Judgment book (White Book).
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7. Sent letter to defendant/debtor (see Attachment H), along with Satisfaction of Judgment
advising him/her of the Satisfaction of Judgment.
Renewal of Judgment
According to NRS 11.190(1) judgments must be renewed every 6 years. The Investigator
III/Auditor (CC) or Chief Assistant (LV) will complete a Affidavit for Renewal of Judgment
(Attachment L) within 90 days prior to the expiration of the judgment The renewal of judgment form
will then be filed with the clerk of the court where the judgment was entered.
1. According to NRS 17.214(1)(b) Investigator III/Auditor (CC) or Chief Assistant (LV) will record
the affidavit of renewal in the office of the country recorder in which the original judgment is filed
within 3 days after the affidavit of renewal is filed.
2. The Investigator III/Auditor (CC) or Chief Assistant (LV) shall notify the defendant/debtor of the
renewal of the judgment by sending a copy of the affidavit of renewal via certified mail, return
receipt requested, to him/her at his/her last known address within 3 days after filing the affidavit.
3. The Investigator III/Auditor (CC) or Chief Assistant (LV) will continuously calendar the renewal
of judgment every six years thereafter.
Foreign Judgments
According to NRS 17.340 a ―foreign judgment‖ means any judgment of a court of the United States
or of any other court which is entitled to full faith and credit in this state, except:
1. A judgment to which Chapter 130 of NRS applies; and
2. An order for protection issued for the purposes of preventing violent or threatening acts or
harassment against, or contact or communication with or physical proximity to, another person,
including temporary and final orders.
As per NRS 17.350 an exemplified copy (Attachment M) of any foreign judgment may be filed with
the clerk of any district court of this state. The clerk shall treat the foreign judgment in the same
manner as a judgment of the district court of this state. A judgment so filed has the same effect and
is subject to the same procedures, defenses and proceedings for reopening, vacating or staying as
a judgment of a district court of this state and may be enforced or satisfied in like manner.
1. At the time of the filing foreign judgment, the judgment creditor or his attorney shall file with the
clerk of the court a cover letter as well as a civil cover letter (Attachment N) along with an
affidavit (Attachment O) setting for the name and last known post office address of the
judgment debtor and the judgment creditor. The affidavit must also include a statement that the
foreign judgment is valid and enforceable, and the extent to which it has been satisfied.
2. Upon filing the foreign judgment and affidavit, the judgment creditor or someone on his behalf
shall mail notice of the filing of the judgment (Attachment P) and affidavit of Certified Mailing
(Attachment Q), attaching a copy of each to the notice, to the judgment debtor and to his
attorney of record, if any, each at this last known address by certified mail, return receipt
requested. The notice shall include the name and post office address of the judgment creditor
and the judgment creditor‘s attorney, if any, in this state. The judgment creditor shall file with
the clerk of the court an affidavit setting forth the date upon which the notice was mailed.
3. No execution or other process for enforcement of a foreign judgment may issue until 30 days
after the date of mailing the notice of filing.
REVISED 6-07-04
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WAGE CLAIM/AUDIT REVENUE AND
DISBURSEMENT
Introduction
Trust fund monies are received as the result of an underlying claim for wages filed by a worker or
as the result of a wage audit conducted by either the Labor Commissioner‘s staff or, in the case of
public works projects, a local government agency. The Office of the Labor Commissioner receives
checks and cash on a regular basis that represent wage payments that have been recovered from
private sector employers and are owed to their employees. This constitutes the largest percentage
of revenue received by the agency.
Pursuant to NRS 607.170, the Commissioner maintains one bank account with Bank of America in
Las Vegas, as trust funds to pay monies due to wage claimants. This section of the internal
controls only deals with those funds held in trust for wage claimants and documents the process to
be followed when handling receipts received for wage claims and public works determinations.
Each step is identified with a specific staff position with attention to proper levels of internal control
and segregation of duties.
These funds can come from two primary sources, employers and other governmental entities
pursuant to NRS Chapters 608 and 338, respectively. The Commissioner is permitted to maintain
account balances not to exceed $75,000 for each office. Excess trust funds are transferred to the
State Treasurer‘s Office until such time as they are needed to pay claims or are sent to the
Unclaimed Property Division.
Deposits are made on a daily basis in the Las Vegas office. Due to a lower volume, the deposits in
Carson City are made twice weekly unless the amount received exceeds $10,000 in which case the
deposit is made within 24 hours of the time the funds are received. Most of the funds received by
the Labor Commissioner are delivered via regular mail by the State mailroom or US Postal Service.
Funds are also received directly over the counter by the Administrative Assistants or picked up in
the field from employers by the Investigators. Pre-numbered receipts are issued for cash, funds
received in the field or on request by the payer. The Investigators are issued receipt books for
which they are responsible. The receipt books that have not been signed out and logged are kept
in locked cabinets in the Office Manager‘s (0002) office in Carson City and the Chief Investigator‘s
(0010) office in Las Vegas. Receipt books are logged and tracked when issued.
The responsibilities for opening the initial wage claim or audit in the Wage Claim 5s system are with
the Administrative Assistant II (0005) in Carson City and the Administrative Assistant II (0008). The
responsibility for entering the cash receipts into and making the payments to the claimants out of
the Wage Claim 5s system is with the Assistant II (0016) in Carson City and the Administrative
Assistant II (0004) in Las Vegas. The wage claim and financial components are separate and each
requires a password for access. In addition, the software program does not allow a financial file to
be set up independently of the initial wage claim.
Intake and Deposit
The primary responsibility for the initial intake of the revenue is with an Administrative Assistant II
(0005) in Carson City and by the Chief Assistant (0003) in Las Vegas. The process for receiving,
logging and depositing wage claim revenue is the same as the process for all other agency revenue
as set forth in INTEGRATED FINANCIAL SYSTEM (IFS).
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The Administrative Assistant II (0005) or Chief Assistant (0003) makes two copies of the check or
cash receipt. The first copy is attached to the supporting documents received with the check and
forwarded to the Investigator responsible for the claim or audit. The Investigator reviews the copy
along with the claim and notes the status of the payment on the file. The Investigator attaches the
copy, supporting documents and any explanatory notes to the file and forwards the entire package
to the Administrative Assistant II responsible for maintaining the wage claim component of the
Wage Claim 5s system (0005 in Carson City, 0008 in Las Vegas).
In Carson City, the second copy of the check or cash receipt is placed in a permanent reference file
referred to as the ―spindle.‖ While not required for internal control purposes, the spindle provides
easy access to copies of checks and is used frequently by the staff for a number of reasons.
Posting Receipts to the Wage Claim 5s System
The Administrative Assistant II (0005, 0008) opens the wage claim component of the ―Wage Claim
5s‖ system and uses the check copy from the file received from the Investigator to input the amount
of the payment into the ―amount paid to claimant‖ screen for each claim. Simultaneously, the
software program opens a corresponding claim in the financial component of the ―Wage Claim 5s‖
system. At this point, the only information in the financial system is the amount of the funds
received and the date of the deposit.
Once the deposit slips have been returned and the deposits registered in the Cash Receipts Log,
the file is forwarded to the Administrative Assistant II (0016 in Carson City, 0004 in Las Vegas)
responsible for the financial component of the Wage Claim 5s system.
The Administrative Assistant II (0016, 0004) opens the claim in the financial component by inputting
the claim number and adds the check number(s) that correspond to the amounts received. The
next step is to use the ―check for duplicates‖ function to determine whether the information has
been previously recorded. Once it is determined that the information has been entered correctly,
the Administrative Assistant II (0016, 0004) posts the transaction. Once posted, the system will
allow a check to be issued to the wage claimant. The computer user‘s guide to the financial
component of the Wage Claim 5s system is found in the section titled Wage Claim 5s
System…PROCEDURES FOR FINANCIAL DESK.
Issuing Payments
Generally, the funds are maintained in the trust account for fifteen days before payment is made to
the claimant. This helps insure that there are sufficient funds to make the payment. In some cases,
the Las Vegas office will release a check payable to a wage claimant directly to the claimant. The
procedure for these transactions is set forth below.
After the funds are entered into the system in the respective wage claimants‘ names, letters are
generated and mailed to the claimants notifying them that the Labor Commissioner is holding funds
for them and that they need to make arrangements for payment. Checks may be picked up by or
mailed to the claimants.
When claimants notify the Labor Commissioner that they would like to receive their checks, the
Administrative Assistant II (0016, 0004) will issue the check. Blank check stock is secured in the
office safes. Access to the safes is limited to the Deputy Commissioner (0007) and Office Manager
(0002) in Carson City. In Las Vegas, access is limited to the Commissioner (0001), Chief
Investigator (0010), Auditor II (0023), Administrative Assistant III (0009) and Administrative
Assistant II (0004).
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In order to generate a check, the Administrative Assistants II (0016, 0004) open the financial
component of the ―Wage Claim 5s‖ system and go to the ―outgoing money‖ screen. The claim
number is entered to bring up the appropriate information regarding the claim, the number of the
check to be issued is entered and the system is checked for duplicate payments. The entry is then
posted and the check printed.
The check requires two signatures. The Carson City staff members authorized to sign the checks
are the Deputy Commissioner (0007), Office Manager (0002) and Investigator II (0013). In Las
Vegas, the authorized signers are the Commissioner (0001), Chief Investigator (0010), Investigator
III (0015) and Administrative Assistant III (0009). The Administrative Assistant II (0016, 0004) gives
the check and case file to the staff members signing the checks. The staff members signing the
checks compare the amount and other information on the check to the check and deposit ticket
copies in the case file. If the amounts agree, the check and deposit ticket copies are initialed, the
checks are signed and become available for pick up or delivery. The Administrative Assistant II
(0016, 0004) makes two photocopies of the signed checks. One copy goes into the permanent
check file and one copy into the case file along with one copy of the original check detail. The
Administrative Assistant II in Las Vegas (0004) gives the copy of the check detail directly to the
Auditor (0023).
In order to pick up the check, the claimant must give 24 hours notice and present picture
identification at the time the check is picked up. If the claimant would like the check mailed, they
must sign and return the letter along with their social security number. The signature on the letter is
compared to the signature on the wage claim before the check is released. The Carson City office
also requires a photocopy of the claimant‘s picture identification that is also compared to the
signatures. The social security numbers are also checked. Claimants picking up checks in person
provide picture identification and sign a letter acknowledging receipt of their checks. The letter is
placed in the case file.
Direct Payments to Claimants
In a few rare instances, the agency will release a check payable to a wage claimant directly to the
claimant instead of depositing the check into the trust account. This occurs when the 15-day delay
between deposit and payment will work a severe financial hardship on the claimant. To adequately
control these checks, the following steps are necessary. When an Investigator knows that a
payment needs to be given directly to a claimant, the Investigator will notify the Deputy
Commissioner (0007) or Chief Investigator (0010) before the check is received. The Deputy
Commissioner (0007) or Chief Investigator (0010) will provide written instructions to the
Administrative Assistant II (0005) or Chief Assistant (0003) to hold the check for the claimant. The
Administrative Assistant II (0005) or Chief Assistant (0003) will record the check into the Cash
Receipts Log and make the normal number of copies for distribution, but will not endorse the check
for deposit. The memo and the check will be placed in the office safe or locked filing cabinet used
to secure funds prior to deposit.
The check will remain secured until the claimant arrives to pick up the check. The claimant will
provide proper identification and sign an acknowledgement that the check was personally received.
A copy of the acknowledgement and Deputy Commissioner (0007) or Chief Investigator‘s (0010)
memo will be placed in the wage claim file. The original documents will be placed in the permanent
audit file.
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Unavailable Claimants
DECEASED CLAIMANTS
(September 27, 2000)
The purpose of these procedures is to facilitate the transfer of funds to the proper person, entitled to
receive on behalf of a deceased claimant for whom we have received funds in response to a claim
filed for unpaid wages and/or a deceased employee for whom we have obtained funds as a result of
an audit.
NRS 146.080 provides guidelines for the transfer of assets when the estate does not exceed
$20,000.
If we are contacted by a person identifying him or herself as having the right to succeed to the
property of the decedent, if the estate of the decedent is less than $20,000 and upon receiving
proof of the death of the decedent and an affidavit containing the information required by NRS
146.080, we will be able to transfer the funds to the successor.
The successor should complete an ―Affidavit of Entitlement to Estate.‖ This is a statement as
described in NRS 146.080. Most office supply stores that stock legal forms may carry a standard
form.
The ―Affidavit of Entitlement to Estate‖ should be completed and notarized. Along with this form the
successor should present to this office a certified copy of the death certificate of the claimant. We
will make a copy of the death certificate and return the certified copy. We will keep the affidavit.
Successor will also need to present valid identification, such as a driver‘s license. Per information
received from the Unclaimed Property Division of the Office of the Nevada State Treasurer; if the
successor is the spouse, the spouse should present a copy of the marriage certificate showing that
they were married at the time of death. Unclaimed Property also advises that we cannot deliver the
funds to the successor if there is a will in place.
Upon receipt of the notarized affidavit and the death certificate we will be able to process the
check(s). If the check(s) are made payable to the decedent, we can deliver the check(s) directly to
the successor. If the funds have been deposited to our trust account we will issue a check made
payable to the claimant. In addition to the other documentation the person receiving the funds
should complete our standard form, indicating the name and social security number of the person
who receives the check and the name of the claimant and the claimant‘s social security number.
If there is a will in place and/or the estate of the decedent is in excess of $20,000 we will have to
obtain additional guidelines from legal counsel.
Monthly Reconciliation
At the end of each month, the Carson City Office Manager (0002) forwards the following items to
the Auditor II (0012) in Las Vegas:
Check stub detail from disbursements made through the ―Wage Claim 5s‖ system;
Trust account deposit slips;
Trust account deposit receipts; and
A hard copy of the month‘s Cash Receipts Log.
The same information is provided to the Auditor II (0012) by the Chief Assistant (0003) and the
Administrative Assistant II (0004) for the Las Vegas office. The Auditor II (0012) reviews the
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information and then reconciles and balances the account against the monthly statement from Bank
of America and the Bank Balance Report generated by the ―Wage Claim 5s‖ system. Receipt
books that have been completed also forwarded to the Auditor (0012) to be reviewed for
unaccounted for receipts. Any discrepancies in the information are reported to the Deputy
Commissioner (0007) for Carson City and the Chief Investigator (0010) for Las Vegas for resolution.
The Auditor II will provide a copy of the bank statement to the Administrative Assistant II (0016) in
order for her to crosscheck the information with the records in the Carson City office.
As part of the monthly and annual reconciliation, the Auditor II (0012) fills out a State of Nevada
Bank Reconciliation form supplied by the State Controller‘s Office and forward copies of the
reconciliation to the Controllers Office on a monthly and annual basis.
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STATE OF NEVADA
BANK RECONCILIATION
AGENCY NAME STATE OF NEVADA LABOR COMMISSIONER
ACCOUNT NAME STATE OF NEVADA LABOR COMMISSION SOUTH ACCOUNT
ACCOUNT NUMBER
BANK NAME BANK OF AMERICA
ADDRESS POB 798, WICHITA, KS 67201
CUSTODIAN'S NAME
BALANCE PER BANK STATEMENT
(See attached copy of bank statement)
ADD DEPOSITS IN TRANSIT
CREDIT BACK BANK CHARGES / ADJUSTMENTS
NSF RECORDED IN BOOKS
SUBTRACT OUTSTANDING CHECKS (see attached list)
ADJUSTED BANK BALANCE
BALANCE PER BOOKS
ADD DEPOSITS IN BANK; NOT IN BOOKS
(See attached list)
CORRECTIONS AND ADJUSTMENTS
NSF CHECKS NOT RECORDED ON BOOKS
ADJUSTED BOOK BALANCE
(Must agree with adjusted bank balance)
ABOVE IS THE BANK RECONCILIATION AS OF_________________ -
NO ACTIVITY OCCURRED THIS MONTH, OR THE BALANCE IS ZERO
CUSTODIAN'S SIGNATURE_________________________________
DATE__________________
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PROCEDURES FOR FINANCIAL DESK
(REVISED 10-17-02)
TO SIGN ON TO FINANCIAL PROGRAM
1. Turn on computer.
2. Log on with your user name and password.
3. Synchronize on wage claim program first. Double click on wage claim icon, enter user
name and password. Synchronize. VERY IMPORTANT: You must not be signed on
financial program when synchronizing wage claim program.
4. Double click on icon for ―Financial Program.‖
5. Enter your user name and password.
TO RECORD MONIES RECEIVED
1. Go to ―Financial Program‖.
2. On check register select ―incoming money‖.
3. Enter the claim number and select ―search‖.
4. Claimant‘s name will be shown on a list.
5. Double click on the claimant‘s name.
6. At that time another screen will appear.
7. Determine whether this money is going to the ―bank‖ or ―other.‖
8. Using a copy of the check, enter the check number, (followed by the letter R, and receipt
number if one was issued*).
9. A dollar amount due to the claimant from the wage claim system will already show on the
screen. Verify that the amount on the screen is same as the amount of check. The date will
automatically be filled in.
10. Select the option ―search for duplicates‖. This will show you what monies have been
recorded for this individual, exit this screen.
11. If this is not a duplicate transaction select ―post‖.
12. If something is not correct or if this has already been recorded select ―exit‖. This will abort
the deposit.
13. Look at the bottom of the check register to confirm entries.
On the cover of the claim folder make a notation showing the date the check was received, date the
check was logged and the amount of check. Place a red dot on the folder tab to indicate that
money has been received for this claimant.
*Keep a log of receipt numbers on a daily basis in the MS Word folder titled ―Receipt Log for
Month.‖ At the end of each month, print the log and forward it to the Chief Investigator.
PRINT NOTICE OF FUNDS LETTER
1. Double click on the icon for ―Wage Claim Program‖.
2. Enter your user name and password.
3. On main screen select the option for ―letters and reports‖.
4. Enter wage claim number. If there is more than one claim, enter all of them.
5. Select the notice of funds letter you want to print.
6. For a wage claim: select ―notice of funds‖ on main menu. Print ―queued‖ letters.
7. For PWP: select ―print unlisted‖. Highlight: ―money in bank for pwp,‖ double click and
select print.
8. After the letter prints, place a check mark in ―clear claim number on exit.‖
9. Exit.
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10. Get the deposit dates from the auditor or ask to see the deposit book for the claims you are
preparing letters for.
11. Write the deposit date on copy of check or folder cover (whichever is more convenient).
12. Fill in dates available where appropriate. Money will be available:
-In 15 days, for in state checks (from date of deposit)
-In 15 days, for out of state checks (from date of deposit
-In 10 days, for money order (from date of deposit)
-In 3 days, (from date of deposit) for checks received from Clark County School District.
-Immediately for cash or cashiers checks.
13. For PWP notice of funds letter, will fill in PWP number on the letter.
14. Make copies of notices for wage claims.
15. For PWP you don‘t need to make copies of notice of funds. Cut the letter at the perforation,
mail the top half and file the bottom half in folder. Put original in envelope.
16. File copy of letter in folder.
17. Calendar the claims for payment and give the Wage Claim Administrative Assistant any files
to close. She will return files, put files in money cabinet.
18. Investigator will return file with any additional documentation to be mailed with fund notice.
File folder in money cabinet.
MONEY RECEIVED FOR PWPs
Procedures are the same as wage claims for recording the money and for the notice of funds,
except for the following:
1. If payment is correct circle gross or net amounts, whichever applies, on copy of audit.
2. On the folder cover, write the date we received the money, the date logged on the computer and
mark as ―audit paid.‖
3. After done recording money on both programs and preparing notice of funds letters, give folder
to Auditor to verify money was received for the audit record.
4. Then give folder to PWP Administrative Assistant so that she can send audit paid letter.
5. PWP Administrative Assistant will return file, place folder in money cabinet
*Attach check list to folder cover and check off as steps are completed.
MAILING CHECKS TO CLAIMANTS
FOR WAGE CLAIM
1. Upon receipt of notice of funds letter, locate folder and compare the signature on the letter
against the signature on the claim form. If they are the same, process the check.
2. See *Print Check.
3. Make a copy of the check to file in folder.
4. Make a copy of the notice of funds letter.
5. Verify address on form, if needed prepare envelope with correct address.
6. Mail copy of the notice of funds letter with check.
7. On original letter, note check number, check amount and date mailed.
8. On cover of file, note paid date in red.
9. File copy of check and original letter in folder.
FOR PWP
1. Upon receipt of notice of funds letter, compare the social security numbers on the letter and
in the audit file. If same, process check.
2. See *Print Check.
3. Make a copy of the check to file in folder.
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4. Inside folder locate bottom portion of letter.
5. Verify address on form, if needed prepare envelope with correct address.
6. Fill out necessary information, and mail with check. If the check is for gross amount with no
tax deductions, attach slip that explains that the employee is responsible for reporting to
IRS).
7. On notice of funds letter that was mailed back by employee, note check number, check
amount and date mailed.
8. On cover of file, note paid date in red.
9. File copy of check and release letter from employee in folder.
TO PRINT A CHECK
1. Get blank checks from Auditor‘s safe. Sign out checks on check log in safe. Lock safe.
2. Go to financial program.
3. Select ―outgoing money‖.
4. Enter claim number. Select ―search‖.
5. Double click on correct claimant.
6. Verify claimant‘s name, address and dollar amount to be printed on check. If claimant name
is misspelled or address is wrong, you can correct it on this screen.
7. If you are printing a second check to the same person and the amount is different, Wage
Claim Administrative Assistant must log current amount to be paid on wage claim program.
8. Enter check number in the appropriate field.
9. You can check for duplicate transactions by selecting ―check for duplicates‖, then exit that
screen.
10. If everything is correct select ―post‖, if not select exit.
11. After posting, exit that screen, return to check register.
12. Put checks on printer (face up, top first).
13. Select ―print checks‖.
14. Tear off bottom stub, put in bottom left hand drawer---to be kept for Auditor. (Given to
Auditor at the end of the month).
15. If check is for pwp, fill in check number and date paid next to employee name on audit or
summary (inside folder).
16. Have checks signed.
17. Prepare release forms if necessary.
18. When a check is paid from ESCHEATMENT to the employee, you must delete information
on HRS program.
a. Go to HRS program.
b. Click on step 2.
c. Highlight report year desired.
d. Click select report.
e. Click on step 3.
f. Find correct record.
g. Click on delete.
h. Click on close when done.
i. Prompt screen will say ―Validate unclaimed property?‖ Click on no.
j. Click on exit HRS.
k. On folder cover write date paid and file in closed drawer.
RELEASING CHECK DIRECTLY TO EMPLOYEE
1. Locate folder.
2. See print check.
3. Fill out release form.
4. Attach check and release form to folder cover.
5. Place folder in cabinet at financial desk and lock.
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6. Administrative Supervisor or Financial Administrative Assistant will give out checks. When
they are not in office, key for cabinet will be given to Auditor.
7. When employee comes in for check have them sign and fill in SS# on release form.
8. If it‘s for a PWP verify their SS# is the same as SS# in file.
9. Ask for their I.D. Verify it‘s the same person.
10. Copy check and I.D. together.
11. Staple copy of check and I.D. with release form to folder cover.
RECORDING MONIES PAID OUT FROM BANK
FOR WAGE CLAIMS
1. When a check is generated from financial program an entry is automatically posted on
check register. There is no need to make any manual entries.
2. Indicate paid date on folder cover.
3. Attach copy of ID and check to inside of folder.
4. Remove red dot from folder tab.
5. Cross off log date on log book and folder cover.
6. If there is still money available for distribution file back in money cabinet.
7. If no more money is available for distribution, file in closed cabinet.
FOR PWP
1. When a check is generated from financial program an entry is automatically posted on
check register. There is no need to make any manual entries.
2. Indicate paid date on folder cover, next to employee‘s name.
3. Attach copy of ID and check to inside of folder.
4. Make sure check # and paid date are noted on summary or audit, next to employee‘s name.
5. Give to wage claim admin. asst. for closing.
6. If all money has been paid out, file in audit paid cabinet.
7. If there is still money available for distribution file back in money cabinet.
MONEY TO BE ESCHEATED
1. If attempts made to locate employee have failed, funds will be escheated.
2. Give folder to investigator with slip for escheatment attached. Investigator will return file.
3. On financial program, go to check register.
4. Go to register filter.
5. Select claimant.
6. In next field type claimant‘s last name.
7. Select apply.
8. Highlight correct record.
9. Double click.
10. Select escheat.
11. Select ok.
12. Go to HRS program.
13. Click on step 2.
14. Highlight report year desired. Click select report
15. Click on step 3.
16. Click on add.
17. Enter information. Click on save.
18. Click on close when done.
19. Prompt screen will appear asking ―Validate unclaimed property?‖ Click on no.
20. Click on exit HRS.
21. On folder cover write date and amount escheated. File in appropriate escheatment drawer.
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22. Auditor will provide schedule for when money will be paid to Unclaimed Property.
END OF MONTH REPORTS
1. Check with auditor as to what day of the month financial reports should be printed.
2. Go to financial program, on main menu select ―print reports‖
3. For bank balance report enter 12-1-94 (or whatever starting date is) in ―from‖ field. Enter
desired ending date in ―to‖ field.
4. In primary sort select respondent.
5. In secondary sort select claimant.
6. Select preview.
7. Print last page of report.
8. Print bank balance report for current month.
9. Print ―fund changes report‖ for current month.
10. Select ―fund collection report‖.
11. Select desired report from drop down list.
12. Enter dates in ―from‖ and ―to‖ fields.
13. Sort by respondent, or whatever auditor requests.
14. Select ―print‖.
15. Do this for each report on drop down list.
When all reports have printed, give to auditor for reconciliation. You will not be able to make any
more entries on financial program until auditor has reconciled unless auditor says otherwise.
END OF MONTH STATISTICS REPORT
1. Go to Microsoft Word program.
2. Click file, click open, click end of month statistics, print form to record information.
3. In audit log, count all audits performed for current month. Investigators supply me with this
information during the month. Record information on the end of month form.
4. Specify if audits were ―phone‖, ―field‖, ―desk‖, or ―expanded‖.
5. Add any audit take credit amounts.
6. On financial program, select ―print reports‖, run ―bank balance‖ report and ―escheatment‖
report for current month.
7. On ―bank balance‖ report, add up all audit amounts for ―B‖, ―R‖, and ―O‖ codes. Do the
same for claim amounts.
8. Write these figures down on end of month form.
9. On ―escheatment‖ report, count how many audits were escheated. Do the same for claims.
10. Write these figures down on end of month report.
11. Give end of month form to Chief Assistant to Labor Commissioner.
12. Keep a copy for financial desk.
13. Staple reports printed to the copy, file in cabinet.
*Gross amounts should be used for the statistics report, but at present time, I am only able to
retrieve net amounts.
*Also print spreadsheet for escheatment. Go to windows explorer, double click on esheatment
reports, select correct year. Print escheatment information for current month.
This report should balance to financial program escheatment report.
VOIDING CHECKS
1. Physically void check by writing void across check.
2. Cut and shred signature lines.
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3. On check register find check. You can use ―register filter‖ or scroll on check register to find
the appropriate check.
4. Double click, and select ―void‖ option.
5. Place voided check with check stubs to be given to auditor at the end of the month.
6. Follow whatever the next appropriate action may be.
STOPPING PAYMENT ON A CHECK
1. Contact the bank and supply bank representative with the following information:
a. check number
b. check amount
c. check date
d. who it is payable to.
2. Bank will give you a confirmation number.
3. Give auditor information of the stop-payment check.
4. On check register find check, double click and select ―void‖.
5. Record information in the folder.
6. Proceed to re-issue new check, escheat or whatever the next appropriate action may be.
RECORDING NSF CHECKS
1. For checks returned from bank as NSF, STOP-PAYMENT, OR ACCOUNT CLOSED, make
three copies of check and bank statement.
2. One copy goes inside folder.
3. One copy goes inside ―NSF‖ folder in my cabinet.
4. One copy goes to the auditor.
5. On copy of check and folder cover note ―NSF‖.
6. Staple original check and bank statement to folder cover.
7. On check register find entry, double click and select ―NSF‖ code.
8. On wage claim program, go to view/edit claims
9. Enter claim number, double click, and change ―paid to claimant‖ field to zero.
10. Take red dot off folder, cross date off calendar book and also cross date off folder cover.
11. Give folder to investigator.
FOR TRANSFER OF EXCESS FUNDS
1. Get deposit receipt form, from Auditor.
2. Type check, do not enter into system.
3. Fill out deposit receipt form.
4. Give to Auditor with copies, so that Auditor can keep track of money.
RECORDS RETENTION
1. Audits paid files are to be kept three years.
2. Escheated files can be purged after three years from the time the money was paid to
Unclaimed Property Division. Auditor will provide schedule for when money will be paid to
Unclaimed Property Division.
REQUESTING INFORMATION FROM DMV
1. Open Microsoft Word.
2. Open DMV.info.doc.
3. Type in current date where appropriate.
4. Type in name and social security number where appropriate.
5. Print letter, save, and exit.
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6. Fax letter to number listed for DMV.
7. On letter write respondent names next to employee names.
8. Make copy and file in appropriate folder.
9. Calendar in logbook write date on folder cover.
10. File the folder in cabinet.
11. File original letter in DMV folder at financial desk.
LOG BOOK or CALENDAR BOOK
1. This book is used to keep track of folders that need to be pulled and reviewed on specific
dates.
2. Write dates in log book and also on folder cover.
3. When folder is pulled on that date, cross dates off on folder cover and log book.
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FILING SYSTEM FOR WAGE CLAIMS
In an attempt to develop a system to place files in the file cabinets in an order that will make it
possible to know where to look for each folder:
At any time that the name of the respondent is altered in any way from that originally printed by the
computer, the computer data will need to be revised. To make changes in file names, advise the
program assistant responsible for inputting and updating data with a note on the file folder. A new
label does not need to be printed, but the name on the label must at all times agree with the name
as listed in the computer.
Whenever possible, refer to the paycheck stubs presented by the claimant to assist in determining
the actual name of the respondent.
We will be placing the folders in the cabinet in the same order that they will appear on a print out,
sorted by our computer.
Numbers will come before letters. ―7 Eleven‖ will not be filed under ―S‖ for ―Seven‖ unless the name
―Seven‖ is written out on the file. It will be filed in front of the A‘s, in numerical order along with ―3
M,‖ ―1 Stop,‖ and so on. ―7 Eleven,‖ ―7-11,‖ and ―7-Eleven‖ will sort in that order. Therefore, the
person inputting the names into the computer must set a standard and stay with it. ―7 Eleven‖
seems to be the entry of choice. For uniformity all company titles with a number and a name should
be entered as number space name.
Having a space in a name effects the order. For example: ―Mike Zones‖ will come before ―Mikes
Zone.‖ An apostrophe will effect the order: ―Mike‘s‖ follows ―Mikes.‖ Punctuation will effect the
order. Therefore, we want to use as little punctuation as possible.
If filed by a business name, the folder will be filed using the first letter of the name, followed by the
second letter and so on. Except in very rare occasions no company names will be filed under a
name beginning ―A Whatever.‖ Instead the name will be entered ―Whatever, A.‖ The same is true
of company names beginning with ―The.‖ ―The Whatever Company‖ will be entered as ―Whatever
Company, The.‖
If a company name is all initials such as ―NBC,‖ that file folder will be placed in order as if the name
is the word ―NBC.‖ Upper and lower case will affect the order. For uniformity and consistency, so
that we do not have to stop and spend time figuring out how to enter; all companies with initial
names will be entered as if the initials are a word, using all upper case letters with no spaces
between the letters.
If the name of the company is a first and last name, the folder will be filed under
the last name-comma-first name. For example, ―Pat Clark Pontiac‖ will be entered as ―Clark
Pontiac, Pat.‖
If a claim is filed against an individual, the name should be entered into the computer with last
name-comma-first name. This will affect the way letters and envelopes are addressed, but this will
keep the files in an order that will allow us to locate them readily.
If a claim is filed against a physician, the name should be entered last name-comma-first name-
initials ―MD.‖ Do not use the title ―Doctor.‖ If the respondent is a Ph.D., the name should be
entered as for a physician except with the initials Ph.D. following the first name. If the claim is
against a medical facility the name should be entered as against the name of the facility as shown
on the paycheck stubs or any records provided by the claimant. If the facility‘s name is ―Joe Smith‘s
Clinic,‖ it will be entered as ―Smith‘s Clinic, Joe‖ and filed under ―S.‖ If the name of the clinic is
―Doctor Joe‘s Clinic,‖ it will be filed under D.
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Whatever comes first in the name will be the letter or number that will determine where the folders
are placed in the file.
If more than one claimant files a claim against a company and they use different variations of the
company name, hopefully the zip code of the addresses will be the same for each claimant and the
claims will wind up with the same Investigator. The Investigator will then be responsible for
changing the name on the file folder(s) and advising the Administrative Assistant which name
should be used. The Administrative Assistant will then change the name in the computer
Again: It is important that the label on the file folder and the name in the computer agree at
all times.
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BANKRUPTCY CASES
(August 24, 2001)
The Office of the Labor Commissioner is included in a matrix of agencies to be notified of
bankruptcy proceeding. On receipt of notices, review to identify any notices regarding businesses.
Check our records (logs of open claims and claims listed in our bankruptcy log) to determine if we
have any open claims against this business.
If the answer is yes, we have already filed proof of claim in bankruptcy court and if the office of the
Labor Commissioner is the place where notices are to be sent, determine what if any action needs
to be taken. If we received notice of a hearing on approval of a plan in a chapter 11, obtain a copy
of the plan to determine if either the Labor Commissioner or the claimant is listed. If possible attend
the plan‘s confirmation hearing whether the Commissioner or the claimant is the point of contact. If
no action is required, place notice in file folder in bankruptcy file drawer.
If we filed proof of claim with the claimant as the place where notices are to be sent and mailed a
letter to the claimant advising them of that status, no action is required as the court and/or parties
should be sending this same notice to the claimant.
If we check our records and find that we currently have wage claims against this company and have
not filed proof of claim, run a check of the bankruptcy record on the Internet.
(www.nvb.uscourts.gov --- click on ―Racer‖ --- enter search data. If searching by name, use all
caps.) Make a copy. Pull the open claim(s) file(s) and take them to the investigator with the
information re the notice.
If the claimant worked before the date of filing, advise the Investigator that we can file proof of claim
with the claimant listed as the place where notices are to be sent and advise the claimant of the
status. The Investigator will close the file. If for some reason it is determined that the Office of the
Labor Commissioner is to be the place where notices are to be sent, the file will be closed and
placed in the bankruptcy/bankruptcy drawer.
If the claimant worked after the date of filing, contact the Trustee by telephone to determine what if
any action we can take.
PROOF OF CLAIM FORM
Complete Proof of claim form on behalf of claimant(s) (Exhibit A.) Whenever possible, complete the
form with the claimant as the ―Name and address where notices should be sent.‖ This will allow our
office to close the file. In some instances the Office of the Labor Commissioner will be the place
where notices are to be sent. If there are multiple claimants, complete a separate form for each
claimant if the claimant is to be the one notified. If there are multiple claimants and the Office of
Labor Commissioner is the place where notices are to be sent, the proof of claim form may state
―see attached‖ for the names, social security numbers and amounts. Attach copy of claimant’s
wage claim form and/or other appropriate supporting documents.
Complete a ―Request for Notice‖ letter to accompany each proof of claim form (Exhibit B.) The
original and one copy are for the court and an additional copy needs to be made for our records.
BANKRUPTCY COURT
Proof of claim for Chapter 7 & 11, submit an original (plus one extra copy and a self addressed,
stamped envelope if submitted by mail --- or if submitted in person, take along a second copy for
the clerk to mark for our records)
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Proof of claim for Chapter 13, submit an original plus one, (plus one extra copy and a self
addressed, stamped envelope if submitted by mail — or if submitted in person, take along a third
copy for the clerk to mark for our records)
The addresses of the U. S. Bankruptcy Court are:
U. S. Bankruptcy Court
300 South Las Vegas Blvd
Las Vegas NV 89101
U. S. Bankruptcy Court
300 Booth St., Room 1109
Reno, NV 89509
Pursuant to Local Rule 3002(a), the creditor filing a proof of claim shall serve a copy of such proof
of claim on debtor‘s attorney(s), or on the debtor if an attorney does not represent the debtor. Our
Deputy Attorney General has instructed that we also send a copy to the trustee (Exhibit C.) The
Court appoints a trustee for Chapter 7. The trustee‘s name will appear on the Race print out. For
Chapter 11, send to:
Office of the U. S. Trustee
600 Las Vegas Blvd South #430
Las Vegas NV 89101
Office of the U. S. Trustee
300 Booth St., Room 2129
Reno, NV 89509
NOTICE TO THE CLAIMANT
After filing the proof of claim, complete and mail a letter of notice to each claimant notifying them of
the status and advising them that either they will be the point of contact and we are closing their file,
(Exhibit D) or that there is nothing more the Office of Labor Commissioner can do until the
proceedings are completed (Exhibit E.)
CLOSING FILES
After all of the above has been completed, the file should be returned to the investigator with a note
advising what has transpired. The investigator will then make note that the claim is closed to
bankruptcy. If the claimant is designated in the proof of claim form as the person to be contacted,
the file folder will be marked to be placed in the current closed claims drawer. (Exhibit F) If the
Office of the Labor Commissioner is the point of contact, the file folder will be placed in the
bankruptcy drawer (Exhibit G).
If closed to the bankruptcy drawer, the claim should be entered into the log of files in bankruptcy to
be followed by the Office of the Labor Commissioner.
NOTICE TO THE CLAIMANT
After filing the proof of claim, complete and mail a letter of notice to each claimant notifying them of
the status and advising them that either they will be the point of contact and we are closing their file,
(Exhibit D) or that there is nothing more the Office of Labor Commissioner can do until the
proceedings are completed. (Exhibit E)
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GENERAL EMPLOYMENT
COMPLAINTS
COMPLAINT FORM PROCEDURES
Complaint forms are received by the Office of the Labor Commissioner either at the counter or
through the mail. Upon receipt, it is date stamped on the top left corner and put in the complaint
forms folder located on Administrative Assistant II‘s desk.
Administrative Assistant II, Position #5 in Carson City, Administrative Assistant II, Position #8 in Las
Vegas do the following procedures:
1. Review the complaint form to determine the disposition of complaint based on information
furnished on the Complaint form.
2. Log information on Complaint Log, completing columns A-I as follows:
a. Number – Assign the next number from Column A.: Current FY and consecutive numbering,
for example (2004-64). Write the number issued in the ―Office Use Only‖ box on top right
corner of Complaint Form.
b. Name of Employer – Indicated on Complaint Form.
c. Address of Employer - Indicated on Complaint Form.
d. City of Employer - Indicated on Complaint Form.
e. Zip - Indicated on Complaint Form.
f. Phone/Ext. of Employer - Indicated on Complaint Form.
g. Name of Employer Contact person if furnished on Complaint Form.
h. Complaint Date – Date Complaint Form was received in Labor Commissioner‘s office.
i. Alleged Violation – Make a determination from information on Complaint Form that coincides
with samples found on inside of Complaint Violation Log folder. Make a separate line for
each violation named using same number on all violations for each complaint form.
j. Action Taken – Determine who will handle complaint. If Administrative Assistant II, put
action taken. If referred to an Investigator, put investigators name in (RED) and give file to
investigator.
3. To indicate if employer has been contacted concerning the same or similar violations in the
past. Mark Yes – No- or Unknown. Sort Column B of Complaint Log by employer as follows.
Go to the Data drop down box at top of screen and click on Sort. Do a sort by employer,
ascending order. Click ok. Your log should show all employers in alpha order. If multiple
complaints on employer, review Column I to see if previous complaints are the same or similar.
If so, mark ―yes,‖ if not mark ―no‖ on Complaint Form. After completing this step, make sure to
go back to Data and Sort by Number, click ok.
4. Administrative Assistant II must complete the back side of Complaint Form as follows:
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Office Use Only Portion:
1. Indicate which employee received complaint.
2. If known, indicate if Complaint is verified, anonymous, or telephone/Field.
3. If assigned to investigator, indicate which investigator is assigned file.
4. Complete portion indicating alleged violation and reference statute.
File Folder:
1. Make a file folder with Complaint Form on right side of file folder.
2. Make a label with employer‘s name.
3. If an AAII is handling the complaint, she will send the appropriate letter to employer or
employee. See samples of letters in complaint letters folder on computer.
4. Go back to Complaint Log and enter Disposition. If a letter is sent, it will be a warning letter.
5. When a letter is sent, the AAII would make a copy of letter and place on top of Complaint Form
in file and put folder in Complaint Forms drawer.
6. If a file is assigned to an Investigator, the Investigator would keep the folder until they have
completed it. Investigator would then give back to AAII to complete the disposition portion of
Complaint Log on computer. AAII will change the red name of the investigator to say
investigator in black.
7. AAII would then file folder in Complaint Forms drawer.
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PUBLIC WORKS PROJECTS
75
PROCEDURES FOR DETERMINING PREVAILING
WAGE RATES
Introduction
Nevada law requires the Labor Commissioner to "annually" determine the prevailing rates of wages
for use on public works projects for "each craft or type of work." (NRS 338.030) The purpose of this
written policy/procedure is to provide agency staff with guidance as to how the prevailing wage
rates are to be determined.
Conduct of the Wage Survey
1. In conducting the survey, various timelines should be settled upon or otherwise considered first.
In that once determined, the wage rates are to "be furnished to public bodies and interested
persons upon request beginning October 1 of each year," the overall conduct of the survey should
be done in ample time to allow for publication by the October 1 deadline. (See NAC 338.060)
Generally, the surveys are mailed to contractors in the month of May, with a due date to the Labor
Commissioner in mid-July.
2. Initially, there should be a determination of which "craft or type of work" for which to survey.
Depending on changes in technologies, equipment, industry practices and so forth, as well as the
ongoing need for administrative efficiencies in this agency, there may occasionally be a need revise
the classifications for surveying.
3. In developing the survey form to be used by contractors, without limitation, the following
questions should be asked with regards to work the contractors performed within the past year:
Names of the projects;
Beginning and ending dates for work performed;
Name of county in which work was performed;
The craft or classification of work performed (or the corresponding craft/classification
number, if any, assigned by the agency);
The number of hours worked in each craft/classification;
The base rate of wages paid, per hour, to workers in each craft/classification;
The amount of fringe benefits paid, per hour, to workers in each craft/classification (See
NRS 338.010.15 for information concerning fringe benefits for purposes of prevailing
wages); and
Whether the work performed and wages paid were pursuant to a collective bargaining
agreement.
Once the survey form is developed, contacts are made with the State Printing Division to arrange
for the printing of an adequate supply of survey forms to be sent to contractors pursuant to
subsection 4 below.
4. Currently, in an effort to survey contractors, a list of contractors licensed by the Nevada State
Contractor's Board (NSCB) is requested by the Labor Commissioner from the Executive Director of
the NSCB. The NSCB will generally be able to provide the list of contractors on diskette(s). Using
the diskette(s) provided, contacts are made with the State Mail Room to accomplish handling and
mailing of the survey forms to contractors based on the number of copies requested from the State
Printing Division.
76
Receipt, Input and Use of Survey Data
1. When all surveys have been received, in accordance with the deadlines established for such, the
submitted surveys should initially be systematically organized and reviewed for completeness,
legibility and time permitting, verifiability. Pursuant to NAC 338.020.2, "the labor commissioner may
exclude from consideration any information submitted to him that is untimely filed, duplicative,
incomplete or determined by the labor commissioner to be unverifiable."
2. The information from completed, verifiable survey forms should be input into the Prevailing Wage
database application developed by the state Department of Information Technology (DoIT) in
accordance with the instructions developed by DoIT for doing so. The database application will
compute and report the prevailing wage rates for each county and craft/classification based on the
survey data entered and in accordance with the methodology prescribed by NAC 338.010(1)(a-b).
3. For each county, a Prevailing Wage Survey Report will be compiled by the database application,
indicating the results of the wage survey. The Survey Report should be used to determine the
prevailing wage rate for each county for each craft/classification. Where the rate determined as
prevailing in accordance with the methodology prescribed by NAC 338.010(1)(a-b) was derived
from a collective bargaining agreement, "the labor commissioner may consider wage and benefit
adjustments and classifications of workmen established in the collective bargaining agreement and
may adjust the prevailing rate of wages ... in accordance with wage and benefit adjustments and
classifications of workmen in the collective bargaining agreement." (See NAC 338.010.2) After any
permissible adjustments are made to the rates determined to be prevailing, such rates are to be
published in accordance with Section IV below.
Publishing of Prevailing Wage Rate Determinations;
Objections
1. Currently, the prevailing rates of wages, as well as any amendments thereto, are published to the
agency's website on the Internet. A minimal amount of photocopies of the wage rate determinations
may be made available in each location of the Labor Commissioner's office for the perusal of
persons without access to the Internet. NAC 338.060 requires the wage determinations to "be
furnished to public bodies and interested persons upon request beginning October 1 of each year."
Additionally, the published prevailing wage rates "must be filed by the Labor Commissioner,"
pursuant to NRS 338.030(6). Currently the Chief Assistant Labor Commissioner maintains a file of
the published wage determinations and filed-stamped..
The Microsoft FrontPage software application is currently used to edit and publish the various
pages on the Internet containing the prevailing wage rates. For additional information concerning
FrontPage, refer to either the FrontPage user's manual or the "Help" menu of the FrontPage
software application.
2. Within 30 days after the determination of the prevailing rates of wages, persons so authorized
may file an objection or otherwise submit information to the Labor Commissioner "with evidence to
substantiate that a different wage prevails" or "that would support a change in the prevailing wage
of a craft or type of work by 50 cents or more per hour in any county." (See NRS 338.030.2) Upon
receipt of an objection or other qualifying information, "the labor commissioner shall hold a hearing
in the locality in which the work is to be executed." (Id.)
3. A hearing conducted pursuant to subsection 2 above must be conducted in conformance with the
general provisions of NRS 233B, where applicable. Otherwise, the specific provisions of NRS 607
and NAC 607 shall govern the conduct of any hearing required to determine the prevailing rates of
77
wages. This includes developing findings of fact and conclusions of law developed at any such
hearing.
Records Retention
The following records retention schedules apply to wage survey data and has been compiled and
determined by the Nevada State Library & Archives, Division of Archives and Records:
Retain the paper copy of the survey form until verification of data entry.
Retain the statistical information for a minimum of three (3) calendar years from the end of
the year to which it pertains. NRS 11.190(3)(d)
Transfer a copy of the completed survey to the Division of Archives and Records for
preservation in the State Archives.
APPROVED: August 20, 2004.
Labor Commissioner
78
ASSIGNING AND ISSUING PUBLIC WORKS
PROJECT (PWP) NUMBERS
NRS 338.013 requires public bodies that advertise for bids for a public work (awarding bodies) to
request an identifying number for the project from the Labor Commissioner. This is called the
Public Works Project number or ―PWP.‖ The PWP number must be included in the bid
advertisement, on any bid submitted in response to the advertisement, is used to identify the project
in all correspondence and is included on all payroll reports submitted to the awarding body.
Requests are faxed into the Las Vegas and Carson City offices by the awarding bodies or their
representatives. PWP numbers for Clark, Esmeralda, Lincoln and Nye counties are issued by the
Las Vegas office. The Carson City office handles the balance of the state. If a request is received
into one office for a number to be issued from the other, forward the request by fax to the issuing
office.
When a request for a PWP number is received, date stamp the request form in the bottom left
corner next to date received. The request is either handled immediately or placed in the standup
file for PWP paperwork to be processed in the slot marked ―PWP REQUESTS.‖.
The request needs to be reviewed to determine the appropriate PWP number. The first step is to
determine whether a number is even needed. The statutes indicate that non-exempt public works
projects over $20,000 (NRS 338.010(11)(a)(10)) should have a PWP number. Exempt projects are
listed in NRS 338.011 and 338.0115. Generally, the exceptions are for routine operation and
maintenance, emergencies from man-made or natural disasters and some private development
projects where the project will be turned over to a public entity after the project has been completed.
If it appears that a project might be exempt, forward the request to the Deputy Commissioner or
Chief Investigator for review.
As a matter of practice, PWP numbers are only issued for projects of $100,000 or more, the
threshold for prevailing wages. Check the estimated cost for the project. If it is for $100,000 or
more, then a number must be issued. If the project is over $90,000, the project could exceed
$100,000 as the result of unanticipated change orders. In that situation, a number should be issued
just in case. Some Awarding Bodies will send a request for jobs under $100,000 and want a
number anyway for any number of reasons. Issue a number, but write a note to them to be sure to
notify the office if job does not exceed $100,000.
If a number is needed, the next step is to assign and issue the number.
PWP numbers are formatted as shown in the following example:
CL-2003-999
The first two letters designate the county in which the work is being done. The abbreviations for the
counties are as follows:
CC Carson City EU Eureka NY Nye
CH Churchill HU Humboldt PE Pershing
CL Clark LA Lander ST Storey
DO Douglas LI Lincoln WA Washoe
EL Elko LY Lyon WP White Pine
ES Esmeralda MI Mineral
The first four numbers designate the ―prevailing rate year‖ for the project. For example, 2003
designates the prevailing rate year for projects with bid openings between October 1, 2002 and
79
September 30, 2003. The last three numbers are assigned in chronological order starting with 001
as requests for PWP numbers are received.
Once the county has been identified, the next step is to ascertain the bid opening date and the
correct prevailing wage year. Finally, check the PWP number database and other available
information to determine the next number in the sequence. Assign the appropriate PWP number.
After the PWP number has been assigned, write the PWP number in the space in the upper right
hand section of the request form next to the line that says ―PWP-― and update the PWP number
database. The instructions for updating the database are set out below in the sections entitled
―DATABASE DESK REFERENCE FOR PUBLIC WORKS.‖
After the database has been updated, write the date in the lower right hand corner of the request
next to the date returned. Fax the request and related documents back to the awarding body or
their designated representative. In addition to the request form, the following related documents
need to be faxed back to the awarding body:
NOTICE OF AWARD FOR PUBLIC WORKS PROJECTS
NOTIFICATION OF CANCELED/DELAYED PUBLIC WORKS PROJECTS
Memorandum: Disqualification from Public Works Projects (most current)
After the request has been faxed back to the awarding body, attach the fax verification to request.
This can also be accomplished by putting the faxed document upside into the paper tray on the fax
machine and having the fax verification print on the reverse side of the request form. This is done
in order to document that the request was returned just in case it is sent to the wrong person or gets
lost at the receiving end. Put the request into the three ring binder used to file projects that have
been issued numbers, but have not yet been awarded. The file is divided up into prevailing wage
years.
PWP NUMBERS FOR CANCELED/DELAYED
PROJECTS
On occasion a project will be delayed or cancelled. There can be a number of reasons for this.
There might be changes in the bid documents and the bid date needs to be changed. The bids
could have been opened and no responsive or responsible bidders identified. The project could be
cancelled due to budget cuts. If a project is delayed or cancelled, the awarding body should fax a
NOTIFICATION OF CANCELED/DELAYED PUBLIC WORKS PROJECTS to the office that issued
the original PWP number.
When the notification is received, date stamp the request form in the bottom left corner next to date
received.
Depending on the circumstances, it may or may not be necessary to issue a new PWP number for
the project. There are three lines on the form:
_ The above project has been cancelled
_ The above project name has been changed. Please make applicable changes below
_ The above project has been delayed. Please make the applicable changes below
If the project has been cancelled, make a notation in the PWP database indicating that the project
was cancelled. There is no need to issue a new number or cancel the old number. Write the date
in the lower right hand corner of the request next to the date returned and fax the notification back
80
to the awarding body. Attach the notification to the original request that is in the file for projects that
have been issued numbers, but have not been awarded.
If the project name has been changed, update the PWP database to reflect the new name. Write
―Use the existing PWP number‖ or words to that effect in the space on the notification that says,
―Your new PWP number is _______‖. Write the date in the lower right hand corner of the request
next to the date returned and fax the notification back to the awarding body. Attach the notification
to the original request that is in the file for projects that have been issued numbers, but have not
been awarded.
If the bid opening date has been changed, it is necessary to determine whether a new PWP number
needs to be issued. If the new bid opening date is in the same prevailing wage year as the original
request, then it is not necessary to issue a new number. Update the PWP database to reflect the
new bid opening date. Write ―Use the existing PWP number‖ or words to that effect in the space on
the notification that says, ―Your new PWP number is _______‖. Write the date in the lower right
hand corner of the request next to the date returned and fax the notification back to the awarding
body. Attach the notification to the original request that is in the file for projects that have been
issued numbers, but have not been awarded.
If the new bid opening date is going to be in a different prevailing wage year, it will be necessary to
cancel the old PWP number and issue a new PWP number. In this situation, process the
notification as if it were a request for a new PWP number. Use the same procedure explained
above for issuing new numbers.
PROJECT TRACKING
Public works are tracked through a tickler system. After a request for a PWP # has been received,
the project is entered into a calendar for follow-up. The date used is approximately two weeks after
the projected award date. When a Notice of Award is received, the project is deleted from the
tickler. In addition, the tickler is checked weekly to determine whether a bid award is overdue. If a
project is listed and no Notice received by the follow-up date, the Administrative Assistant calls the
contact person listed on the Request for Public Works Project Number to determine the status of
the project. If follow-up is needed by the awarding body, for example the bids came in at under
$100,000 or a project has been delayed or cancelled, the Administrative Assistant instructs the
contact person as to the action that is needed to update the project.
CREATING A PUBLIC WORKS PROJECT FILE
When a Notice of Award is received from an awarding body, the database is updated, a project file
is created and information is sent to the prime contractor. The Notice is date stamped and either
processed immediately or else placed in the standup file for PWP paperwork to be processed in the
slot marked ―NOTICE OF AWARD.‖.
The original request for a PWP # is removed from the binder and attached to the Notice of Award.
The next step is to update the Public Works Database. After opening the database and finding the
PWP, the name of the contractor is entered into the column for the name of the prime contractor.
Then, the columns for contract amount, bid date and award are updated to reflect the amount of the
accepted bid and the actual rather than projected dates of bid opening and award. The date that
the Notice was received is entered into the column under the heading ―Award Rec‘d.‖ The Public
Works Subcontractor database also needs to be updated. The database is opened, the
corresponding PWP # found and the prime contractor‘s name is entered into the Contractor column.
After updating the databases, a congratulatory letter is sent to the prime contractor. The primary
purpose of the letter is to inform the contractor of the legal requirements concerning public works
81
projects and prevailing wages. A copy of the letter is made for the project file. In addition to the
letter, the following documents are mailed to the prime contractor:
SUBCONTRACTOR LIST FOR PUBLIC WORKS PROJECTS
Memorandum: Disqualification from Public Works Projects (most current).
A stick-on label for a file folder is then typed up for the project. The label is formatted as follows:
PWP NUMBER Bid Date
CONTRACTOR NAME
PROJECT DESCRIPTION
The label is attached to a public works project file folder. The Request for a PWP Number, Notice
of Award and letter to the prime contractor are punched and placed in the file. All general
correspondence concerning the project will be kept in the project file. Do not include wage claim or
audit correspondence in the file. IF A WAGE CLAIM OR AUDIT RELATED TO THE PROJECT IS
RECEIVED, A SUPPLEMENTAL FILE WILL BE CREATED. When the file is made up, place it in
the appropriate public works filing cabinet. The files are kept in numerical order by prevailing wage
year.
SUBCONTRACTORS
The subcontractors on a public works project are tracked in the Public Works Subcontractors
database. Documentation related to subcontractors is kept in the project file. When a
SUBCONTRACTOR LIST FOR PUBLIC WORKS PROJECTS is received from the prime
contractor, the list is date stamped and either processed immediately or else placed in the standup
file for PWP paperwork to be processed.
Open the Public Works Subcontractor database. If the box on the form indicating that no
subcontractors will be used on the project is marked, find the project in the database and make a
notation under the contractor‘s name that no subs will be used on the project. If there are
subcontractors listed, add the subcontractors under the contractor‘s name. Remember that the
prime is in all capital letters and lower case is used for the subs.
The next step is to send letters to all of the subcontractors. The primary purpose of the letter is to
inform the subcontractor of the legal requirements concerning public works projects and prevailing
wages. A copy of the letter is made for the project file. If a subcontractor is not listed in the
contractor database, update the database with the new information. In addition to the letter, the
following documents are mailed to the sub contractor:
SUBCONTRACTOR LIST FOR PUBLIC WORKS PROJECTS
Memorandum: Disqualification from Public Works Projects (most current).
Like the prime, subcontractors are also supposed to provide us with a list of subcontractors. These
are referred to as ―second tier subcontractors.‖ As subcontractor lists are received from the subs,
they are processed the same way as the initial letter from the subcontractor.
Attach the letter to the subcontractor list and place it in the project file.
82
PUBLIC WORKS FORMS
REQUEST FOR PUBLIC WORKS IDENTIFYING NUMBER (PWP NUMBER)
NOTICE OF AWARD FOR PUBLIC WORKS PROJECT
NOTIFICATION OF CANCELED/DELAYED PUBLIC WORKS PROJECTS
NOTICE OF COMPLETION FOR PUBLIC WORKS PROJECTS
83
STATE OF NEVADA
Office of the Labor Commissioner
REQUEST FOR PUBLIC WORKS IDENTIFYING NUMBER (PWP NUMBER)
PURSUANT TO NRS 338.013(1)
NRS 338.013(1): public body that advertises for bids for a public work shall request from the Labor
Commissioner, and include in the advertisement, an identifying number with his designation of the work.
That number must be included in any bid submitted in response to the advertisement.
Please supply the following information before advertisement of bids and return the completed form, either
by fax or mail, to the appropriate Labor Commissioner‘s office. A PWP Number will then be assigned and
your form will be faxed back to you, usually within 24 hours.
_______________________
County: _________________________ PWP-
For Commissioner‘s Use Only______
Awarding Body: _______________________________
_______________________________
Address: _____________________________________
City/Zip: ____________________, NV,_____________
Phone: (________)____________________________
Fax: (________)____________________________
Contact Person/Title_____________________________________________
Sender/Title: _____________________________________________
Bid Opening Date: _____________________ Estimated Award Date:_______________
Estimated Cost: $_______________________
Bid/Contract #: ________________________
Project Name: _______________________________________________________
Location: _______________________________________________________
Description: _______________________________________________________
Clark, Esmeralda, Lincoln & Nye Counties: All Other Counties:
Office of Labor Commissioner Office of Labor Commissioner
555 E. Washington Ave, #4100 675 Fairview Drive Suite 226
Las Vegas, NV 89101 Carson City, NV 89701
Phone (702) 486-2652 Phone (775) 687-4850
Fax (702) 486-2660 Fax (775) 687-6409
For Commissioner‘s Use Only
Date Received_________________________ Date Returned_____________________
1
NOTICE OF AWARD FOR PUBLIC WORKS PROJECT
Per NRS 338.013(1), Each public body which awards a contract for any public work shall report its award to
the labor commissioner within 10 days after the award, giving the name and address of each contractor who
will be engaged on the work and the identifying number.
Please supply the following information to the Office of Labor Commissioner by fax or mail within 10 days of
awarding the contract.
Awarding Body: _______________________________________________
_______________________________________________
Address: _______________________________________________
_______________________________________________
Telephone: (________)___________________________________
Identifying Number: PWP-
Project Name/Description:__________________________________________________
_______________________________________________________________________
Project/Contract Manager: ______________________________________
Telephone: (________)_____________________________
Contract Awarded to: __________________________________________________
Mailing Address: _________________________________________________
__________________________________________________
Contact Person: __________________________________________________
Telephone: (________)____________________________
Fax: (________)____________________________
Date Bids Opened:_______________________ Date of Award:____________________
Amount of Contract: ______________________________
Clark, Esmeralda, Lincoln & Nye Counties: All Other Counties:
Office of Labor Commissioner Office of Labor Commissioner
555 E. Washington Ave, #4100 675 Fairview Drive Suite 226
Las Vegas, NV 89101 Carson City, NV 89701
Phone (702) 486-2652 Phone (775) 687-4850
Fax (702) 486-2660 Fax (775) 687-6409
Prepared By: ______________________________________________Date:_______________
2
NOTIFICATION OF CANCELED/DELAYED PUBLIC WORKS PROJECTS
If you have received a PWP Number from the Office Of Labor Commissioner and the project has been
canceled, delayed, or the project name has changed, please complete the following form and return it, by fax
or mail, to our office. Our office will then return this form to you by fax for confirmation of receipt.
Awarding Body: __________________________________________
__________________________________________
Address: __________________________________________
City/Zip: _________________________, NV,_____________
Phone: (__________)_______________________________
Fax: (__________)_______________________________
Contact Person/Title:_________________________________________________
Sender/Title: __________________________________________________
Assigned PWP-_________________________________
Project Name: ___________________________________________________________
The above project has been canceled.
The above project name has been changed. Please make applicable changes below.
The above project has been delayed. Please make applicable changes below.
If it is necessary for our office to assign a new PWP Number, please be sure to change your records
as well.
Bid Opening Date:___________________ Estimated Award Date:_________________
Bid/Contract #:___________________________
Project Name:____________________________________________________________
Your new PWP Number is___________________________________
Clark, Esmeralda, Lincoln & Nye Counties: All Other Counties:
Office of Labor Commissioner Office of Labor Commissioner
555 E. Washington Ave, #4100 675 Fairview Drive Suite 226
Las Vegas, NV 89101 Carson City, NV 89701
Phone (702) 486-2652 Phone (775) 687-4850
Fax (702) 486-2660 Fax (775) 687-6409
For Commissioner‘s Use Only
Date Received_________________________ Date Returned___________________
3
STATE OF NEVADA
Office of the Labor Commissioner
NOTICE OF COMPLETION FOR PUBLIC WORKS PROJECT
Please supply the following information to the Office of the Labor Commissioner by fax or mail, upon
completion of the Public Works Project.
______________________________________________________________________
Identifying PWP Number: ______________ Bid/Contract #: ______________
Project Name: _________________________________________________________
Awarding Body: _________________________________________________________
Address: _________________________________________________________
_________________________________________________________
Contact Person: ________________________________________________________
Telephone: _______________________ Fax: ______________________
Final Contract Amount: _______________ Date of Completion: _______________
Prime Contractor: _________________________________________________
____________________________________________, (―Awarding Body‖) certifies that
1. The above project has been completed to the Awarding Body‘s satisfaction and is being reported to
the Labor Commissioner prior to the final payment of money due the contractor pursuant to NRS
338.013(4);
2. The certified payroll reports of the contractors and subcontractors on this project have been
examined to the extent necessary to assure compliance with the provisions of NRS 338.010 to
338.090, inclusive, and NAC 338.005 to 338.125, inclusive;
3. To the best of my knowledge, the requirements of NRS 338.010 to 338.090, inclusive, and NAC
338.005 to 338.125, inclusive have been met by the contractors and subcontractors; and
4. To the best of my knowledge, there are no outstanding claims, forfeitures or other enforcement
issues regarding the proper payment of prevailing wages on this project.
______________________________________________________________________
Signature Title Date
Clark, Esmeralda, Lincoln & Nye Counties: All Other Counties:
Office of the Labor Commissioner Office of the Labor Commissioner
555 E. Washington Ave., #4100 675 Fairview Drive, Suite 226
Las Vegas, NV 89101 Carson City, NV 89701
Phone: (702) 486-2652 Phone: (775) 687-4850
Fax: (702) 486-2660 Fax: (775) 687-6409
______________________________________________________________________________________
For Commissioner’s Use Only
Date Received: _______________________
Revised 4/03 AA
4
DATABASE DESK REFERENCE FOR PUBLIC WORKS
(LAS VEGAS)
All procedures for Public Works are performed in Microsoft Works.
Opening the Database
1. To open the database, either double click on desktop shortcut.
2. In the alternative:
a. Right click on the start button.
b. Click ―Explore‖.
c. Scroll down on left hand column until you get to the ―S‖ drive.
d. Double click on ‗Labordata_pdc‘(S).
e. Double click ―Angelica&Trish‖.
f. Double click file you wish to open on right hand column.
g. Open Microsoft Works using the instructions given on the first page of this manual.
Assigning a Public Works Project (PWP) Number
1. Double Click ―1openpwp‖.
2. Go to bottom of list where last project was entered.
3. Enter the next PWP# in the sequence.
4. Enter Awarding Body initials.
5. Enter ―Project Name‖ using lower case letters, upper case where needed. If there is a Bid or Contract #,
put # in first, then enter name of project. If project is a school, start with last name, and then add what
the project is.
6. Click ―Save‖ on left side of toolbar.
7. Click ―File‖ again, then ―Save As‖
8. Select ―2openpwp‖ from list or type in at bottom. Enter.
Opening a Project/Prime Contractor File
1. Open Microsoft Works.
2. Double Click ―1openpwp‖.
3. Go to PWP#. Use Control+F to search or scroll until you find it.
4. Using CAPITAL LETTERS, enter the following:
a. Prime Contractor Name
b. Contract Amount
c. Bid Opening Date
d. Award Date
e. Address 1 - Street Number & Street Name
f. Address 2 - City, State & Zip Code
g. Make any necessary changes to project description.
5. Click ―Save‖ on toolbar.
6. Click ―File‖ on left side of toolbar. Select ―Save As‖.
7. Save as ―2openpwp‖. (Select ―2openpwp‖ from list or type in at bottom.)
8. Re-open ―1openpwp‖ to print labels and letters.
9. Click box at far left to each line you have entered award information for.
10. Put labels in printer.
5
11. Click ―File‖ at left side of toolbar. Select ―Open‖.
12. Double click ―Label1".
13. Click ―File‖. Select ―Print Preview‖.
14. ―Preview all marked records?‖ Click ―OK‖. Check to see that everything looks correct.
15. Click ―Print‖. Select ―OK‖.
16. ―Print all marked records?‖ Click ―OK‖. Label will print.
17. Close ―Label1‖. Do not save changes.
18. Put letterhead in printer.
19. Click ―File‖ at left side of toolbar. Select ―Open‖.
20. Double click ―PrimeAward".
21. Scroll down to the bottom of the letter and check to see that sender‘s name and title are correct.
22. Click ―Print‖.
23. ―Print all marked records?‖ Click ―OK‖. Congratulatory letter will print.
24. Close ―PrimeAward‖. Do not save changes.
25. Close ―1openpwp‖.
26. ―Save Changes?‖ Select ―No.‖
Opening Subcontractor Files
1. Open Microsoft Works.
2. Delete anything that may be there from previous work. This information should already have been
saved to ―Listedsubs1‖.
3. Using CAPITAL LETTERS, enter the following information:
a. Contractor Name
b. Address1 - Street Number & Street Name
c. Address2 - City, State & Zip Code
d. PWP #
e. Project Name - Use small letters. (Get project name from label on Prime‘s file)
f. Sub To - This will be whoever the sub is working for.
g. Bid Open Date (Get Bid Open Date from label on Prime‘s file)
4. When all information is entered, use spell check (click ―Tools‖ on toolbar) and save file by clicking
―Save‖ on toolbar.
5.
6. Put letterhead in printer. (Or use plain paper and copy letterhead onto letter using copy machine.)
7. Click ―File‖ at left side of toolbar. Select ―Open‖.
8. Double click ―subaward".
9. Scroll down to bottom of letter to be sure your name and title are correct.
10. Click ―Print‖.
11. ―Print all marked records?‖ Click ―OK‖. Congratulatory letter will print.
12. Close ―Subaward‖. Do not save changes.
13. ―Sublist‖ will still be open.
14. Click ―File‖ at left side of toolbar, select ―Open‖.
15. Double click ―Listedsubs1‖.
16. Go to bottom of page. Put curser in first open box at left side of page under last entry and click. Box
should now be outlined.
17. Click ―Window‖ on toolbar.
18. Click ―Sublist‖.
19. Hi-lite all information in ―Sublist‖ by clicking and dragging curser down over gray numbered area at
left side of screen.
20. Click ―Copy‖ on toolbar.
21. Click ―Window‖ on toolbar.
22. Click ―Listedsubs1‖.
23. Look to see that the empty box under last entry is still outlined.
6
24. Click ―Paste‖ on toolbar. Hi-lited information from ―Sublist‖ should appear.
25. Click ―Save‖ on toolbar.
26. Click ―Record‖ on toolbar.
27. Select ―Sort Records‖.
28. Sort By contractor, then by PWP#.
29. Click ―OK‖.
30. All information should be sorted alphabetically by subcontractor name.
31. Click ―Save‖ on toolbar.
32. Click ―File‖ at left side of toolbar, select ―Save As‖.
33. Save as ―Listedsubs2‖. (Select from list or type in at bottom.)
34. ―File already exists....‖ Click ―Yes‖
35. Close ―Listedsubs2‖.
36. Close ―Sublist.‖
37. ―Save Changes?‖ Yes.
Closing Subcontractors
1. Open Microsoft Works.
2. Double click ―Closedsubs1".
3. Go to bottom of page. Put cursor in first open box at left side of page under last entry and click. Box
should now be outlined.
4. Click ―File‖ at left side of toolbar. Select ―Open‖.
5. Double click ―Listedsubs1".
6. Find subcontractor that you are closing. Use Control + F to search or scroll until you find it.
Subcontractors should be listed alphabetically.
7. Fill in ―Closed‖ date column at far-left side of screen.
8. Highlight entire row of information by clicking gray numbered area at left side of screen.
9. Click ―Copy‖ on toolbar.
10. Click ―Window‖ on toolbar.
11. Click ―Closedsubs1‖.
12. Look to see that the empty box under last entry is still outlined.
13. Click ―Paste‖ on toolbar. Highlighted information from ―Listedsubs1‖ should appear.
14. Click ―Save‖ on toolbar.
15. Click ―Record‖ on toolbar.
16. Select ―Sort Records‖.
17. Sort by contractor, then by PWP#.
18. Click ―OK‖.
19. All information should be sorted alphabetically by subcontractor name.
20. Click ―Save‖ on toolbar.
21. Click ―File‖ at left side of toolbar, select ―Save As‖.
22. Save as ―Closedsubs2‖. (Select from list or type in at bottom.)
23. ―File already exists....‖ Click ―Yes.‖
24. Close ―Closedsubs2‖.
25. ―Listedsubs1" should still be open.
26. Click ―Save‖ on toolbar.
27. Click ―File‖ at left side of toolbar, select ―Save As‖.
28. Save as ―Listedsubs2‖. (Select from list or type in at bottom.)
29. ―File already exists....‖ Click ―Yes.‖
30. Close ―Listedsubs2‖.
Closing Prime Contractor Files
7
1. Open Microsoft Works.
2. Double click ―1closedpwp‖.
3. Find the space where the closed file will go. For example, if you are closing 1999-233, find 1999-234
(or whichever number is the next one showing.) Put your curser in box that says 1999-234 and click
to outline.
4. Click ―Record‖ on toolbar.
5. Choose ―Insert Record‖. You will now have an empty box for your closed project to be entered into.
This box will also be outlined.
6. Click ‗File‖ on toolbar.
7. Click ―Open‖.
8. Double click ―1openpwp‖.
9. Find project that you are closing. Use Control + F to search or scroll until you find it. Projects are
listed in order by PWP Number.
10. Fill in ―Received Notice‖ (this is date completion notice was received) and ―Closed Date‖ (date file
was closed) on far right hand side of screen.
11. Highlight entire row of information by clicking gray numbered area at far left side of screen.
12. Click ―Cut‖ on toolbar.
13. Click ―Window‖ on toolbar.
14. Click ―1closedpwp‖.
15. The empty box that you inserted from step 8 should still be outlined. If not, put your cursor in empty
box and click to outline.
16. Click ―Paste‖ on toolbar.
17. The project you just closed in ―1openpwp‖ should now appear.
18. Click ―Save‖ on toolbar.
19. Click ―File‖ on toolbar, select ―Save As‖.
20. Save as ―2closedpwp‖.
21. ―1openpwp‖ should still be showing.
22. Click ―Save‖ on toolbar.
23. Click ―File‖ on toolbar, select ―Save As‖.
24. Save as ―2openpwp‖.
25. Close file.
Backing Up Files
It is very important to back up the PWP files onto a diskette at least every few nights if not every night.
1. Put PWP Backup Diskette into computer.
2. Right click on ―Start‖ button.
3. Click ―Explore‖.
4. Scroll down left hand column.
5. Double click ―Labordata on Labor_pdc‘(S:)‖.
6. Double click ―Angelica & Trish‖.
7. Move bar up until you can see ―3 ½ Floppy‖.
8. In right hand column, click 1st file at top of list.
9. Hold down shift key.
10. -lite all files in column.
11. Put cursor on highlighted area.
12. While holding down left button on mouse, carefully drag all contents to ―(A:).
13. When ―(A:)‖ appears highlighted, let go of button.
14. Screen will tell you that this information is already on diskette.
15. Click box that says ―Yes to All‖. Files will now be copied to the diskette.
16. When done copying, click ―(C:)‖ in left hand column.
8
17. Close Explorer.
Looking Up a PWP Project
1. Open Microsoft Works.
2. Double click ―1openpwp‖.
3. This is the list of open/current projects. If you look for a project that is not on this list, it may be in
―1closedpwp‖ or 1deletedpwp‖. The closed list is for closed projects that are no longer in this office.
You can see the closed date and tell whether the files would still be in Carson City or if they have
already been purged. The deleted list shows canceled projects, projects that were under
$100,000.00 after bid and projects that had to be assigned new PWP Numbers.
4. You can search list by PWP Number, Awarding Body, General Contractor, Project Name, or Award
Date.
5. Control + F will give you the search screen.
6. Type in what you are looking for, i.e. PWP #, Contractor, and so forth or you can enter a word or two
that you know will be in the Project Name.
7. Click ―OK‖. Screen will show you the first ―Find‖ that matches what you have entered.
8. If it is not what you‘re looking for, do Control + F again until you find what you need. If you think you
found what you‘re looking for on the first try, do Control + F again anyway, just to make sure there are
no other possibilities. Many projects have names that are very similar. If you find two projects with
almost the same name, looking at the award date and general contractor can help you in deciding
which one is right.
9. Schools are always entered using the last name only. If a school contract was awarded before the
name was decided, it is entered by street corners, such as Centennial/Hualapai High School.
10. You can also sort the list by using the tool bar. Click ―Record‖.
11. Click ―Sort Records‖.
12. Choose how you want to sort, such as Awarding Body then by Project Name.‖
13. Click ―OK‖.
14. When you are done searching, click ―File‖ on toolbar.
15. Click ―Close‖.
16. When asked ―Save changes to (file name)? CLICK NO!!! Never save changes after searching or
sorting. The list will never be back to normal again.
9
DATABASE DESK REFERENCE FOR PUBLIC WORKS
(CARSON CITY)
The public works database is maintained in Microsoft Works. Correspondence is generated through
Microsoft Word.
Opening a Public Works Project
1. Double click on the ―Public Works Database‖ shortcut on the computer screen.
2. Go to bottom of the project list to where the last project was entered.
3. Enter the next PWP# in the sequence.
4. Enter the name of the Awarding Body.
5. Enter the name of the project, estimated contract amount and proposed bid and award dates.
6. Click ―Save‖ on the toolbar.
7. Copy the entries for PWP#, Awarding Body, Contractor (this will be blank at this stage) and the project
name.
8. Exit this screen.
9. Double click on the shortcut for ―Public Works Subcontractor Database.‖
10. Go to bottom of the project list to where the last project was entered.
11. Paste in the copied information.
12. Click ―Save‖ on the toolbar.
13. NOTE: For convenience, the database is subdivided by month in order to track the number of PWP #s
issued each month. On the first day of the month, open the database. In the row following the last PWP
project entered in the prior month, type in ―Invalid date‖ in the column for date, then enter the Month and
Year in the awarding body column, for example ―January 2002.‖
Creating a Public Works Project File
1. After receiving a Notice of Award for a public works project, it is necessary to create a file and update the
database.
2. Double click on the ―Public Works Database‖ shortcut on the computer screen.
3. Go to PWP#. Use Control+F to search or scroll until you find it.
4. Add the name of the prime contractor, change the proposed contract amount and bid and award dates to
the actual amount and dates.
5. Click ―Save‖ on the toolbar.
6. Exit this screen.
7. Double click on the shortcut for ―Public Works Subcontractor Database.‖
8. Go to PWP#. Use Control+F to search or scroll until you find it.
9. Using all CAPITAL LETTERS, enter the name of the contractor.
10. Click ―Save‖ on the toolbar.
11. Exit this screen.
Printing Labels and Letters
1. Labels for the file folders can be printed using either the label maker in Microsoft Word or hand
printed on the typewriter. HINT: The typewriter is actually faster.
2. The information that needs to be placed on the label is as follows:
a. PWP #
b. Bid date
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c. Prime contractor
d. Project description
3. Double click on the ―Contractor List‖ shortcut. Find the entry for the contractor. Highlight and copy
the address. If the contractor is not listed, update the list by adding the following information, save
changes when finished:
a. Contractor name
b. Address
c. Contact person
d. Phone
e. Fax
4. Double click on the ―Prime Letter‖ shortcut.
5. Enter the following information in the highlighted fields:
a. Name of contractor
b. Project title
c. Awarding body
d. PWP #
6. Put letterhead in printer.
7. Click ―Print‖. Select ―OK‖.
Opening Subcontractor Files
1. Upon receiving a list of subcontractors, double click on the shortcut for ―Public Works Subcontractor
Database.‖
2. Go to PWP#. Use Control+F to search or scroll until you find it.
3. Enter the subcontractor in the Contractor field under the prime contractor. Use sentence case to
distinguish the sub from the prime. If the subcontractor is a second tier subcontractor (ie. sub of a sub),
use sentence case and indent under the appropriate subcontractor.
4. Copy the PWP # and paste on the line for the subcontractor.
5. Save and exit.
Printing Letters for Subcontractors
1. Double click on the ―Contractor List‖ shortcut. Find the entry for the contractor. Highlight and copy the
address. If the contractor is not listed, update the list by adding the following information, save changes
when finished:
a. Contractor name
b. Address
c. Contact person
d. Phone
e. Fax
2. Double click on the ―Sub Letter‖ shortcut.
3. Enter the following information in the highlighted fields:
a. Name of subcontractor
b. Project title
c. Awarding body
d. PWP #
4. Put letterhead in printer.
5. Click ―Print‖. Select ―OK
Closing Public Works Projects Files
11
1. After receiving a Notice of Completion, double click on the ―Public Works Database‖ shortcut on the
computer screen.
2. Go to PWP#. Use Control+F to search or scroll until you find it.
3. In the closed date field, enter the date that the Completion Notice was received.
4. Save and exit.
Researching the Databases
The databases are organized by PWP # in date order. The fields that can be searched and sorted in both
databases are the PWP #, awarding body and contractor. Both databases can also be searched by project
description, but the usefulness of that search is somewhat limited in value. The Public Works Database can
also be searched and sorted by dollar amount, bid date, award date and closed date. The search function is
straightforward. The sorting function can be used to organize the data for various uses. For example, the
number of contracts a particular contractor has been awarded, the number of contracts awarded during a
particular period of time, the ranges of contract dollar amounts and other useful information can be
determined.
TO FIND AN ENTRY:
1. Double click on either the ―Public Works Database‖ or ―Public Works Subcontractors Database‖
shortcut on the computer screen for the database you wish to search.
2. Use Control+F to initiate the ―Find‖ command.
3. Enter the term being searched for and click ―OK.‖
TO SORT INFORMATION:
1. Double click on either the ―Public Works Database‖ or ―Public Works Subcontractors Database‖
shortcut on the computer screen for the database you wish to search.
2. Select ―Record‖ on the toolbar to get a drop down menu.
3. Select ―Sort Records‖ from the drop down menu. This will open a window called ―First-time Help.‖
4. Select ―OK.‖
a. This will open a screen called ―Sort Records.‖
b. The entries can be sorted by column (―field.‖) The program allows for a three-level search. For
example, to determine how many contracts a contractor received in 2002 that were over
$300,000, you would sort by contractor, award date and contract amount.
5. The ―Sort Records‖ has space for three entries. Each has a drop-down menu.
6. Click on the arrow at the right of each entry box. The first box is marked ―Sort by:‖ The two following
boxes are marked ―Then by:‖ The drop down menu will show a list of the fields that can be sorted.
Highlight the field to be sorted.
7. To the right of each box is a selection marked ―Ascending‖ and ―Descending.‖ Mark the circle that
corresponds to the order in which you want the records listed.
8. Select ―OK.‖ This will sort the database according to your request. CAUTION: USING THIS
FUNCTION WILL COMPLETELY RECONFIGURE THE DATABASE. WHEN FINISHED CLOSE
THE DATABASE. WHEN THE ―SAVE CHANGES?‖ BOX OPENS, CLICK NO.
Printing the Sorted Data
1. NOTE: The Works print function only prints complete pages and will not print selected passages.
2. Click on ―File‖ on the tool bar. From the dropdown menu, select ―Print Preview.‖
3. Click on the ―Zoom‖ icon in the upper right hand corner of the screen to make the database readable.
12
4. Using the ―Next‖ button, scroll down until you find the first entry for the information you want to print.
Note the page number listed in the upper right hand corner. This will be the ―from‖ page number.
5. Continuing scrolling down until you find the last entry for the information you want to print. Note the
page number listed in the upper right hand corner. This will be the ―to‖ page number.
6. Click on ―Cancel.‖ This will take you back to the database.
7. Click on ―File‖ on the tool bar. From the dropdown menu, select ―Print.‖
8. When the print screen comes up, enter the ―from‖ and ―to‖ page numbers.
9. Click on ―Print.‖
Backing-up Files
It is very important to back up the PWP files onto a diskette at least every few nights if not every night.
1. With database open, put the PWP Backup Diskette into the A drive on the computer.
2. Click on ―File‖ on the toolbar.
3. On the dropdown menu, click on ―Save As.‖
4. When the ―Save As‖ screen comes up, click on the down arrow on the ―Save in:‖ dropdown menu.
5. Highlight ―3 ½ Floppy (A:).‖ Click on ―Save.‖
13
CONTRACTOR PREQUALIFICATION CERTIFICATION
(July 15, 2003)
Under the provisions of NRS 338.1375 and 338.1377, state agencies and local governments, respectively,
may set up procedures to prequalify contractors to bid on public works projects. The Office of the Labor
Commissioner is involved in the process based on subsections 3(b) of both statutes which allows the
awarding body to inquire as to whether a contractor has been disqualified by the Labor Commissioner from
bidding on public works projects and the performance history of the applicant on recent, similar public works
contracts.
Inquiries may come from either the awarding bodies or from the contractors. For example, the State Public
Works Board prequalifies contractors in groups on a regular basis. The Public Works Board will submit a
memo with a list of contractors and request any relevant information we may have. The Clark County School
District, on the other hand, requires the contractor to contact us directly. Inquiries may be in writing or come
in over the telephone. A ―written‖ request is required, but they can be received as originals, faxed or e-
mailed requests.
The Administrative Assistant responsible for public works should handle the inquiry. Inquiries received by
other staff members will be forwarded to the responsible Administrative Assistant II for further action. In their
absence, their supervisors can handle the inquiry.
In responding to these inquiries, the Labor Commissioner answers three basic questions. The first is
whether the contractor is currently disqualified from bidding on public works projects or whether they have
been previously disqualified. The second question is whether there is information within the agency related
to the past performance of the contractor. Finally, whether there is any action currently pending.
The Administrative Assistant II will research the matter and determine the appropriate response. In most
cases, the answer to the three questions is ―no.‖ The contractor is not and has not been disqualified, there is
no adverse information related to past performance and there is no action currently pending. In a rare case,
a disqualified contractor might try to prequalify. In these cases, the Administrative Assistant can draft the
responsive memo. These memos are in a standard format and all that needs to be done is to change the
date, the party to whom the memo is directed and the contractor names. Copies of the memo formats can
be found at the end of this procedure. In the cases where additional explanation of the facts and
circumstances surrounding the past history of the contractor is necessary, the information concerning the
contractor will be forwarded to the Deputy Commissioner or Chief Investigator. They will draft the
appropriate response.
First, a determination is made as to whether or not a contractor is currently disqualified from bidding.
Checking the disqualification list that is maintained by the Administrative Assistant III in the Las Vegas office
does this. If a contractor is on the current disqualification list, the inquiry does not need to go any further. If
the request is from an awarding body, use Sample Memo ―A.‖ Rather than listing all of the disqualified
contractors on one memo, draft an individual memo for each disqualified contractor.
If the contractor is not currently disqualified, the next step is to determine whether they have been
disqualified in the past. The Administrative Assistant III in the Las Vegas office maintains a historical list of
disqualified contractors. In the event a contractor appears on this list, the information will be forwarded to
the Deputy Commissioner or Chief Investigator because further explanation may be required. If a case file
concerning the disqualification can be located, this should be forwarded as well.
The next step is to determine whether there is information within the agency related to the past performance
of the contractor. Again, using the State Public Works Board‘s prequalification regulation as an example, this
14
would include information such as the terms of any settlement agreements, orders or decisions entered in
the 5 years immediately preceding the date of the prequalification application. A log listing settlement
agreements, orders and decision will be prepared and made available for reference by the applicable
administrative staff. If the Administrative Assistant II locates an entry on this log for the contractor in
question, the matter will be referred to the Chief Investigator or Deputy Labor Commissioner for a written
response.
The final step is to search the database in the Wage Claim 5s system for any pending wage claims, audits or
public works investigations. The initial search should be by ―Respondent.‖ The search should not be too
restrictive. For example, a search under the name ―D and D Roofing‖ has a higher likelihood of success
than searching ―D and D Roofing and Sheet Metal, Inc.‖ If there are pending claims or public works
investigations listed, go to the claim history and print the claim history.
If there is a file related to the claim or audit available, pull the file and forward the history and file to the
Deputy Commissioner or Chief Investigator for further review and follow up.
After the research has been done, the Administrative Assistant II can use Sample Memos B and C for
contractors that are not and have not been disqualified, there is no adverse information related to past
performance and that do not have any wage claims or complaints pending that, if substantiated, would
indicate willful or egregious violations by the contractor. Memo B is directed towards awarding bodies.
Memo C is directed towards a contractor that is looking for a letter to submit as part of a prequalification
package.
For those contractors that either have claims currently being reviewed or investigated, if there is an indication
of problematic past performance or they have been disqualified in the past, forward all of the information to
either the Deputy Commissioner or Chief Investigator. They will write individualized memos or letters
addressing the particular circumstances concerning the contractor in question.
Sample Memo A
CONTRACTOR IS CURRENTLY DISQUALIFIED
DATE:
FROM: [Administrative Assistant]
TO: [Requesting Agency]
CC:
RE: Pre-Qualification of Bidders – [Date of Review]
We have reviewed our files concerning the contractors on your list of [Date of Request]. The
following contractor is currently disqualified from bidding on public works projects for the time period
indicated.
[Name of Contractor] [License Number] [Period of Disqualification]
If you have any questions, please call me at [Office Phone Number].
Sample Memo B
15
CONTRACTORS ARE NOT DISQUALIFIED
DATE:
FROM: [Administrative Assistant]
TO: [Requesting Agency]
CC:
RE: Pre-Qualification of Bidders – [Date of Review]
We have reviewed our files concerning the contractors on your list of [Date of Request]. None of
the listed contractors listed below are currently disqualified from bidding on public works projects,
nor are there any indications of prior disqualification in our records. There is no action currently
pending against any of the listed contractors and there is no indication of past performance
problems related to this contractor.
[List of Contractors]
If you have any questions, please call me at [Office Phone Number].
Sample Memo C
CONTRACTOR REQUEST
DATE:
FROM: [Administrative Assistant]
TO: [Contractor]
CC:
RE: Pre-Qualification of Bidders - [Date of Review]
We have reviewed our files as of [Date of Review] concerning [Contractor]. The contractor is not
currently disqualified from bidding on public works projects, nor is there any indication of prior
disqualification. There is no action currently pending against the contractor nor is there any
indication of past performance problems related to this contractor.
If you have any questions, please call me at [Office Phone Number].
16
PUBLIC WORKS INVESTIGATIONS AND
DETERMINATIONS
Introduction
The policies and procedures set forth herein concerning public works enforcement encompass the following
possible scenarios:
Claims/Complaints filed with the Office of Labor Commissioner (OLC) and investigated by public
bodies;
Determinations received from public bodies as a result of investigations conducted on their own
initiative; and
Determinations issued by the OLC as a result of investigations conducted on its own initiative or upon
receipt of a complaint.
The purpose of these procedures is to provide for the orderly administration of public works enforcement in
the State of Nevada and to ensure that such administration is consistent with the applicable statutes and
regulations.
Public Works Claims/Complaints Filed w/OLC and
Investigated by Public Bodies
1. A complaint filed with the OLC alleging violations of NRS 338.010 to 338.090, inclusive, and/or NAC
338.005 to 338.125, inclusive, must be in writing. A person filing a complaint alleging violations with
respect to that person must complete a wage claim form and any other supplemental forms required
to ascertain the relevant facts. A person filing a complaint with respect to a person other than the
person filing the complaint must fulfill the requirements for doing so based on the provisions of NAC
338, as amended.
2. A wage claim for prevailing wages is entered into the Wage Claim Database and otherwise handled
in the same manner as non-prevailing wage claims by the designated Administrative Assistant. In
addition to entering the complainant as the "Claimant," the contractor/employer is entered into the
wage claim system as the "Respondent." The public body that owns the project is entered as the
"Investigator." If there are multiple public bodies at issue for a single claimant, the applicable public
body is entered in the wage claim system as the "Investigator" for each project/public body, keeping
in mind that the intent is to monitor investigations by public bodies into claims for prevailing wages or
other public works violations. After entry into the Wage Claim System, the claim will be forwarded to
the appropriate public body for an investigation at the direction of the Deputy Labor Commissioner
("Deputy") or the Chief Investigator ("Chief").
3. A complaint received in the agency from a third party (a party that is neither the affected workman or
the contractor/employer at issue) is first reviewed by either the Deputy or the Chief. The Deputy or
Chief will review the complaint to assess the merits thereof and determine whether to forward the
complaint to the appropriate public body, return the complaint to the complainant for additional
information or cause an investigation to be conducted by the OLC. ( See below for procedure
regarding complaints filed with and investigated by OLC.)
4. If the Deputy or Chief conclude that the complaint merits investigation by a public body, they will
direct the Administrative Assistant to enter the complaint into the wage claim system.
17
5. After reviewing the complaint, finding it meritorious of an investigation and forwarding the complaint to
the appropriate public body for investigation, the Deputy or Chief shall enter information related to the
complaint into the agency's spreadsheet dedicated specifically to monitoring public works
investigations. An entry is to be made for each public body conducting an investigation since the
objective is to monitor the different investigations conducted by public bodies. The Deputy or Chief is
responsible for monitoring the progress and status of the investigation being conducted by the public
body and shall provide assistance to the public body as may be necessary to ensure the prompt,
efficient handling of the investigation. As well, the Deputy or Chief may refer the public body to the
"General Guidelines for Public Bodies" publication to aid the public body in making determinations of
possible violations.
6. If a complaint is received and reviewed by the Deputy or Chief and subsequently found to not merit
forwarding for investigation, the Deputy or Chief shall notify the complainant in writing of their
decision and the reasons therefor.
7. Once a public body has concluded its investigation and issued a Determination to the OLC and the
other required parties, the Deputy or Chief shall be responsible for maintaining an organized file of
the initial complaint, Determination and any objections filed in connection with the matter. It is the
responsibility of the Deputy or Chief to ensure that the documents contained in the file are organized,
legible, complete and legally sufficient pursuant to the requirements of NAC 338, especially in the
case of the Determination issued by the public body. If the Determination issued by the public is
incomplete, inadequate or otherwise not in conformance with NAC 338.110, it is the responsibility of
the Deputy or Chief to return the Determination to the public body for additional information,
clarification and so forth.
8. Based on the contents of the file, the Deputy shall draft for the review and approval of the
Commissioner an order affirming, modifying, returning or scheduling for hearing the matter that is the
subject of the Determination. The Chief shall prepare a brief summary memorandum to the
Commissioner for his review and action summarizing the initial complaint, the determination issued,
any objections filed in the matter and any recommendations the Chief may have concerning the
matter.
NOTE: The rationale for the different handling of the investigations/determinations by the Deputy and
Chief respectively is based on position locations and other logistical reasons. Currently, the Labor
Commissioner is based in the Las Vegas office along with the Chief Investigator position. Since the
Chief position is responsible for monitoring public works investigations for the Las Vegas office, the
Labor Commissioner has access to and opportunity for review of the various documents filed and
maintained by the Chief (i.e. complaint, determinations, objections, etc.) prior to taking any action
required pursuant to NAC 338.112. The Deputy position however is currently based in Carson City
and is thus responsible for monitoring public works investigations and maintaining investigations files
there related to Carson City and surrounding locales. As opposed to the Deputy shipping the various
investigation files to the Commissioner for review and the required action(s), the Deputy drafts an
order on behalf of the Commissioner based on the contents of the investigation files and forwards
such drafts to the Commissioner for review and approval prior to their issuance.
9. Once the Commissioner has affirmed, modified, returned or scheduled for administrative hearing the
Determination filed, he will promptly notify the Deputy or Chief accordingly. Thereafter, the Deputy or
Chief shall monitor the matter as necessary to ensure any stated directives are satisfied. Once a
Determination has reached its full legal conclusion it is the responsibility of the Deputy or Chief to
cause the initial complaint entered into the agency's database to be recorded as "Closed."
Additionally, the Deputy or Chief shall submit monthly a log of public works investigations brought to
closure over the course of any given month.
18
(NOTE: During the course of any given month, the Commissioner may request and review the
spreadsheets maintained by the Deputy or Chief for the purposes of determining agency caseload,
progress or issues related to public works investigations/enforcement, etc...)
Determinations Received from Public Bodies
1. Upon receipt of a Determination issued by a public body as a result of an investigation initiated and
conducted by the public body on its own initiative, after review by and at the direction of either the
Deputy or Chief, the Administrative Assistant responsible for making entries into the agency's
complaint database shall enter the Determination as an "Audit," create a file for the Determination
and forward such file to the Deputy or Chief to monitor/maintain.
2. The Deputy or Chief shall enter the appropriate information related to the Determination into the
agency's spreadsheet for monitoring public works investigations and Determinations.
3. The Deputy or Chief shall review the Determination for completeness and to otherwise ensure
compliance with NAC 338.110 concerning Determinations filed by public bodies, including the proper
service thereof. If the Determination is incomplete, insufficient or otherwise not in compliance with the
NAC 338.110, it is the responsibility of the Deputy or Chief to return the Determination to the public
body for additional information, clarification and so forth.
4. After the time period has passed for filing an objection to the Determination, the Deputy or Chief will
gather all information received related to the Determination for placement into the file created
pursuant to paragraph 1 above. Based on the contents of the file, the Deputy shall draft for the review
and approval of the Commissioner an order affirming, modifying, returning or scheduling for hearing
the matter that is the subject of the Determination. The Chief shall prepare a brief summary
memorandum summarizing the initial complaint, if any, the determination issued and any objections
filed in the matter and forward the summary memorandum and file to the Commissioner for review
and action.
5. Once the Commissioner has affirmed, modified, returned or scheduled for administrative hearing the
Determination filed, he will promptly notify the Deputy or Chief accordingly. Thereafter, the Deputy or
Chief shall monitor the matter as necessary to ensure any stated directives are satisfied. Once a
Determination has reached its full legal conclusion it is the responsibility of the Deputy or Chief to
cause the initial complaint entered into the agency's database to be recorded as "Closed."
Additionally, the Deputy or Chief shall submit monthly a log of public works investigations brought to
closure over the course of any given month.
Determinations issued by OLC
1. Prior to issuing a Determination finding violations of NRS 338.010 to 338.070, inclusive, or NAC
338.005 to NAC 338.125, inclusive, if there is reason to believe that workmen engaged on public
works are owed additional wages, the OLC may require, through written notice, a public body to
withhold from payments due the contractor the amounts the OLC believes is due and owing. (See
NRS 338.515)
2. Upon receipt of a complaint or otherwise initiating an investigation into possible violations of NRS
338.010 to 338.070, inclusive, or NAC 338.005 to NAC 338.125, inclusive, the Deputy or Chief will
open an investigative file concerning such possible violations, including the appropriate entries into
the agency's complaint database and the applicable spreadsheet maintained by the Deputy or Chief
for monitoring public works investigations.
19
3. The Deputy or Chief may conduct the investigation into possible violations themselves or they may
assign such investigations to another member of the OLC staff to work under the direction and
supervision of the Deputy or Chief in the conduct of the investigation.
4. Upon conclusion of the investigation, a Determination may be issued by the OLC. A Determination
issued must conform with the requirements of NAC 338.114 and otherwise include, without limitation,
findings that are based on substantial evidence, computations of any wages due and any proposed
forfeitures, penalties or periods of disqualification.
5. Unless otherwise directed by the Commissioner, the Determination issued by the OLC shall be
forwarded to the Commissioner, who shall cause the Determination to be served upon the parties
through regular mail.
6. In addition to the persons required to be served pursuant to NAC 338.114, a copy of a Determination
issued by the OLC shall be served upon the public body that awarded the public works contract(s) at
issue if the Determination found instances of underpayment and directions are given therein to the
public body to withhold the amounts believed to be due and owing.
7. The remaining provisions of NAC 338.114 shall apply with regards to the handling and disposition of
any Determination issued by the OLC.
20
PRIVATE EMPLOYMENT AGENCIES
21
MISCELLANEOUS PROCEDURES
22
RESPONDING TO SUBPOENAS FOR PUBLIC RECORDS
(March 28, 2003)
Parties engaged in lawsuits regularly serve us with requests for public records. They will request records by
subpoenas. The agency ―Records Custodians‖ are the Deputy Commissioner in Carson City and the
Administrative Assistant III in Las Vegas.
Search the records by looking in the computer programs for any and all names given for which information is
requested. Search the new wage claim program and then search the old system open wage claims, closed
97, closed 98, closed 99, bankruptcy, bad check and DA files. Anything closed prior to three years ago will
have been purged in accordance with our record retention schedule. Be sure to check with the other office
to see if they have any records.
Make note of any and all reference to the names for which the search is being made. Pull the file folder(s) for
copying. Confirm with the Deputy Commissioner or Chief Investigator concerning what should or should not
be included in the copies. Make copies of all appropriate documents. Confirm that the copying was
accurate and that all copies have been made. You will be signing ―That this deponent has examined
the original of those records/information/files and has made a true and exact copy of them, and that the
production of same attached hereto is true and complete.‖
If the files from Las Vegas have been moved to Carson City for storage, contact the Carson City office.
Depending on the need, the files can be retrieved and returned to Las Vegas, appropriate copies can be
made and forwarded or, if all of the records are in Carson City, the Deputy Commissioner can handle the
request.
Complete a Certificate of Records Custodian in accordance with the findings. If no records are found, the
certificate must so state.
Be sure to respond in a timely fashion and in accordance with the directions of the subpoena to avoid being
in contempt of court and liable for losses, damages and forfeiture of funds.
CERTIFICATE OF RECORDS CUSTODIAN
23
SECTION IV
INTERNAL OPERATIONS
MANAGEMENT
Section III Internal Operations Management concerns the policies and procedures necessary for the Office of
the Labor Commissioner to manage the day to day operations of the agency. The areas covered by these
procedures include the business management functions, including the Integrated Financial System (IFS),
personnel, supervisory control, internal communications, assessments, internal controls and auditing
procedures and those other activities necessary for the effective and efficient management of the agency.
24
INTEGRATED FINANCIAL SYSTEM (IFS)
The procedures contained in this document were specifically written to address the first phase in
implementing the on-line entry of financial documents into the Integrated Financial System. Budget
Accounts included within these procedures include 3900 (Labor Relations), 6241 (Private Employment
Agency Bonds), 6243 (Excess Trust Fund) and 9999 (Private Employment Agency Registrations.) These
procedures are incorporated into the existing internal control system of the Office of the Labor
Commissioner. The Labor Commissioner maintains two offices; one in Carson City and the other in Las
Vegas. The primary responsibility for revenue, payment and purchasing is with the Carson City office. Staff
in the Carson City office has Level 2-approval authority. If necessary, the Las Vegas staff can make
deposits, generate payment vouchers and initiate purchases. Only Level 2 approval is available in the Las
Vegas office. All Level 3 approvals are applied in the Carson City office.
REVENUE
The Office of the Labor Commissioner receives revenues in the form of cash, checks, money orders and
other types of instruments. Generally, the revenues are either deposited with the Treasurer‘s Office or
placed into the agency‘s NRS 607.170 Trust Funds for payment to individuals for wage claims. In addition,
the agency receives checks payable to the Highway Patrol for background checks and instruments that
serve as cash bonds for private employment agencies and producer/promoter licensees. This section deals
only with those revenues that are deposited with the Treasurer. As a practical matter, the Carson City office
handles virtually all of these funds. Provisions for revenue that is received, but not deposited with the
Treasurer are addressed separately.
Revenue that is deposited into the state general fund through the Treasurer includes annual fees for private
employment agencies, administrative fines and penalties and miscellaneous revenue such as photocopy
fees. Cash bonds from producer/promoters and private employment agencies and excess funds from the
607.170 trust funds are also deposited with the Treasurer, but are held in trust for eventual return to the
bonded business, disbursement to wage claimants or, in some cases, transfer to the Unclaimed Property
Division.
The purpose of this section is to document the process to be followed from the point of receipt, entry into the
appropriate information systems, deposit into the appropriate bank accounts and reconciliation and audit.
Each step is identified with a specific staff position with attention to proper levels of internal control and
segregation of duties. Most of the funds received by the Labor Commissioner are delivered via regular mail
by the State mailroom or US Postal Service. The State mailroom delivers twice daily, once in the morning
and once in the afternoon. The Postal Service delivers in the late morning. Payments are also received
directly over the counter or by the Investigators in the field.
The primary responsibility for the initial intake of the revenue is with an Administrative Assistant II (0005) in
Carson City and by the Chief Assistant (0003) in Las Vegas. The intake is consistent with their
responsibilities for opening the agency‘s mail. The mail is opened and stamped in. With the exception of the
checks made payable to the Highway Patrol, checks are segregated and restrictively endorsed for deposit
into the proper account. If checks or cash are received in the field or over the counter, a prenumbered
receipt is issued to the payer. The revenue and a copy of the receipt are turned over to either the
Administrative Assistant II (0005) or Chief Assistant (0003) as soon as possible.
The Office Manager (0002) in Carson City and the Chief Investigator (0010) in Las Vegas issue the receipt
books. The receipt books are issued to and signed out by each Investigator for use in the field and by the
Administrative Assistant III (0009) in Las Vegas and Administrative Assistant II (0005) in Carson City for use
25
at the front desk. The Office Manager (0002) and the Chief Investigator (0010) keep the unissued receipt
books and sign out sheets in a locked cabinet in their respective offices.
After receiving the funds, the Administrative Assistant II (0005) and Chief Assistant (0003) record the
revenue on an Excel spreadsheet established as a Cash Receipts Log. The Log is kept on the agency
server and is accessible only to the Administrative Assistant II (0005) or Chief Assistant (0003). The
following information is entered into the Log during the intake process:
Date
Received from (Payer)
Payee
Account
Cash Amount
Receipt Number
Check/Money Order Amount
Check/Money Order Number
Remarks
The checks and any cash received are given to the Office Manager (0002) in Carson City or the Chief
Assistant (0003) in Las Vegas and placed into the office safe or a locked filing cabinet until such time as a
bank deposit is made. Private employment agency checks and checks payable to the Highway Patrol
received in the Las Vegas office are forwarded by interoffice mail to the Office Manager (0002) in Carson
City for further processing and deposit after endorsement and logging. All other revenue received in Las
Vegas is deposited locally.
For all revenue received that involves private employment agencies, the Office Manager (0002) fills out a
prenumbered receipt for the payer. A copy of the check and receipt is placed in the Client File in the Carson
City office. The Office Manager (0002) records private employment agency bonds in an internal PEA Bond
Log and entered into an Excel spreadsheet.
Deposits are made at least twice weekly. In the event the amount on hand exceeds $10,000, the deposit is
made that day. Deposits may be made more frequently. For example, if there is any revenue on hand, the
Las Vegas office generally makes daily deposits regardless of the amount. For the purpose of determining
whether to make a deposit, all revenue is considered.
When it is time to make the deposit, the revenue is removed from safekeeping by the Office Manager (0002)
and the Chief Assistant (0003) and is given to the Administrative Assistant II (0016) in Carson City and
(0004) in Las Vegas. These two positions are responsible for preparing the bank deposit tickets. The
deposit ticket is verified and initialed by the person filling out the deposit slip and the person making the
deposit at the bank. The Deputy Commissioner (0006) in Carson City and the Chief Investigator (0010) in
Las Vegas make the bank deposits for their respective offices. They may make the deposits personally or
designate another staff member to make the deposit. After the deposit is made, the person making the
deposit gives the bank receipt and copy of the deposit ticket to the Administrative Assistant II (0005) and the
Chief Assistant (0002). They update their Cash Receipts Log by entering the deposit date for each check
deposited from the deposit receipt.
A copy of the deposit receipt is forwarded to the Administrative Assistant II (0016) in Carson City. A CR
Input form is filled out for each deposit using the information on the bank deposit receipt. A CR is then
created in Advantage. The bank deposit receipt, Input form and CR are reviewed and approved by the
Office Manager (0002). Upon approval, the Administrative Assistant II (0016) schedules the CR for
processing in Advantage. The Input form and the copy of the deposit receipt are then placed in the Audit
File.
26
The following business day, the Office Manager (0002) checks the CR through the IFS/Advantage and
DAWN systems to verify whether or not the deposit was successfully transmitted. The Transaction Detail
Report from DAWN is printed and attached to the Input form and deposit receipt in the Audit File.
At the end of each month, the Audit File and a copy of the Cash Receipts Log for that month are forwarded
to the Auditor (0012) in Las Vegas. This information reconciled against the bank statement and Budget
Status Report. Any receipt books that have been completed are also forwarded to the Auditor (0012) to be
reviewed for unaccounted for receipts. Any discrepancies are forwarded to the Office Manager (0002) for
corrective action.
Special Provisions Relating to the NRS 607.170 Trust Fund
Payments that have been received as a result of a wage and hour or prevailing wage investigation are held
in trust at the Bank of America for the benefit of the workers for whom the payments have been collected.
There is one account maintained at the Bank of America in Las Vegas for this purpose. The account
includes an ACH Block to protect against unauthorized withdrawals. At the present time, the Labor
Commissioner is authorized to maintain a balance of no more than $75,000 for each office in this account. If
the balance in the account exceeds $150,000, then the excess is transferred to the State Treasurer. The
funds are accounted for in Appropriation Unit 6243.
Because the deposit books only contain an original and one copy of the deposit ticket, the Administrative
Assistant II (0016) filling out the deposit ticket in the Carson City office needs to make a photocopy of the
deposit ticket. The copy will be forwarded to the Auditor (0012) in Las Vegas for the monthly reconciliation.
The Auditor (0012) balances the trust fund checking account. When the Auditor (0012) detects that a
balance has exceeded $150,000, he notifies the Administrative Assistant II (0004 in Las Vegas). A check in
the amount of the excess and payable to the State Treasurer is generated from the trust fund account to be
deposited with the Treasurer. Once the check has been issued, it is forwarded to the Chief Assistant (0002)
for logging and then treated like any other cash receipt.
PURCHASING
All purchases must be approved in advance by the Labor Commissioner with the order placed by either the
Office Manager in Carson City (0002) or, in the case of the Las Vegas office, the Chief Assistant (0003).
Purchases under $500 that do not require prior approval by another agency, such as DoIT, are made either
with a credit card or directly from the vendor. Purchases under $500 are initiated using a Purchase Approval
Request form. All purchases over $500 are made utilizing a Purchase Requisition (RX.)
Direct Purchases
Once authorization to make a purchase has been received, the Office Manager (0002) reviews the Purchase
Approval Request form and verifies that sufficient funding and budget authority are present by reviewing the
Budget Status Report and enters the proposed expenditure on an internal Expenditure Report. Either the
Office Manager (0002) in Carson City or the Chief Assistant (0003) in Las Vegas then makes the purchase
over-the-counter from the vendor. Since possession is taken at the time the items are purchased,
verification that the correct items and quantities were purchased is made contemporaneously with the
purchase.
At the time the purchase is returned to the office, receipts, invoices and any other documentation related to
the purchase are attached to the Purchase Approval Request form. This information is forwarded to the
Administrative Assistant II (0016) in Carson City or the Administrative Assistant III (0009) in Las Vegas. The
27
Administrative Assistant II (0016) in Carson City or the Administrative Assistant III (0009) in Las Vegas then
generates a Payment Voucher (PV) in the Advantage system. They then apply Level 3 approval, print a
copy of the PV, initial and date the PV and forward the PV, Purchase Approval Request and back-up
documents to the Office Manager (0002).
The Office Manager (0002) reviews the PV and Purchase Approval Request and back-up documents using
the Pre-Audit Checklist. When completed, the Office Manager (0002) initials and dates the Pre-Audit
Checklist, enters the information into the internal Expenditure Report and applies Level 4 approval. The
copy of the PV and the receipt are placed in the purchases pending file until a statement verifying payment is
received from the vendor. At that time, the Office Manager (0002) compares the statement to the PV,
Purchase Approval Request and back-up documents and internal Expenditure Report. If there are any
discrepancies, the Office Manager (0002) contacts the vendor and resolves the billing problem.
On a monthly basis, the PV and supporting documents are forwarded to the Auditor (0023) in Las Vegas.
The Auditor (0023) reconciles these documents to the Budget Status Report. If there are any discrepancies,
the Auditor (0023) contacts the Office Manager (0002) and resolves the problem.
Purchases: State Purchase Requisition Required
Once authorization to make a purchase has been received, the Office Manager (0002) verifies that sufficient
funding and budget authority are present by reviewing the Budget Status Report and enters the proposed
expenditure on an internal Expenditure Report.
The Administrative Assistant II (0016) in Carson City or the Administrative Assistant III (0009) in Las Vegas
prepares an On-line Purchase Approval (OLPA) form. The form is reviewed and approved by the Office
Manager (0002) using the Pre-audit Checklist and, if other agency pre-approval is required (DoIT, Budget
Division) the form is forwarded to the agency for review and approval. Once the approvals have been made,
the Administrative Assistant II (0016) in Carson City or the Administrative Assistant III (0009) in Las Vegas
creates an RX document in Advantage and applies Level 2 approval. A screen print copy of the RX is
attached to the OLPA and forwarded to the Office Manager (0002). The Office Manager (0002) enters the
information onto the internal Expenditure Report, initials and dates the RX, places it in the purchases
pending file and applies Level 3 approval.
Upon receiving the merchandise, the Administrative Assistant II (0016) in Carson City or the Administrative
Assistant III (0009) in Las Vegas ensures that the order is correct by comparing the packing slip and any
other documentation received with the order to the OLPA and RX and enters the information into Advantage.
The Administrative Assistant II (0016) in Carson City or the Administrative Assistant III (0009) in Las Vegas
next creates a Receiver document (RC) in Advantage and enters Level 2 approval. A screen print of the RC
is made, initialed and dated and, along with any packing slips attached to the OLPA and RX and forwarded
to the Office Manager (0002). The Office Manager reviews the documents using the Pre-Audit Checklist. If
all of the information is correct, the Office Manager initials and dates the RC, applies Level 3 approval and
returns the documents to the purchase pending file. Otherwise, the documents are returned to the
Administrative Assistant II (0016) in Carson City or the Administrative Assistant III (0009) in Las Vegas for
correction. Once the documentation is correct, the documents are returned to the Purchase Pending file
until State Purchasing has created a PV.
On a weekly and monthly basis, the Office Manager (0002) compares and reconciles the PV to the internal
Expenditure Report and the Budget Status Report. Once the PV has been reconciled, the file is initialed and
dated and placed in the appropriate permanent budget file. On a monthly basis, the PV and supporting
documents are forwarded to the Auditor (0023) in Las Vegas. The Auditor (0023) reconciles these
documents to the Budget Status Report. If there are any discrepancies, the Auditor (0023) contacts the
Office Manager (0002) and resolves the problem.
28
If the merchandise requires a property tag from Purchasing, the tag number, location code and serial number
are noted in the documentation package and the tag affixed to the property by the Administrative Assistant II
(0016) in Carson City or the Administrative Assistant III (0009) in Las Vegas.
ACCOUNTS PAYABLE
All requests for payment from non-state agencies are routed to the Office Manager (0002) when received.
The Office Manager (0002) gives the invoice; the documents from the Purchase Pending file and a Payment
Voucher (PV) cover sheet to the Administrative Assistant II (0016). The Administrative Assistant II (0016)
completes the PV cover sheet, creates a Payment Voucher in Advantage, dates and initials the PV cover
sheet and applies Level 3 approval. The file is then forwarded to the Office Manager (0002) uses the Pre-
Audit checklist to review the PV and supporting documentation and updates the internal Expenditure Report.
If a correction is needed, the file is returned to the Administrative Assistant II (0016). Once the information is
correct, the Office Manager dates and initials the PV cover sheet, applies Level 4 approval and returns the
file to the Purchase Pending file.
On a weekly and monthly basis, the Office Manager (0002) compares and reconciles the purchases to the
internal Expenditure Report and the Budget Status Report. Once the purchase has been reconciled, the file
is initialed and dated and placed in the appropriate permanent budget file. The internal Expenditure Report
is forwarded to the Auditor (0023) on a monthly basis for review and reconciliation to the Budget Status
Report. The Auditor (0023), in turn, reports the results to the Labor Commissioner (0001).
Special Provisions Relating to the NRS 607.170 Trust Fund
There are two circumstances whereby funds in the need to be transferred from Budget Account 6243 to the
NRS 607.170 Trust Fund Accounts. The first is when funds available in the trust funds are insufficient to pay
the claims. The second is when it is necessary to move the trust funds to the Unclaimed Property Division.
Trust fund payments to wage claimants are subject to a fifteen day waiting period between the time the funds
are received at the Office of the Labor Commissioner and the time the funds become available to the
claimant. This enables the Office of the Labor Commissioner to gauge funding requirements for wage claims
with at least two weeks advance notice. In the event the Auditor (0012) identifies that insufficient funds are
available in the trust fund to pay the wage claimants, a payment to the Office of the Labor Commissioner is
generated utilizing the process for Accounts Payable set forth above. These funds are placed into the trust
account.
Each year in October, the Administrative Assistant IIs responsible for the trust accounts (0016 in Carson
City, 0004 in Las Vegas) conduct an inventory of unpaid wage claims. The claims that have been unclaimed
for one year or more are identified and reported to the Auditor (0012). The Auditor generates a Report of
Unclaimed Property and attaches a detailed unclaimed property listing. The report is forwarded to the Labor
Commissioner (0001) for review and approval. Once the report is approved, the Auditor (0012) places a
copy in the Unclaimed Property File and the report is forwarded to the Office Manager (0002) in Carson City.
Once received, the process for Accounts Payable is utilized to generate a check to transfer the funds to the
Unclaimed Property Division. If there are not enough funds in the are insufficient funds in Budget Account
6243 to cover the amount that needs to be transferred to Unclaimed Property, the amount needed to make
up the difference is transferred from the trust funds to Budget Account 6243 using the process set forth in the
Revenue section above.
DECENTRALIZED JOURNAL VOUCHERS (JVD)
29
Decentralized Journal Vouchers (JVD) represent fund transfers among and between general ledger numbers
within the agency budget categories. They allow agencies to make changes and corrections to transactions
previously posted in the ADVANTAGE system. The changes include the reallocations of monies among
general ledger accounts and clerical or account coding corrections.
Generally, either the Labor Commissioner (0001) or the Office Manager (0002) will initiate JVDs. This would
most often occur when the Commissioner would like to revise the way in which funds are allocated within a
category of if the Office Manager believes that a change or correction is necessary during the regular review
of the budget status reports. Only the Labor Commissioner may authorize the reallocation of monies.
The Office Manager can make changes as necessary to correct clerical or coding errors.
Once a JVD has been authorized, the Office Manager will verify that there are available funds and sufficient
budgetary authority to make the change. If funds or budget authority are insufficient, the Business Manager
will notify the Commissioner and await further direction. If funds and budget authority are sufficient to make
the change or correction, the Office manager will complete a JVD input form. The input form and a blank
Pre-Audit Checklist are attached to the back-up information and forwarded to the Administrative Assistant II
(0016).
The JVD is created in ADVANTAGE by the Administrative Assistant II from the information on the input form.
Once the information has been entered, the Administrative Assistant II applies Level 3 approval. The
Administrative Assistant initials and dates the input form and returns it and the associated back-up
documentation to the Office Manager for review.
The Office Manager reviews the on-line JVD and fills out the Pre-Audit Checklist. If any of the information is
incorrect, the Business Manager will note the errors on the input form and return it to the Administrative
Assistant II for correction. When the review is complete and the entry correct, the Office Manager applies
Level 4 approval. The office manager then initials and dates the input form. The information is also entered
into the internal Expenditure Report. The documentation is placed in the Purchase pending file. The
following day, the Office Manager checks DAWN to confirm that the transfer has been completed.
The JVDs are reconciled against the internal Expenditure Report and the Budget Status Report by the Office
Manager on a weekly and monthly basis. The internal Expenditure Report is forwarded to the Auditor (0012)
on a monthly basis for review and reconciliation to the Budget Status Report. Upon completing the review,
the Auditor signs and dates the reconciliation and reports the result to the labor Commissioner.
BILLING CLAIMS (BC)
Billing Claims (BC) represent fund transfers between agencies for purchases or services rendered.
Billing claims (Form A-1) are generally received from a billing agency. Some agencies, such as the
Legislative Counsel Bureau, will issue invoices rather than BC. If that is the case, we will fill out the
Form A-1. The Office Manager (0002) will contact the billing agency for the proper coding
information. Once completed, a copy of the completed BC will be faxed to the billing agency.
A BC can result from orders placed by our office or come directly from a billing agency as a
recurring monthly expense, such as the monthly bill from the Department of Information
Technology. Items ordered by the agency are pre-approved, documented and purchased
according to standard agency purchasing practices.
30
Upon receipt, the Office Manager compares the information on the BC to the original back-up
documentation in the Purchases Pending file and information previously entered into the internal
Expenditure Report. If the BC is incorrect, the Office Manager contacts the billing agency to resolve
the problem. Once the BC is correct, the Office Manager completes the receiving agency portion of
the BC and ensures that the information is accurate and the BC properly coded. When completed,
the Office Manager signs and dates the BC, attaches the pink copy to the back-up documents and
places the documents back into the Purchases Pending file. The white copy is forwarded to the
Controller‘s Office for processing.
The BCs are reconciled against the internal Expenditure Report and the Budget Status Report by the Office
Manager on a weekly and monthly basis. The internal Expenditure Report is forwarded to the Auditor (0012)
on a monthly basis for review and reconciliation to the Budget Status Report. Upon completing the review,
the Auditor signs and dates the reconciliation and reports the results to the Labor Commissioner (0001).
If, at a later date, an overcharge is detected, the correction is made by using the same process with the
billing and receiving agencies reversing roles.
BUDGET TRACKING
In order to maintain control of the agency‘s financial condition, the agency maintains an internal Expenditure
Report. As indicated in each of the functional areas, the agency maintains the internal Expenditure Report to
keep constant track of the agency‘s financial condition. The Office Manager (0002) enters all revenue,
purchasing, accounts payable, journal vouchers and billing claims into the internal Expenditure Report when
the transaction is authorized. The system tracks budget authority against expenditures and uses a declining
balance for all general ledger numbers. This method allows the Office Manager (0002) to determine whether
adequate budget authority exists for each item. The internal Expenditure Report is reconciled to the Budget
Status Report on a weekly and monthly basis by the Office Manager (0002.) On a monthly basis, the Office
Manager (0002) also forwards the internal Expenditure Report and Budget Status Report to the Auditor
(0012) for review. Upon completing the review, the Auditor (0012) shall sign and date the review and
forward it to the Labor Commissioner (0001) for review. Upon completing the review, the Labor
Commissioner (0001) shall initial and date the review.
POST AUDIT
The Chief Investigator (0010) will conduct independent Post Audits on a quarterly basis. The projected
number of documents to be tested in each category is as follows:
Deposits (CR) 3
Purchase Requisition (RX) 1
Purchase Receiver (RC) 1
Payment Voucher (PV) 5
Travel Claim, in state 5
Travel Claim, out of state 1
Billing Claims (BC) 2
Journal Voucher (JV) 1
The Chief Investigator (0010) will provide the Office Manager (0002) with a list of the items to be tested. The
Office Manager (0002) will forward those items to the Chief Investigator (0010). A Post Audit Checklist will
be completed for each item tested. If the actual number of documents tested is less than the projected
31
number or if no documents for that category were processed during the quarter, a note to that effect will be
included. All ―No‖ answers (findings) will be narrated. The Chief Investigator (0010) will sign, date and
forward the completed Audit to the Labor Commissioner (0001) for review and approval. After approval, the
Labor Commissioner (0001) will initial and date the completed Audit and forward it to the Office Manager
(0002) to be maintained in the permanent audit file.
In the event there are any audit findings, the Chief Investigator (0010), Office Manager (0002) and Deputy
Commissioner (0006) will develop a corrective action plan and timetable to address each finding. The
corrective action plan will be completed within 10 working days and submitted to the Labor Commissioner
(0001) for review and approval. Once approved, the plan is signed, dated and placed in the permanent audit
file.
RECORDS RETENTION
RDA number Description Retention Period
98079 Audit Records Three (3) years
95056 Budget Files Three (3) years
BACK-UP PLAN BY POSITION
(CARSON CITY)
Mail Opening and Distribution Administrative Assistant II (0005)
Mail Opening and Distribution, back up Office Manager (0002)
Check Endorsement/Logging Administrative Assistant II (0005)
Check Endorsement/Logging back up Office Manager (0002)
Revenue Entry (CR), Bank Deposit Administrative Assistant II (0016)
Revenue Entry, Bank Deposit back up Administrative Assistant II (0005)
Revenue Entry Review Office Manager (0002)
Revenue Entry Review, back up Deputy Commissioner (0006)
Take deposit to bank Deputy Commissioner (0006)
Take deposit to bank, back up Administrative Assistant II (0005)
Check Log Reconciliation Auditor (0012)
Check Log Reconciliation, back up Deputy Commissioner (0006)
OLPA, RC Level 2 Approval Administrative Assistant II (0016)
OLPA, RC Level 2 Approval back up Administrative Assistant II (0005)
OLPA, RC Level 3 Approval Office Manager (0002)
OLPA, RC Level 3 Approval back up Deputy Commissioner (0006)
RX Level 2 Approval Administrative Assistant II (0016)
RX, RC Level 2 Approval back up Administrative Assistant (0005)
RX Level 3 Approval Office Manager (0002)
RX Level 3 Approval back up Deputy Commissioner (0006)
PV, Level 3 Approval Administrative Assistant II (0016)
PV, Level 3 Approval back up Administrative Assistant II (0005)
PV, Level 4 Approval Office Manager (0002)
PV, Level 4 Approval back up Deputy Commissioner (0006)
BACK-UP PLAN BY POSITION (LAS VEGAS)
Mail Opening and Distribution Chief Assistant (0003)
32
Mail Opening and Distribution, back up Administrative Assistant III (0009)
Check Endorsement/Logging Chief Assistant (0003)
Check Endorsement/Logging back up Administrative Assistant III (0009)
Revenue Entry (CR), Bank Deposit Administrative Assistant II (0004)
Revenue Entry, Bank Deposit back up Administrative Assistant III (0009)
Revenue Entry Review Chief Investigator (0010)
Revenue Entry Review, back up Auditor (0023)
Take deposit to bank Chief Investigator (0010)
Take deposit to bank, back up Other Investigators as assigned
OLPA, RC Level 2 Approval Administrative Assistant III (0009)
OLPA, RC Level 2 Approval back up Chief Assistant (0003)
RX Level 2 Approval Administrative Assistant III (0009)
RX, RC Level 2 Approval back up Chief Assistant (0003)
Monthly Reconciliation Auditor (0012)
Monthly Reconciliation, back up Chief Assistant (0003)
Post Audit Chief Investigator (0010)
Post Audit, back up Labor Commissioner (0001)
NOTES:
1) Purchases may be originated in either Carson City or Las Vegas, but Level 3 approval is done in the
Carson City office.
2) All vendor payments are originated approved in the Carson City office.
3) Monthly reconciliation and Post Audits are performed in the Las Vegas office.
33
FORMS
PRE-AUDIT CHECKLIST
POST AUDIT CHECKLIST
PURCHASE APPROVAL REQUEST
BANK RECONCILIATION
34
OFFICE OF THE LABOR COMMISSIONER
PRE-AUDIT CHECKLIST
Date____________ Reviewer_________________Document number _____________
ANSWER ALL QUESTIONS YES, NO OR NOT APPLICABLE (X)
1. Has the merchandise been received in good order? _____
a. Have the counts been verified? _____
b. Is the merchandise on the order? _____
c. Was delivery correctly made? _____
d. Were there any damaged items? _____
e. Were the proper damage recovery steps followed? _____
2. Does the original invoice or other original documents from the vendor support the purchase,
including the matching of amounts? _____ Does the address on the invoice match the name
and address of the vendor? _____ If the original invoice has been lost, has the backup
document been marked ―Original lost, not previously paid‖ and signed by someone with
Level 4 approval authority? _____
3. Is the transaction in the proper fiscal year? _____
4. Is the object code reasonable? _____ Is the account coding correctly entered from the
backup information? ____
5. If the invoice number was pre-printed, was the invoice number recorded in Advantage to
prevent duplicate payments? _____
6. Did the purchase follow the purchasing rules? _____ Was the approval of DoIT on computer
equipment and software obtained? _____
7. If the purchase or service fell under a contract, were the terms of the contract adhered to?
_____ Was a contract avoided in error? _____
8. If a Travel Claim:
a. Was the travel pre-approved? _____
b. Does the travel claim match the supporting documents? _____
c. Is the travel claim complete? _____
d. Were meals provided and claimed? _____
e. Are meals based on correct departure and return times? _____
f. Were the per diem rules complied with? _____
9. Does the purchase comply with Personnel‘s Signature Authority list? _____
10. Is there adequate budget authority available for the expense? _____
35
OFFICE OF THE LABOR COMMISSIONER
POST AUDIT CHECKLIST
ANSWER ALL QUESTIONS YES, NO OR NOT APPLICABLE (N/A). ALL ―NO‖ ANSWERS REQUIRE
ADDITIONAL NARRATION, INCLUDING A PROPOSED REMEDIAL ACTION.
Document Number_________
Document Type (CR), (RX), (RC), (PV), (BC), (JV), Travel Claim (in state) (out of state)
1. Does the invoice amount match document amount? _____
2. Does the vendor name and address match the invoice? _____
3. Is the accounting string correct? _____
4. Was the Level 4 approval initialed and dated? _____
5. Is the object code correct? _____
6. Was the purchase order approved prior to purchase? _____
7. Was the product or service charged to the correct fiscal year? _____
8. Was the invoice field used in Advantage to prevent a duplicate payment? _____
9. Did the purchase comply with the purchasing rules in SAM 1500? _____
10. If necessary, were approvals from DoIT or the Budget Division received? _____
11. Travel Claims-
a. Out of State approval attached? _____
b. Claim approved by Supervisor? _____
c. Per diem claimed agree with enter and leave travel status? _____
d. Are the amounts correct for per diem and mileage? _____
e. If necessary, are receipts attached for ATM withdrawals, public transportation and parking?
_____
f. Are the purpose, destination and program code shown on the claim? _____
g. Have any exceptions been narrated and approved by the supervisor? _____
h. Was the travel date range entered in the invoice field in Advantage? _____
12. Do any miscellaneous invoices comply with SAM 2620.0? _____
13. Do any stale claims comply with SAM 2622.0? _____
14. Do professional association dues comply with SAM 2628.0? _____
15. Were contracts in place for the provision of services in place prior to payment? _____
16. Were any contract payments logged against the contract? _____
17. Does the bank deposit date match the CR date? _____
18. Does the bank deposit date match the CR amount? _____
19. Is the authorizing signature valid for the budget of document? _____
20. Is the accounting string correct (BC, JV)? _____
21. Is the object code correct (JV, BC)? _____
22. Does the payment on BC tie to the legislative approved budget? _____
23. Does the document balance (BC, JV)? _____
24. Does the JV reference the document number? _____
25. Is the authorizing signature valid for the budget or document? _____
26. Is there adequate budget authority for the transaction? _____
Date___________________ Reviewer_______________________
36
PURCHASE APPROVAL REQUEST
STATE OF NEVADA
DEPARTMENT OF BUSINESS & INDUSTRY
OFFICE OF THE LABOR COMMISSIONER
675 FAIRVIEW DRIVE, SUITE 226
CARSON CITY, NEVADA 89701
PHONE: 775-684-8187
FAX: 775-687-6409
CONTACT Judy Honea
SUGGESTED VENDOR ______________________________
FUND 101____ or 615____
AGENCY 752
APPROPRIATION UNIT 3900________
(Budget & Cat)
OBJECT CODE (GL number) __________
QUANTITY/UNIT __________
EST. UNIT PRICE __________
EST. COST __________
DESCRIPTION OF ITEM
________________________________________________________________
________________________________________________________________
________________________________________________________________
________________________________________________________________
REQUESTED BY _________________________DATE___________
APPROVED BY _________________________DATE___________
37
PURCHASE APPROVAL REQUEST
STATE OF NEVADA
DEPARTMENT OF BUSINESS & INDUSTRY
OFFICE OF THE LABOR COMMISSIONER
555 E. WASHINGTON AVENUE number4100
LAS VEGAS, NEVADA 89101
PHONE: 702-486-2650
FAX: 702-486-2660
CONTACT Carrie Foley
SUGGESTED VENDOR ______________________________
FUND 101____ or 615____
AGENCY 752
APPROPRIATION UNIT 3900________
(Budget & Cat)
OBJECT CODE (GL number) __________
QUANTITY/UNIT __________
EST. UNIT PRICE __________
EST. COST __________
DESCRIPTION OF ITEM __________________________________________
__________________________________________
__________________________________________
__________________________________________
REQUESTED BY _________________________DATE___________
APPROVED BY _________________________DATE___________
38
STATE OF NEVADA
BANK RECONCILIATION
AGENCY NAME STATE OF NEVADA LABOR COMMISSIONER
ACCOUNT NAME STATE OF NEVADA LABOR COMMISSION SOUTH ACCOUNT
ACCOUNT NUMBER 9.9E+08
BANK NAME BANK OF AMERICA
ADDRESS POB 798, WICHITA, KS 67201
CUSTODIAN'S NAME
#######
BALANCE PER BANK STATEMENT
(See attached copy of bank statement)
ADD DEPOSITS IN TRANSIT
-
CREDIT BACK BANK CHARGES / ADJUSTMENTS
NSF RECORDED IN BOOKS-
#######
SUBTRACT OUTSTANDING CHECKS (see attached list)
#######
ADJUSTED BANK BALANCE
BALANCE PER BOOKS#######
#######
ADD DEPOSITS IN BANK; NOT IN BOOKS
(See attached list)
153.75
CORRECTIONS AND ADJUSTMENTS
-
NSF CHECKS NOT RECORDED ON BOOKS
ADJUSTED BOOK BALANCE #######
(Must agree with adjusted bank balance)
-
ABOVE IS THE BANK RECONCILIATION AS OF
39
INVENTORY CONTROL
The Office of the Labor Commissioner maintains a complete inventory of all assets. All assets with a value
over $1,000 and computers are listed in the inventory. The inventory file is stored in the State‘s DAWN
system as a Fixed Asset Inventory Report. Responsibility for the inventory is with the Office Manager (0002)
in Carson City and the Chief Assistant (0003) in Las Vegas.
Adding/Removing Assets
Additions to the inventory are made through the Advantage program in the Integrated Financial System as
new assets are acquired. These updates are made automatically as the assets are purchased. There are a
number of reasons for assets being removed from the inventory. For example, the asset may be excess
property, moved to a new location, lost, stolen or just worn out. To remove an asset from inventory, the
Office Manager (0002) or Chief Assistant (0003) will fill out a Property Disposition Report listing the asset.
They date and sign the Report and forward it to the Labor Commissioner for approval. After the Labor
Commissioner signs the report, a copy is placed in the inventory file and the original is forwarded to State
Purchasing. Purchasing enters the information into the IFS system and updates the inventory list.
Annual Inventory of Assets
The agency conducts an annual inventory of assets in July of each year. The inventories are conducted
simultaneously in both the Carson City and Las Vegas offices. The Office Manager (0002) in Carson City
and the Chief Assistant (0003) in Las Vegas go into the DAWN database and print a copy of the Fixed Asset
Inventory. The listing reflects what was reported during the prior year‘s inventory, plus all intervening
additions and deletions.
The Office Manager (0002) and Chief Assistant (0003) conduct a physical check of all of the items listed on
the inventory sheet. Inventory tags, identification numbers, model numbers and so forth are confirmed. If
any special instructions are received from the Property Inventory Section, they are also complied with. If an
item is unaccounted for, they will investigate the matter to account for the asset. If they are unable to
determine what happened to the asset, they will complete a Property Disposition Report listing the item as
lost. After completing the inventory they will sign and date the hard copy of the Fixed Asset Inventory, place
it in their respective inventory files and note the completion of the inventory process on the Condition Last
Asset Inventory screen in the Advantage system.
SPECIAL NOTE REGARDING PERSONAL COMPUTERS, PERIPHERALS AND PRINTERS: The
Administrative Assistant II (0008) is responsible for all agency computers, peripherals, programs and
printers. These items are accounted for in the inventory based on their location and the staff members to
whom they are assigned. In order to keep confusion in the inventory process to a minimum, staff members
are not to dispose of, change, acquire, swap, move or remove any of these components without notifying her
before doing so.
40
PAYROLL
EMPLOYEE TIMESHEETS
The Office of the Labor Commissioner uses Weekly Timesheets to report all hours worked and leave used
by its employees. The agency does not currently use the electronic bi-weekly Excel spreadsheet format. All
classified employees and the Chief Assistant (0003) must submit timesheets on a weekly basis. The
Commissioner and Deputy Commissioner must submit timesheets only for those weeks during which they
take leave totaling eight hours or more during any workday. None of the employees file ―positive reporters.‖
Each employee is responsible for completing and turning in their own timesheets. It is the employee‘s
responsibility to ensure adequate leave balances are available when claiming leave time. If an employee is
going to be absent when the timesheets are due because of a pre-planned absence, the timesheet can be
completed ahead of time and held by the employee‘s supervisor. If an employee is unavailable when the
timesheets are due because of an unplanned absence, the Administrative Assistant III in Las Vegas (0009)
or the Office Manager (0002) may complete a timesheet on the employee‘s behalf. Timesheets should be
completed, signed and turned in to the employee‘s supervisor no later than close of business on the Friday
of the week during which the work was performed.
The supervisor is responsible for reviewing the timesheets for accuracy. No employee may alter or change
another employee‘s timesheet. Only the supervisor, with the employee‘s acknowledgement and consent,
may change a timesheet. If there are any questions concerning any item on the timesheet, the supervisor will
review the item with the employee and, if necessary, correct the information. When the supervisor is
satisfied that the timesheet is correct, the supervisor will approve and sign the timesheet.
The following supervisors are responsible for reviewing timesheets as follows:
Labor Commissioner (0001)-----Reviews timesheets for the Chief Assistant (0003), Administrative Assistant
III (0009), Chief Investigator (0010) and Apprenticeship Program Coordinator (0004)
Administrative Assistant III, Las Vegas (0009)-----Reviews timesheets for all other Administrative Assistants
in the Las Vegas office
Chief Investigator (0010)-----Reviews timesheets for Auditors and Investigators in the Las Vegas office
Deputy Labor Commissioner (0006)-----Reviews timesheets for all staff in the Carson City office
After approving and signing the timesheets, the supervisors will forward the timesheets for entry into the IFS-
HR payroll system no later than noon on the next business day, generally the following Monday. In the Las
Vegas office, the approved timesheets are submitted to the Administrative Assistant III (0009). In the Carson
City office, the timesheets are submitted to the Office Manager (0002).
TIMESHEET ENTRY INTO ADVANTAGE/IFS-HR
After receiving the timesheets, the Administrative Assistant III (0009) and the Office Manager (0002) open
the IFS-HR program and begin entering the information contained on the timesheets. After entering the
information for the first timesheet, the Administrative Assistant III (0009) and the Office Manager (0002)
compare the timesheet and the information entered into the system to check for completeness and accuracy.
If the IFS-HR screen shows an error message, the error is corrected. When the review is complete, they
write the document number, initial and date the bottom of the timesheet. The Administrative Assistant III
41
(0009) and the Office Manager (0002) apply Level 2 approval and process the document to run. If there are
any questions, the document is placed in the pending category. When the question is resolved, the
document is processed to run. The process is repeated for the next timesheet.
The Administrative Assistant III (0009) forwards the original timesheets to the Office Manager (0002) in
Carson City. Because the Office of the Labor Commissioner is a small agency, the Office Manager (0002)
performs a 100% audit of all timesheets. All timesheets are kept in permanent files for each employee in a
locked file cabinet in the Carson City office.
The Chief Assistant (0003) backs up this function for the Las Vegas office and the Administrative Assistant III
(0009) provides back up for the Carson City office.
RECONCILING PAYROLL REPORTS
On the Monday before payday, the Office Manager (0002) obtains the Payroll Register Report from the
central payroll office in Carson City. The detail for each employee from the report is compared to the
information on the original timesheet. If a problem is discovered, the Office Manager (0002) immediately
takes steps to correct the problem. It a problem requires a change to a prior timesheet, the correction is
made on a Special Pay/Time Adjustment form. If the problem is an incorrect reporting of time or leave or
requires an addition or deletion, the change is made using a Prior Pay Period Reporter. The IFS-HR
information is then amended to reflect the change.
On occasion, a check will be processed in an incorrect amount. In those cases, Office Manager (0002)
immediately notifies Central Payroll and the check voided. The Office Manager (0002) then meets with the
Central Payroll staff to resolve the problem.
The entire fiscal year‘s projected payroll for each employee is carried on a spreadsheet for the payroll
category in the internal Expenditure Report program. For each pay period, the projection is coded in red. At
the same time, the column is coded with the caption ‖Projected‖ also in red. After confirming the payroll
report information, the Office Manager (0002) changes the caption from ―Projected‖ to ―Actual,‖ changes the
color code to green and enters the actual payroll expenditures into the report. When the caption is changed,
the program automatically enters the amounts and updates internal Expenditure Report. The Office
Manager (0002) reconciles the internal Expenditure Report to the Budget Balance Report from Vista Plus. If
the reports are out of balance, the Office Manager (0002) works back through the process to discover and
correct the cause of the imbalance.
PAYCHECK DISTRIBUTION
The paycheck distribution process is essentially the same in both offices with some slight differences. In the
Carson City office, paychecks and direct deposit confirmations are picked up from Central Payroll on the
Wednesday before payroll by either the Deputy Commissioner (0006) or Office Manager (0002). Upon
receipt, the person receiving the checks and confirmations signs and dates a logbook maintained by Central
Payroll. In the Las Vegas office, the paychecks and direct deposit confirmations are delivered to the office
through interoffice mail. Either the Chief Assistant (0003) or Administrative Assistant III (0009) receives the
checks.
The checks and confirmations are placed in a secured location, the office safe in Carson City and a locked
filing cabinet in Las Vegas until distribution. The Office Manager (0002) and Administrative Assistant III
(0009) distribute the direct deposit confirmations on the following Thursday and paychecks on Friday.
42
TRAVEL AND TRANSPORTATION
TRAVEL RULES AND PER DIEM RATES
In addition to the policies and procedures for travel set forth below, all reimbursement for travel shall conform
to the requirements set forth in the State Administrative Manual (SAM).
Travel Requests
Staff travel requires pre-approval by the staff member‘s supervisor. The Labor Commissioner is authorized
to approve his own travel. All out-of-state travel requires pre-approval by the Director of Business and
Industry.
The process is initiated with a Travel Request form filled out by the staff member travelling. While the
circumstances may change during the course of the travel, the Travel Request must reflect the travel as
planned as closely as possible. This enables the Office Manager to determine whether adequate funds are
available to cover the expenses and verify budget authority before the travel takes place. This is particularly
important when budgets are tight and when the agency is approaching the end of the fiscal year.
The employee planning to travel should obtain approval for the travel before filling out the Travel Request
form. Once the form has been completed, the employee‘s supervisor must review and approve the request.
Upon approval, the supervisor forwards the request to the Office Manager (0002). The Office Manager
(0002) confirms sufficient funds available for the travel. If sufficient funds are available, the Office Manager
(0002) initials and dates the Travel Request form enters the information into the internal Expenditure Report
and places the request into the Purchase Pending file until a Travel Claim is received. If sufficient funds are
not available, the travel request is referred to the Commissioner to determine whether or not to take the
necessary steps to fund the travel.
Meals and Lodging
Generally, in order for an overnight stay to be considered, the travel must be 150 road miles or more from
the employee‘s principal workstation. The Labor Commissioner may make an exception if the circumstances
warrant an overnight stay even though the distance is less than 150 miles.
In order to claim reimbursement for meals, the employee must be in travel status as follows:
Breakfast: The employee must be in approved travel status prior to 6:30 a.m.
Lunch: The employee must be in approved travel status prior to 11:30 a.m. and returning after
1:30 p.m.
Dinner: The employee must be in approved travel status prior to 4:30 p.m. and returning after
6:30 p.m.
The one-way travel must be more than 15 miles from the employee‘s principal workstation for Carson
City and 25 miles in Las Vegas.
Claims will not be considered for complimentary meals or for meals included as part of an airline flight
or registration cost.
Incidental Expenses
43
Employees on approved travel status may claim up to $2.00 per day for incidental expenses. Such
expenses include, but are not necessarily limited to fees for luggage carts, metered parking, subway/bus
use, toll charges and automated teller fees. Tips may be included except for tips associated with claimed
meals. Receipts are not required for these travel expenses.
Travel Claims
After completing the travel, the travelling employee must complete a travel claim form in order to be
compensated for the travel expenses.
MOTOR POOL PROCEDURES
Ordering Motor Pool Cars
1. Call Motor Pool 687-5315 to order a motor pool car.
2. Get name of person you spoke to.
3. Give them the following information:
a) Dates you need car
b) Driver's name
c) Location you will be using the car
d) Time you will pick up car and time you will return car.
4. Type Vehicle Requisition and Trip Report form.
5. Labor Commissioner must sign report form before you give to driver to take on trip with them.
Motor Pool Monthly Report
1. Write current mileage on orange Fuel Use Log found in the car.
2. Take photocopy of Fuel Use Log and our Usage Log found in the car.
3. Complete Vehicle Requisition and Trip Report Form as follows:
a) Agency to be charged: Labor Commission
b) Vehicle No: License number of vehicle
c) Budget Account No: 3900
d) Return date: Last work day of month
e) Departure date: First work day of month
f) Ending: Current mileage from Fuel Use Log
g) Beginning: Ending mileage from last month‘s report
h) Total miles driven: Subtract beginning mileage from ending mileage
i) Vehicle received by: Signed by person whose Social Security number is used
j) Social Security No: Social Security of person signing as driver
k) Driver Name: Type name of person who will be signing form
l) Approved by: Must be signed by Labor Commissioner
4. Attach original Fuel Use Log and Usage Log to white (original) and green copy (second copy)
of Vehicle Requisition and Trip Report form and send to Motor Pool through interdepartmental mail.
5. Attach photocopies to goldenrod (third copy) and place in Motor Pool file.
6. Motor Pool report must be typed within first 5 days of month.
44
COMMERCIAL CREDIT CARD
POLICY
Commercial Card purchases must be for the use and benefit of the Office of the Labor commissioner. Only
agency employees may be issued a Commercial Card and must be approved for issuance by the Labor
Commissioner (0001). The Labor Commissioner (0001) may revoke a Commercial Card at any time for any
reason. No personal purchases may be made with a Commercial Card. All purchases using a Commercial
Card must be in compliance with the State Administrative Manual (SAM) and the policies and procedures
outlined in INTERNAL CONTROL PROCEDURES (IFS), the agency‘s system of internal controls for the
Integrated Financial System. The Commercial Card is to be used for the purchase of office supplies only.
The Commercial Card is not intended for the following uses:
1. Travel or hotel expenses
2. Personal use
3. Airline tickets
4. Entertainment providers
5. Rental agencies
6. Services
Consequences, ranging from the suspension of cards to appropriate disciplinary action may be taken for the
improper use of a Commercial Card.
Commercial Cards will be stored in a fireproof safe or locked cabinet at each location. When required for
use, the cardholder will obtain the card from the secured location and return the card to that location after
use.
The Labor Commissioner (0001) will approve the issuance of all Commercial Cards and establish the dollar
and transaction limits.
COMMERCIAL CARD COORDINATOR
The Chief Assistant (0003) in Las Vegas and the Office Manager (0002) in Carson City are not Commercial
Card holders and serve as the Commercial Card Coordinators for the Office of the Labor Commissioner in
their respective locations.
The Credit Card Coordinators are responsible for:
-Ordering cards from the bank
-Distributing the Purchasing Division‘s implementation manual and a copy of this procedure to each
cardholder
-Maintain a list of cardholders with their respective transaction limits and allowable number of purchases per
period
-Closing cardholder accounts as needed
Prior to receiving a card, the cardholder must file two signed original individual cardholder agreements with
the Commercial Card Coordinator. The Commercial Card Coordinators will maintain one original signed
individual cardholder agreements in a file established for that purpose and forward the other to the issuing
bank. Upon termination from employment by the agency or suspension of the cardholding privilege, the
cardholder must immediately return the Commercial Card to the Commercial Card Coordinator.
45
CREDIT AND TRANSACTION LIMITS
Each individual Commercial Card has assigned credit and transaction limits. The limits are as follows:
Dollar Amount per Transaction $1,000.00
Dollar Amount per cycle (monthly) $5,000.00
Number of authorizations per day 1
Number of authorizations per cycle (monthly) 5
COMMERCIAL CARD HOLDER RESPONSIBILITIES
1. Cardholder must sign and accept terms and conditions of the cardholder agreement.
2. Cardholder is responsible for the security of the Commercial Card and the transactions made against
the card. The Commercial Card is issued in the Cardholder name and any purchases made against
the card will be the Cardholder‘s responsibility. Use of the card not in accordance with the guidelines
established for the program may result in personal liability.
3. Cardholder must report lost or stolen Commercial Cards to the issuing bank within 24 hours.
Cardholder must also report lost or stolen Commercial Cards to the Commercial Card Coordinator
and to their immediate supervisor at the first opportunity during business hours.
4. Cardholder must return their Commercial Card to the Commercial Card Coordinator upon termination
of employment or suspension of cardholding privileges.
5. The Commercial Card may be used only by the cardholder whose name is embossed on the card.
Use by anyone other than the approved cardholder is prohibited.
6. Commercial Cards are not transferable between cardholders.
7. Splitting charges between two Commercial Cards in order to avoid exceeding the cardholders‘
individual spending limit is prohibited.
8. It is the cardholder‘s responsibility, as an agent of the agency, to ensure that State of Nevada sales
tax is not charged in accordance with SAM 1597.3(8).
9. Cardholder is responsible for maintaining a transaction log for each transaction utilizing their
commercial Card. All purchases must be logged within two business days of the transaction. The log
will be used to reconcile all the monthly transactions as billed to the agency for transactions on the
individual‘s Commercial Card.
10. Cardholder is also responsible for maintaining all Commercial Card slips, register receipts, invoices,
order forms and packing slips to be submitted with the transaction log for reconciliation on a monthly
basis.
11. Cardholder must verify the receipt of materials ordered with the Commercial Card and must follow-up
with the merchant to resolve any delivery problems, discrepancies or damaged goods.
12. Cardholder is responsible for following up with the merchant on any erroneous charges, disputed
items or returns as soon as possible. The Commercial Card Coordinator shall be notified as soon as
possible of any Commercial Card credits or disputes with a merchant. If the problem cannot be
resolved with the vendor, the cardholder must complete the ―Disputed Item‖ form and give it to the
Commercial Card Coordinator who will then file it with issuing bank.
46
ACCOUNTING AND RECONCILIATION POLICIES
The purchase will be processed as required for all purchases according to the instructions set forth in
INTERNAL CONTROL PROCEDURES (IFS), the agency‘s system of internal controls for the Integrated
Financial System.
At the end of each month, the cardholders will forward a copy of their transaction log to the Office Manager
(0002) in Carson City. The Office Manager (0002) will review the logs and purchase documentation
submitted to ensure all documentation has been received and that the transactions are within the
cardholders‘ credit and transaction limits. The Office Manager (0002) will also reconcile the transaction logs
to the billing statements to ensure the charges have been billed correctly charges, disputed items or returns
as soon as possible. The Commercial Card Coordinator shall be notified as soon as possible of any
Commercial Card credits or disputes with a merchant. If the problem cannot be resolved with the vendor, the
cardholder must complete the ―Disputed Item‖ form and give it to the Commercial Card Coordinator who will
then file it with issuing bank.
47
INTERNAL AUDIT PROGRAM
48
Agency Internal Control Checklist (Not Applicable)
(Yes) (No) (Partial)
1. REVENUES, BILLINGS AND RECEIVABLE
A. Segregation of Duties:
Do different individuals perform the responsibilities for billing, collecting _______________
and depositing receipts and accounting all?
B. 1) Is a restrictive endorsement placed on incoming checks as soon as _______________
received?
2) Are receipts recorded accurately and timely? _______________
3) Are receipts safeguarded while in the custody of the agency and promptly _______________
deposited with the Treasurer?
C. Is there verification that deposit receipts are properly recorded to the _______________
Controller’s financial reports?
D. Are there adequate procedures for follow up on returned checks? _______________
E. 1) Are taxing programs administered in accordance with applicable laws and _______________
regulations?
2) Are the taxing programs applied to all individuals and organizations _______________
subject to taxes?
3) Are tax returns and assessments reasonably correct? _______________
4) Are settlements, allowances and refunds properly authorized? _______________
5) Is non-payment followed up? _______________
F. 1) Are the changes for services rendered in accordance with applicable laws _______________
and regulations?
2) Are revenues recorded immediately as agency services are rendered? _______________
3) Are accounts receivable promptly established and billed if agency services _______________
are not paid in full as rendered?
4) Do write-offs, adjustments or refunds receive the proper level of _______________
authorization?
5) Is non-payment followed up? _______________
G. 1) Are fines, penalties and/or judgments levied in accordance with applicable _______________
laws and regulations?
2) Are fines, penalties and/or judgments charged at the proper statutory rate? _______________
3) Are rescissions and forgiveness properly authorized? _______________
4) Is non-payment followed up? _______________
H. 1) Are the sales of goods, property and/or other items conducted in _______________
accordance with applicable laws and regulation?
2) Are sales recorded immediately as items are sold with accounts receivable _______________
promptly established and billed for non-cash sales?
3) Do write-offs, adjustments or refunds receive the proper level of _______________
authorization?
4) Is non-payment followed up? _______________
I. 1) Are fees for licenses, permits and other revenues billed in accordance with _______________
applicable laws and regulations?
2) Are the fees applied to all individuals and organizations subject to the _______________
fees?
3) Do write-offs, adjustments or refunds receive the proper level of _______________
authorization?
49
4) Is non-payment followed up? _______________
J. Do procedures provide reasonable assurance that applicable interest and _______________
penalties are charged on delinquent taxes, fees or charges for services?
2. PAYROLL AND PERSONNEL SERVICE EXPENDITURES
A. Segregation of Duties:
1) Are responsibilities for supervision, personnel, payroll processing and _______________
check distribution all performed by different individuals?
2) Does a person not involved in payroll processing before paychecks are _______________
distributed review payroll registers?
B. 1) Are paychecks inadvertently drawn to persons no longer on the payroll _______________
returned immediately to the Department of Personnel?
2) Are all undistributed checks logged in and their disposition noted? _______________
C. 1) Are all changes in employment additions and termination’s, salary/wage _______________
rates and payroll deductions properly authorized, approved and
documented?
2) Are notices of additions, separations and changes in salaries, wages and _______________
deductions reported promptly to the payroll processing function?
3) Is leave properly authorized? _______________
D. Is there verification that the payroll changes are properly recorded to the _______________
Controller’s financial reports?
3. TRAVEL ADVANCES AND REIMBURSEMENTS
A. Is travel authorized within budget limits and applicable laws and _______________
regulations?
B. Are travel advances provided only for properly authorized travel? _______________
C. Are travel advances repaid promptly? _______________
D. 1) Are travel reimbursements provided only for properly authorized travel? _______________
2) Are the amounts paid in accordance with applicable travel regulations? _______________
3) Are claims for travel reimbursement filed promptly? _______________
4) Are there procedures to avoid duplicate claims payment? _______________
E. Is there verification that the travel claims are properly recorded to the _______________
Controller’s financial reports?
4. AGENCY EXPENDITURES AND PAYABLE
A. Are all payments authorized within budget limits and in accordance with _______________
applicable laws and regulations?
B. Segregation of Duties
1) Are the functions of purchase requisitioning, receiving and invoice _______________
processing performed by different individuals?
2) Are responsibilities for the purchasing approval function segregated from _______________
the voucher preparation function?
C. 1) Are competitive bidding procedures properly utilized? _______________
2) Are an adequate number of price quotations obtained prior to placing _______________
orders not subject to competitive bidding?
D. Are all outstanding contracts and orders periodically reviewed? _______________
E. Are assistance payments to other governmental units and individuals only _______________
made to eligible recipients?
F. Do invoice procedures provide for:
1) Comparing invoice quantities, prices and terms? _______________
2) Comparing invoice quantities with those indicated on receiving reports? _______________
3) Checking arithmetical accuracy? _______________
50
4) Taking eligible cash discounts? _______________
5) Claiming exemption from sales and other taxes? _______________
6) Comparing billed charges to avoid duplicate payment? _______________
G. Are invoices and supporting documents furnished to the signer prior to _______________
approving a voucher payable?
H. Are vouchers payable, billing claims and other payable documents _______________
processed promptly?
I. Are agency expenditure records reconciled to the Controller’s financial _______________
reports?
5. INVENTORIES OF SUPPLIES AND CAPITAL ASSETS
A. Is the use of physical inventories of supplies or capital assets properly _______________
authorized?
B. Have inventory levels been established in such a manner as to prevent _______________
excess accumulations or unavailability of items?
C. Are property records periodically compared and reconciled with existing _______________
assets?
6. SECURITY AND SAFEGUARDS
A. 1) Are confidential documents appropriately classified? _______________
2) Do safeguards exist to prevent unauthorized access to classified materials? _______________
B. Are physical security safeguards maintained where cash is stored and _______________
processed?
C. Are cash; check signing machines; signature plates and blanks; and _______________
partially prepared, mutilated and voided checks protected from
unauthorized use?
D. 1) Are physical security safeguards maintained where negotiable instruments _______________
and other investments are stored and processed?
2) Are bonds, drafts and other securities protected from unauthorized use? _______________
3) Do investments comply with legal requirements? _______________
4) Is interest and other investment income collected promptly when due? _______________
7. GRANTS MANAGEMENT
A. Do grantee’s procurement procedures comply with applicable regulations? _______________
B. Does grantee maintain current cost allocation plans and overhead rates? _______________
C. Are grantee’s distribution formulas for entitlement programs accurate? _______________
D. Are audits performed in accordance with NRS §218.893? _______________
8. ELECTRONIC DATA PROCESSING
A. Are there proper authorizations of transaction inputs, adequate edit checks _______________
and necessary safeguards of sensitive input forms?
B. Is data safeguarded to prevent unauthorized access, improper changes or _______________
loss?
C. Do appropriate controls exist to detect unauthorized use of the system? _______________
D. Do appropriate controls exist for changes made to master files? _______________
E. Is there a written contingency plan providing for continued processing of _______________
critical applications in the event of disaster to existing system?
F. Have controls been established for the use and contents of personal _______________
computers?
9. AUDIT FOLLOW-UP
A. 1) Are audit resolution and corrective actions made on a timely basis? _______________
2) Is corrective action on audit recommendations scheduled in accordance _______________
with specific criteria?
51
B. Are accurate records of the status of audit reports and recommendations _______________
maintained through the entire process of resolution and corrective action?
C. 1) Are resolution actions consistent with law, regulations and administrative _______________
policy?
2) Are resolution actions on recommendations involving more than one _______________
program, agency or level of government coordinated?
D. Are claims arising from audit disallowance’s promptly recorded as _______________
receivable and collected?
E. Is interest on audit-related debt charged promptly, without regard to _______________
whether the disallowance is or will be appealed?
Written explanations are required for partial or non-compliance response.
52
RECORDS
ARCHIVING/STORING DOCUMENTS AND RECORDS
(June 13, 2003)
All agency documents are to be stored or archived according to the agency‘s records retention schedules as
established by the State Archives Division. Documents to be retained for one year or less will be kept in either the
Carson City or Las Vegas office. Documents and records with a retention period of more than one year will be sent to
the State Archives for storage. The documents are tracked using an Excel spreadsheet stored on a floppy disk and a
binder for hard copies in each office.
1. Determine when and what documents should be stored. NOTE: IN SOME CASES THERE WILL BE
DOCUMENTS THAT, FOR ONE REASON OR ANOTHER, NEED TO BE KEPT IN THE OFFICE
RATHER THAN ARCHIVED. THESE SHOULD BE TREATED AS ―OPEN‖ FILES AND KEPT IN
THEIR CUSTOMARY LOCATION.
2. A permanent record of archived files is kept in the Archive Binder. The Archive Binder should contain
the Record Retention Schedule, archive diskettes and copies of the archive forms and document
lists.
3. Put the document files to be archived into a ―bankers‘ box.‖ For documents that will be stored in our
offices, a file drawer can be used as an alternative to a box. Bear in mind that documents that are
being archived are generally for projects that have been finished and are just taking up space.
4. Get archives working file diskette from Archive Binder. Insert the ―Archives Working Forms‖ disk into
the computer and open the spreadsheet. Work from the ―A‖ drive.
5. Select the appropriate sheet for the documents to be stored. The sheets are:
a. Wage Claims
b. Public Works Projects
c. Private Employment Agency
d. Unclaimed Property
e. Budget
f. Personnel
g. Correspondence
6. List the required information on the spreadsheet in each field.
7. If the records have a retention period of one year or less, the records will be stored at the agency‘s
offices:
a. Print a copy of each document list page completed.
b. Attach an ―Internal Archives‖ sticker on the box. Internal archive stickers are printed in the office,
cut out with scissors and attached to the box with scotch tape. They are kept on an Excel
spreadsheet titled ―Internal Archives Labels.‖
c. Write the purge date on the sticker. If the sticker isn‘t pre-numbered, write the box number on the
sticker. The boxes are numbered sequentially.
d. Attach a corresponding ―Internal Archives‖ sticker to the copy of the document list.
e. Make a second copy of the document list and place one copy on the spindle with the boxes and
the second copy in the archive binder.
f. Dispose of the records on the purge date.
8. If the records have a retention period of more than one year, the records will be stored at the State
Archives:
a. Print two (2) copies of each document list page completed. Place one copy in the archive binder.
Keep the second copy with the box of files to be archived and place it inside after the labels have
been received.
b. Order labels for the boxes from Archives. This can be done by anyone as assigned, however, it
is generally done by the Chief Assistant for Las Vegas and the Office Manager for Carson City.
The process is as follows:
53
1) Complete one ―Records Center Accession Sheet‖ (see form below) for all of the boxes to be
archived.
a) Open MSWord document called ―State Archives Procedures.‖
b) Check the address line for either the Las Vegas or Carson City office.
c) Insert the total number of boxes being sent to Archives.
d) Insert the RDA number. These numbers are available from the retention schedule.
e) Type up an attachment that lists the box number, description of the contents, RDA
number, and the purge date for each box.
f) Print and sign the form.
g) Prepare a fax cover sheet for Archives stating that it is a request for archive labels,
where to send the labels and give them a contact and phone number for any
questions.
h) Fax the cover sheet, Records Center Accession Sheet and the attachment to Archives
at (775) 684-3411.
c. For the records from the Las Vegas office, the Chief Assistant will receive the Accession Number
labels via mail. For records to be archived in Carson City, Archives will hold the labels for agency
staff to pick up.
d. Once the labels have been received, reopen the ―Archives Working Forms‖ spreadsheet and
update each document list by adding the Accession Number for that box.
e. Place the label(s) on proper box. Make sure the second copy of the file list is placed in the box.
The Las Vegas office then ships the boxes to Archives in Carson City by interdepartmental mail.
The Carson City office can hand deliver the boxes.
f. When the boxes are delivered, have the person at Archives who receives the box sign the
Records Center Accession Sheet as a receipt.
g. Return the signed Accession Sheet to the Office Manager in Carson City or the Chief Assistant in
Las Vegas.
h. Attach the Accession Sheet to the copy of the corresponding document list in the binder.
RETRIEVING DOCUMENTS FROM THE ARCHIVES
(June 13, 2003)
If it becomes necessary to retrieve a document or file from Archives, there are certain steps that
need to be followed in order to find the box with information needed. The first step, of course, is to
check in the customary place in the office where these kinds of files or documents are normally
kept. It may not have been archived. If the information is not in its customary place, determine
what the retention period for that type of file or document. If it is one year, it will be located in the
office archives. If it is more than one year, it will be necessary to go to the State Archives in Carson
City to retrieve the information.
Once it has been determined where the box is located, whether it be in the office or at Archives, it becomes
necessary to discover in which specific box the documents are stored. There is no easy way to do this. Go
to the Archive Binder. You can do a physical search by reading down through the document lists and
looking for the file in question. The second option is to search the database on the ―Archives Working
Forms‖ disk. This works well for public works projects when the PWP number or prime contractor‘s name is
available or for wage claims if a claim number or the name of the employer or employee is available. To
search the database, do the following:
1. Open the Microsoft Excel program on your computer.
2. Get the ―Archives Working Forms‖ disk from the Archives Binder.
3. Insert the disk in the ―A‖ drive on your computer.
4. Open the file using the ―A‖ drive.
54
5. From the selection of sheets located on the bottom of the page (i.e. Wage Claim, Pwp, PEA,
etc.), select the type of record you are looking for.
6. Go to the tool bar at the top of the page, click on ―Data.‖
7. From the drop down menu, select ―Sort.‖ A sort window will open.
8. In the box called ―Sort by,‖ enter the letter code for the column you wish to sort and click on
―OK.‖
9. Scroll down the list until you find the file you are looking for. Check the purge date to see
whether or not the box has been purged. If the box hasn‘t been purged, note the box number
(accession number).
10. Close out of the file. When the box opens and asks whether to save the changes, click on
―No.‖
11. Return the disk to the Archive Binder.
With the box number in hand, you can go to the correct box in the office for those records stored internally or
else make arrangements with Archives to retrieve the information. If the records are in the office and you are
removing the file, place an out card in the file as a placeholder. Return the file when done. If the boxes are
stored at Archives, the Carson City staff will be responsible for obtaining the records. In order to obtain the
file, notify the Office Manager in Carson City. The information that will be needed is the box number and the
name of the file or document that is needed. You will also need to indicate whether an entire file is needed
or only one or two specific documents. The Office Manager will call Archives and set up an appointment to
obtain the file(s) or document(s). The assigned Carson City staff member will go to Archives and pick up the
information. If only a few pages are involved, Archives lets people make copies there. If an entire file is
removed, it is necessary to sign a receipt for the file.
After you are done with the file, the Carson City staff will return it to Archives.
―ARCHIVES WORKING FORMS‖
DESK MANUAL
(June 13, 2003)
―Archives Working Forms‖ is a Microsoft Excel spreadsheet that is used to keep an index of information that
has been archived. The information contained on the spreadsheet can tell the user where the information is
currently stored. This makes it much easier to locate stored records should they be needed.
1. Open the Microsoft Excel program on your computer.
2. Insert ―Archives Working Forms‖ diskette into A drive.
3. Click on the ―File‖ or folder icon to open the files. Go to the A drive.
4. Open ―Archive Forms.xls‖.
5. The sheet tabs along the bottom of the form list six archive categories:
a. Wage claim
b. PWP
c. PEA
d. Unclaimed Property
e. Budget
f. Personnel
g. Correspondence
6. Select the appropriate sheet for the documents you wish to archive. One sheet is used for each box.
7. The information that needs to be entered for the different sheets is as follows:
a. For all boxes going to Archives, the following information needs to be entered:
1) Box number…this is the number that is on the box label sticker that is received from
Archives. For internally archived documents, this is left blank.
2) RDA #…from the Retention Schedule.
55
3) Closed date…because the files or documents that are being archived may have
different close dates, use the close date of the last file placed into the box for
archiving.
4) Box __ of __…when several boxes are sent to Archives, this is used to track the
number of boxes in the lot. The second of three boxes, for example, would be listed
as Box 2 of 3.
5) Purge date…using the appropriate retention period from the Retention Schedule, this
is the date on which the files can be disposed. For example, if the box has a three
year retention and the closed date is Jan. 31, 2000, the purge date would be Feb.1,
2003.
8. For the different sheets, different information needs to be recorded that is reflective of the nature of
the files:
a. Wage claim
1) Wage claim number
2) Claimant
3) Employer
4) Open
5) Closed
NOTE: IF THE WAGE CLAIMS ARE THE RESULT OF AN AUDIT, THERE WILL BE ONE
FILE WITH MULTIPLE CLAIMANTS. IF ANY OF THE CLAIMANTS HAVE NOT RECEIVED
THEIR MONEY AND THE MONEY IS TO BE FORWARDED TO UNCLAIMED PROPERTY,
TYPE IN ―UNCLAIMED‖ INSTEAD OF THE CLOSED DATE.
b. PWP
1) PWP #
2) Contractor
3) Project
c. PEA
1) License number
2) Agency name
d) Unclaimed Property…OBSOLETE DO NOT USE THIS SHEET
e) Budget, Personnel and Correspondence Sheets…write a short description of the record or
documents contained in the box.
9. Once the sheet has been filled out, click on the ―save‖ icon or click on ―File‖ and then click on ―Save‖
on the drop down menu.
10. Print a copy of the sheet.
a. Highlight that portion of the sheet containing your new archive list.
b. Click on ―File‖ on the toolbar.
c. Select ―Print‖ from the dropdown menu.
d. In the print window, go to the ―Print what‖ box and select ―Selection.‖
e. Click on ―OK.‖
After the document has printed, click on ―File‖ on the toolbar, select ―Close‖ and you are done.
56
ARCHIVES FORMS
RECORDS CENTER ACCESSION SHEET
57
Records Center Accession Sheet
State Library and Archives
Archives and Records
Records Center Accession Sheet
Date Received Accession Number
Records Management Program
100 N. Stewart Street
Carson City, NV. 89701-4285
Phone (775) 684-3411
Department/Division Date Accessioned
Department of Business & Industry
Office of the Labor Commissioner
_____________________________________________________________________Address and
phone Total # of boxes
___555 E. Washington Avenue ___675 Fairview Drive
Suite 4100 Suite 226
Las Vegas, NV Carson City, NV
(702) 486-2650 (775) 687-4850
_____________________________________________________________________
Records Officer Disposition RDA Number
Carrie Foley, Chief Assistant
_____________________________________________________________________
Description
_____________________________________________________________________
Box Number Contents Center Location
(Please see attachment of additional itemization of box contents)
Signature of sender Center Initials
…………………………………………………………………………………………………….
Attachment
Page 2 of 2
Box Number Contents RDA Number Purge Date
58
SECTION IV
PERSONNEL/HUMAN
RESOURCES
59
OFFICE OF THE LABOR COMMISSIONER
Emergency Action Plan
Grant Sawyer State Building #4100
Terry Johnson – Labor Commissioner
Michael Tanchek – Deputy Commissioner
This document has been reviewed, accepted, and approved for implementation by:
Labor Commissioner Date
Effective Date:
Revision Date: 4/28/04
Prepared By: TB
60
Table Of Contents
1. General Information ................................................................................................................................. 1
1.1 Facility Name and Number ............................................................................................................... 2
1.2 Facility Manager Information ........................................................................................................... 2
1.3 Assistant Facility Manager Information ............................................................................................ 2
1.4 Assembly Point Leader……………………………………………………………………………...2
1.5 Assembly Point Leader
Alternate…………………………………………………………………...2
1.6 Floor
Monitor…………………………………………………………………….…………
……….3
1.7 Floor Monitor
Alternate………………………………………………………….………………….3
1.8 Facility Description .......................................................................................................................... .4
1.9 Emergency Assembly Point .............................................................................................................. 4
Facility
Diagram…………………………………………………………………………………….5
1.10 Departmental Information ................................................................................................................. 6
1.11 Facility Emergency Staff .................................................................................................................. 6
1.12 Unique Hazards ................................................................................................................................. 7
1.13 Other Hazards ................................................................................................................................... 7
2. Facility Alarms & Utility Shut-Offs ......................................................................................................... 8
2.1 Alarms ............................................................................................................................................... 8
2.2 Alarm Identification and Response ................................................................................................... 8
2.3 Utility Shut-
Offs…………………………………………………………………………………….8
3. Emergency Notifications .......................................................................................................................... 9
3.1 Immediate Emergency Notification (Life-Threatening) ................................................................... 9
3.2 Emergency Notification (Non Life-Threatening) .............................................................................. 9
4. Emergency Procedures ............................................................................................................................. 9
4.1 Emergency Notification .................................................................................................................... 9
4.2 General Evacuation ......................................................................................................................... 10
4.3 Specific Evacuation......................................................................................................................... 10
4.4 Terrorism/ Homeland Security …………………………………………………………………11-
15
4.5 Fire .................................................................................................................................................. 16
4.6 Earthquake .................................................................................................................................16-17
4.7 Hazardous Materials ....................................................................................................................... 17
4.8 Civil Disturbance or
Demonstration……………………………………………………………….18
4.9 Explosion or Bomb Threat .............................................................................................................. 19
5. Training and
Documentation………………………………………………………………………..20
6. Resource
List…….………………………………………………………………………………....21
62
Facility Emergency Action Plan
As a building occupant, you need to be familiar with this plan. Read it carefully. If you
have any questions, consult your Facility Manager, or Safety Committee
Representative. Keep in mind the following as you read through this document:
Evacuation routes, exit points, and assembly point
Procedures for evacuating the building
Locations of emergency supplies and materials that may be needed in an
emergency, such as fire extinguishers, pull alarms and first aid kits
Proper procedures for notifying emergency responders about an emergency in
the building or work area
Additional responsibilities (such as being a assembly point monitor or floor
monitor)
Fire hazards
Potential exposure to hazardous materials or processes in and around the work
area, as well as any means of protecting yourself in the event of an emergency
1. General Information
1.1 Facility Name and Number
OFFICE OF THE LABOR COMMISSIONER 486-2650
1.2 Facility Manager Information
TERRY JOHNSON LABOR COMMISSIONER/
486-2483
1.3 Assistant Facility Manager Information
MICHAEL TANCHECK – DEPUTY COMMISSIONER (CARSON CITY)
775-684-8188
1.4 ASSEMBLY POINT LEADER- All office staff must check in with this
person at the meeting point
TRUDY BARKER 486-2797
1.5 Assembly Point Leader Alternate Information
LUPE MARTINEZ 486-2798
1.6 Floor Monitor Information
In order of seniority - the job of the floor monitor would be to make sure that
all staff/ public in the office have evacuated the building during an emergency.
1.Terry Johnson
1.7 Floor Monitor Alternate Information
2.Gail Maxwell
3.Carrie Foley
63
4.Larry Dizon
5.Rosemarie Pickell
Facility
Facility Manager: TERRY JOHNSON – Labor Commissioner
Telephone Number: 486-2483
Cellular Number:
Assistant Facility Manager: MICHAEL TANCHEK (In Carson City)
Telephone Number: 775-687-8188
Cellular Number:
Assembly Point Leader: TRUDY BARKER
Telephone Number: 486-2797
Cellular Number:
Assembly Point Leader LUPE MARTINEZ
Alternate:
Telephone Number: 486-2798
Cellular Number:
Floor Monitor: TERRY JOHNSON – Labor Commissioner
Telephone Number: 486-2483
Cellular Number:
Floor Monitor Alternate: GAIL MAXWELL – Chief
Auditor/Investigator
Telephone Number: 486-2654
Cellular Number:
1.8 Facility Description
The Grant Sawyer State Building has 5 floors and is used primarily by the
public to access State of Nevada offices. The Office of the Labor
Commissioner is located on the fourth floor, suite #4100, at the west end of
the front terrace and is there to enforce State labor laws.
1.9 Emergency Assembly Point
The Office of the Labor Commissioner will evacuate the building using the
primary escape route, which is the stairwell located at the west end hallway
on the 4th floor. If the primary escape route is blocked, the second route would
be the middle stairwell next to the freight elevator doors. The third escape
route would be the stairwell at the east end of the fourth floor. Employees will
meet in the employee parking lot numbered ―C‖ at the east end of the GS
complex.
DIAGRAM OF 4TH FLOOR
64
65
1.10 Departmental Information
Fill in the departmental information (list all departments and the contact
information for the department heads).
Department
Employee Extension Bldg Room
Number
Terry Johnson 62483 GS 4100
Carrie Foley 62795 GS 4100
Gail Maxwell 62654 GS 4100
Larry Dizon 62523 GS 4100
Rosemarie Pickell 62524 GS 4100
Jim Van Valkenburg 62521 GS 4100
Paul Lista 63712 GS 4100
Gail Lowery 62522 GS 4100
Cesar Picazo 62653 GS 4100
Lupe Martinez 62798 GS 4100
Trudy Barker 62797 GS 4100
Donna Banks 62652 GS 4100
Maricela Madrigal 62407 GS 4100
Lleta Brown 62738 GS 4100
1.11 Facility Emergency Staff
Facility Emergency Staff
Responsibility Name
Assembly Point Trudy Barker Lupe Martinez
Leader
Floor Monitor/ Labor Chief Chief Sr.
Commissioner Assistant Investigator Investigator/
Admin III
Assembly point leader or backup would be responsible for verifying that all staff was
accounted for at checkpoint site and report any exceptions to Safety assembly monitor
(orange vest)
Floor monitor would be responsible for evacuating all staff and the public from the office
during an emergency.
1.12 Unique Hazards
66
Note: This information should be obtained from each department.
Unique Hazards in Facility Number (fill in number)
Hazard Location Department Point of Extension Room
Contact Number
1.13 Other Hazards
2. Facility Alarms & Utility Shut-offs
2.1 Alarms
The beam detector is located in the Labor Commissioner‘s office conference room
overlooking the main lobby.
2.2 Alarm Identification and Response
If there are alarms in your building, this section should describe the different
sounds, the significance of each alarm and the appropriate occupant response
to each alarm. Examples are given in the table below.
Alarm Response
Evacuation Leave the building immediately.
Report to the assembly point.
Fire Alarm - Leave the building immediately.
Beam detector is located in Report to the assembly point.
Labor Commissioner
conference room-
2.3 Utility Shut-Offs
In an emergency it may be necessary to shut-off utilities to the building.
Complete this section to indicate where the utility shut-offs are located.
Alarm Location
Electricity N/a
Gas N/a
Water N/a
3. Emergency Notifications
3.1 Immediate Emergency Notification (Life-Threatening)
Life-Threatening Emergency Numbers:
911—from a public telephone
State of Nevada telephone
9-911—from a 67
Note: The City of Las Vegas answers 911 calls made from a cell phone.
Emergency Notification (Non Life-Threatening)
City of Las Vegas Dispatch Non Emergency Number: 311
4. Emergency Procedures
4.1 Emergency Notification
Calling 9-911 (or any other emergency number) from a State of Nevada
telephone connects you to the City of Las Vegas Emergency Dispatch
Center. Always call from a safe location and remember to:
Stay calm.
Gather any other information that may be useful for the emergency
responders
(such as, are there any injuries involved?).
Do not hang up until instructed to do so by the dispatcher.
Be prepared to answer the following questions:
Where is the emergency located? Be sure and tell them you are
at the Grant Sawyer State Building.
What is the emergency (fire, medical, hazardous material)?
How did it happen?
When did it happen?
Who are you (your name)?
Note: Give the dispatcher a telephone number or safe location where the
emergency responders can call or meet you, and wait for the
responders at that safe location.
4.2 General Evacuation
When evacuating your building or work area:
Stay calm, do not rush, and do not panic.
Safely stop your work.
Gather your personal belongings if it is safe to do so.
(Reminder: take prescription medications with you if possible; it may be
hours before you are allowed back in the building.)
If safe, close your office doors and windows, but do not lock them.
Use the nearest safe stairs and proceed to the nearest exit. Do not use
the elevator.
68
Proceed to the designated EAP and report to your Assembly Point
Leader.
Wait for any instructions from emergency responders.
Do not re-enter the building or work area until the emergency
responders instruct you to do so.
4.3 Specific Evacuation
A building occupant is required by law to evacuate the building when the fire
alarm sounds.
Required Emergency Information
Posted Information Locations
Evacuation diagrams, Base of stairs, elevator landings
including routes
Fire alarm pull stations NEAR MICROWAVE IN OUR OFFICE
Evacuation Assembly East parking lot ―C‖.
Point
Eyewashes IN SMALL CABINET IN COPY ROOM
First Aid Kits IN SMALL CABINET IN COPY ROOM
Emergency Showers LOCATED IN LOCKER ROOM ON FIRST
FLOOR NEAR CAFETERIA
4.4 Terrorism – Homeland Security
Purpose
In light of today‘s terrorist threats and activities, the Office of the Labor Commissioner has developed this
protective measures plan derived from the Federal Homeland Security Advisory System (HSAS). This
Federal advisory system was created under presidential authority titled ―Homeland Security Presidential
Directive 3, creating the Homeland Security Advisory System (HSAS)‖. The goal is to create a
comprehensive and local protective measures plan that works in direct relationship to the HSAS.
The goal of the Homeland Security Advisory System is to provide a comprehensive and
effective means to disseminate information regarding the risk of terrorist acts to Federal,
State, and local authorities and to the American people. This system will provide
warnings in the form of a set of graduated "Threat Conditions" that would increase as
the risk of the threat increases. At each Threat Condition, Federal departments and
other agencies would implement a corresponding set of "Protective Measures" to further
reduce vulnerability or increase response capability during a period of heightened alert.
This system is intended to create a common vocabulary, context, and structure in
preparation of the threats that confront our homeland. It also seeks to implement the
appropriate preventative measures that should be taken in response to times of
heightened alert.
Homeland Security Advisory System
The Homeland Security Advisory System shall be binding on the federal executive
branch and suggested, although voluntary, to other levels of government and the private
69
sector. The Office of the Labor Commissioner‘s Threat Condition may be different than
that of the United States Government depending on the specific threat intelligence.
There are five Threat Conditions; each identified by a description and corresponding color. From highest
to lowest, the levels and colors are:
Description
Risk Color Code
Level
Severe Red Severe Risk of Terrorist Attack
High Orange High Risk of Terrorist Attack
Elevated Yellow Significant Risk of Terrorist Attack
Guarded Blue General Risk of Terrorist Attack
Low Green Low Risk of Terrorist Attack
The higher the Threat Condition, the greater the risk of a terrorist attack. Risk includes
both the probabilities of an attack occurring and its potential gravity.
Federal and local issued Threat Conditions will be reviewed at regular intervals to determine whether
adjustments are warranted. The assignment of a Threat Condition shall prompt the review and possible
implementation of an appropriate set of Protective Measures. Protective Measures are the specific steps
an organization may take to reduce its vulnerability or increase its ability to respond during a period of
heightened alert.
Higher Threat Conditions indicate greater risk of a terrorist act, with risk including both
probability and gravity. Despite best efforts, there can be no guarantee that, at any
given Threat Condition, a terrorist attack will not occur. An initial and important
factor is the quality of the threat information itself. The evaluation of this threat
information shall include, but not be limited to, the following factors:
To what degree is the threat information credible?
To what degree is the threat information corroborated?
To what degree is the threat specific and/or imminent?
How grave are the potential consequences of the threat?
70
Threat Conditions and Associated Protective Measures
The world has changed since September 11, 2001. We as a community and a nation
remain at risk to terrorist attacks. At all Threat Conditions, we must remain vigilant,
prepared, and ready to deter terrorist attacks. The following Threat Conditions each
represent an increasing risk of terrorist attacks. Beneath each Threat Condition are the
locally suggested Protective Measures for response. The Suggested Protective
Measures are guidelines and a response should be customized based on current
intelligence information.
LOW CONDITION (GREEN)
LOW
This condition is declared when there is a low risk of
0 Low Risk terrorist attacks.
of Terrorist
Refine and exercise as appropriate, pre-planned Protective Measures.
Ensure Office of the Labor Commissioner staff receive proper training on the
Attacks
Homeland Security Advisory System and specific pre-planned department or agency
Protective Measures; and
Institutionalize a process to assure that procedures are regularly assessed for
vulnerabilities to terrorist attacks, and all reasonable measures are taken to mitigate
these vulnerabilities.
GUARDED GUARDED CONDITION (BLUE)
This condition is declared when there is a general risk
0 General of terrorist attacks. In addition to the Protective
Measures taken in the previous Threat Condition
Risk of
(GREEN), we will consider the following general measures in preparedness for a
terrorist attack:
Terrorist
Be aware and communicate if necessary with designated emergency response
agencies, such as Nevada Dept. of Homeland Security , Capitol Police or other
Attacks
local emergency agencies.
Nevada Dept. of Homeland Security – ( 775) 687-7320
Capitol Police – (702) 486-2935
Review and update, if necessary, emergency response procedures; and
Provide the staff and public with any information that would strengthen its ability
to act appropriately.
ELEVATED ELEVATED CONDITION (YELLOW)
0 Significant An Elevated Condition is declaredIn addition toisthe
significant risk of terrorist attacks.
when there a
Suggested Protective Measures taken in the previous
Risk of
Threat Conditions (GREEN and BLUE), we will consider the following general measures
in preparedness for a terrorist attack:
Terrorist 71
Attacks
Increase awareness of critical locations, such as front lobby and building areas;
Coordinate emergency plans as appropriate with other agencies;
Assess whether the precise characteristics of the threat require the further
refinement of other Protective Measures; and
Implement, as appropriate, contingency and emergency response plans.
HIGH HIGH CONDITION (ORANGE)
A High Condition is declared when there is a high risk of terrorist
0 High Risk attacks. In addition to the Protective Measures taken in the
previous Threat Conditions (GREEN, BLUE, and YELLOW), we
of Terrorist efforts with Federal, State, and local law enforcement
a terrorist attack:
Coordinate necessary security
will consider the following general measures in preparedness for
agenciesAttacks
or any National Guard or other appropriate armed forces organizations;
Nevada’s Dept. of Homeland Security – ( 775) 687-7320
Emergency Management Division – (775) 687-4240
The City of Las Vegas’ Fire-Public Information Officer Timothy Symanski
will serve as the official spokesperson issuing press releases on behalf of
the Mayor, City Council, and City Manager. Phone: (702) 229-0145
Tim McAndrews - 383-2888
City of Las Vegas Fire Dept
Emergency Management
coordinator,
Robert Leinbach – 455-7338
Public Information Officer. County
Fire Department
Ron Montgomery -388-6230
Federal Homeland Security protective services
Capitol Police – (702) 486-2935
911
Additional precautions will be taken by the Office of Labor Commissioner at any
public hearing, meetings, or contact with the public, possibly considering
alternative venues or even cancellation;
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At the direction of The Labor Commissioner or next highest ranking staff
member (Chief Investigator) prepare to execute contingency procedures, such as
moving to an alternate site or dispersing their workforce; and
If the Grant Sawyer Building receives a specific threat, facility access will be
granted to essential personnel only.
SEVERE
SEVERE
Severe Risk A Severe Condition reflects a (RED) risk of terrorist
SEVERE CONDITION
severe
of Terrorist
attacks. Under most circumstances, the Protective Measures for a Severe Condition are
not intended to be sustained for substantial period of time. In addition to the Protective
Measures in the previous Threat Conditions (GREEN, BLUE, YELLOW, and ORANGE),
Attacks
we will consider the following general measures in preparedness for a terrorist attack:
All State of Nevada employees will be notified by The Governors office if a Red Alert is in effect and will
be given instructions if they are required to report to work.
and/or
Employees will contact the Employee emergency number of (702) 486- 2791 or
access the
employee section of website (to be addressed) to check office status.
and/or
All staff will remain on-duty until released by a supervisor;
Increasing or redirecting personnel to address critical emergency needs;
Assigning emergency response personnel and pre-positioning and mobilizing
specially trained teams or resources;
Monitoring, redirecting, or constraining transportation systems; and *****
Closing public and government facilities as needed.
Cancel all non-essential services and deliveries; (i.e. meetings, field visits,
settlement conferences, hearings, etc.)
4.5 Fire
A facility occupant is required by law to evacuate the facility when the fire
alarm sounds. If there is a fire in your work area:
If you have been trained and are able to safely extinguish the fire, do so.
However, make sure that you have a safe exit from the fire area.
If you are unable to extinguish the fire, leave the area immediately and
pull the fire alarm. From a safe location, call 9-911 and report the fire
(See "Emergency Notification Procedures" above).
Evacuate the facility as soon as the alarm sounds and proceed to the
designated EAP.
As you exit, warn others to evacuate.
Move away from fire and smoke. Close doors and windows if time
permits.
Touch closed doors. Do not open them if they are hot.
Use stairs only; do not use elevators.
Move away from the facility and go to your designated EAP.
73
Do not re-enter the facility or work area until you have been instructed to
do so by the emergency responders (Fire Department, Police
Department, Facility Manager, or Assembly Point Leader).
4.6 Earthquake
In case of an earthquake:
If you are inside a building:
Duck under the nearest sturdy object and hold onto it until the
shaking stops. If you are not near a sturdy object, make yourself as
small as possible and cover your head and neck.
If you stand in a doorway, brace yourself against the frame and
watch out for a swinging door or other people.
Avoid windows, filing cabinets, bookcases, and other heavy objects
that could fall or shatter.
Stay under cover until the shaking stops, then exit the building.
If it is safe to do so, stabilize any laboratory procedure that could lead
to further danger.
(For example, turn off Bunsen burners or electrical equipment.)
If you are outside:
Move away from trees, signs, buildings, electrical poles, and wires.
Protect your head with your arms from falling bricks, glass, plaster,
and other debris.
Move away from fire and smoke.
Proceed to the EAP if the area is safe, or proceed to a pre-
designated alternate assembly area. Check in with your Assembly
Point Leader(s) to let them know you are all right (see General
Evacuation in Section 4.2).
Stay alert for further instructions.
4.7 Hazardous Materials
If you are a hazardous material user or if you supervise a hazardous material
user, you should be trained on the proper use and storage of hazardous
materials. Take personal responsibility to know the hazards of the materials
you work with or near. Know where the spill containment supplies are kept,
and how to use them.
If you witness a hazardous material spill that you believe may be life
threatening, evacuate the spill site and warn others to stay away. Call 9-911.
If you determine that the spill is not life threatening, but think that it could pose
a threat to human health or the environment, follow the procedures outlined
below, but only if it is safe to do so.
Stop the source of the spill.
If the spilled material is flammable, eliminate ignition sources.
Dial 9-911 for assistance.
Contain the spill by surrounding the perimeter of the spill with
containment material such as absorbent pads and berms.
Cordon off the area.
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Remain in the areas to direct emergency personnel to the scene.
Follow the instructions of the COLVand other responding emergency
personnel.
Hazardous material spills that do not present a threat to human health or the
environment, can generally be handled by the hazardous material user.
Small spills are generally cleaned up by the department or group responsible
for the spill. A subcontractor may clean up some spills. If you need to clean
up after a spill:
Follow the directions
Wear appropriate personal protective gear.
Clean up the spill according to the Material Safety Data Sheet and any
instructions provided by the COLV.
Place the spilled materials and any contaminated material in a
hazardous waste container.
4.8 Civil Disturbance or Demonstration
Most demonstrations are peaceful and people not involved should attempt to
carry on business as usual. Avoid provoking or obstructing demonstrators.
Should a disturbance occur notify law enforcement by calling ext. 1214.
If a disturbance seems to threaten the occupants of the facility, report it
immediately to LVMPD and take the following actions:
Alert all persons in the area of the situation.
Lock all doors and windows.
Close window coverings to prevent flying glass.
If necessary to evacuate, follow directions from police.
If evacuation occurs, go to your building EAP and wait for additional
instructions and information (see General Evacuation in Section 4.2). If
necessary, your department may decide to cease work operations.
4.9 Explosion or Bomb Threat Procedures
A suspicious-looking box, package, object, or container in or near your work
area may be a bomb or explosive material. Do not handle or touch the
object. Move to a safe area and call 9-911. Do not operate any power
switches.
If there is an explosion:
Take cover under sturdy furniture, or leave the building if directed to do
so by emergency responders.
Stay away from windows.
Do not light matches.
Move well away from the site of the hazard to a safe location.
Use stairs only; do not use elevators.
Call 9-911 if no one has called..
If you receive a bomb threat (via the telephone):
75
Stay calm, and keep your voice calm.
Pay close attention to details. Talk to the caller to obtain as much
information as possible.
Take notes and try to ask the following questions:
When will it explode?
Where is it right now?
What does it look like?
What kind of bomb is it?
Where did you leave it?
Did you place the bomb?
Who is the target?
Why did you plant it?
What is your address?
What is your name?
Observe the caller's:
Speech patterns (accent, tone)
Emotional state (angry, agitated, calm)
Background noise (traffic, people talking, accents, music)
Age and gender
Write down additional information such as the date and time of call.
Call Capitol Police and submit your notes from the telephone call or the
bomb threat (letter or note).
Follow Capitol Police instructions.
If you are told by emergency responders to evacuate:
Check your work area for unfamiliar items. Do not touch suspicious
items; report them to Capitol Police.
Take personal belongings when you leave.
Leave doors and windows open; do not turn light switches on or off.
Use stairs only; do not use elevators.
Move well away from the facility and follow instructions from
emergency responders.
5. Training and Documentation
Training is an integral part of the safety program for your facility and it is the
responsibility of each department to ensure all their employees are trained on the
Facility Emergency Action Plan for the building(s) they occupy. It is the
responsibility of the occupant to become familiar with the Facility Emergency
Action Plan, to know evacuation routes and assembly areas, and to attend
training(s).
The facility manager makes the Facility Emergency Action Plan and other safety
information (as necessary) available to department employees. Other training
76
recommended for building occupants are CPR, first aid, and fire extinguisher
training.
A number of State of Nevada employees are available to help maintain and promote a
safe and healthful work environment. Please use the telephone numbers listed below
when questions, comments, or concerns arise.
77
Resource List
Risk Management Office: 775-687-4085
Office Safety Committee Rep Office: 486-2797
Capitol Police Office: 486-2935
Grant Sawyer Safety Committee Office: 486-2924
Chairperson – Leslie Wright
OSHA 486-9020
78
DEPARTMENT OF BUSINESS AND INDUSTRY
POLICY: DOMESTIC VIOLENCE IN THE
WORKPLACE
This policy is to protect and assist Department employees through establishment of safety
protocols and strategies to deal with domestic violence as it affects the workplace. ―Violence‖
as it pertains to this policy is defined as ―any act of physical aggression that causes or may
cause physical/personal harm.‖ Examples would include, but are not limited to, homicide,
assault and battery, rape, stalking, making threatening remarks, aggressive or hostile behavior,
damaging employer property or property of another employee, or possession of a weapon while
at a work location.
All employees should be aware of their surroundings and immediately report any potentially
dangerous situations to a supervisor, security officer, or their human resources section. Reports
can be made anonymously and all reported incidents will be investigated. Reports or incidents
warranting confidentiality will be handled in accordance with State confidentiality statutes and
regulations and information will be disclosed to others only on a need-to-know basis. All parties
involved in a situation will be counseled and the results of investigations will be discussed with
them. The Department will actively intervene at any indication of a possibly hostile or violent
situation.
PROCEDURE
Dangerous/Emergency Situations: Employees, Supervisors or Managers who confront or
encounter an armed or dangerous person should not attempt to challenge or disarm the
individual. Employees should remain calm, make constant eye contact and talk to the
individual. If Security can be safely notified of the need for assistance without endangering the
safety of the employees or others, such notice should be given. Otherwise, cooperate and
follow the instructions given.
Employee:
In the case of domestic violence, notify your Supervisor/Manager of the situation and the need
to be absent. Supervisors/Managers cannot assist until an employee self-discloses.
If you observe or experience violent, threatening, harassing, intimidating or other disruptive
behavior on agency premises, report it immediately to the Administrator or a safety committee
member.
Threats or assaults that require immediate attention by the police should be reported by calling
911.
Discuss options available to you with your supervisor and the Department Personnel Manager.
Involve your Employee Assistance Program (EAP) counselor, if necessary. The EAP counselor
can assist the employee in developing a safety plan or contact the Statewide Domestic Violence
Hotline at
1-800-500-1556.
If you know who the perpetrator is, submit a recent photo of the individual to the Administrator
and/or the Security Office. If you have a restraining order against the perpetrator, submit a copy
to the Administrator and the Security Office. It is wise to walk to and from your vehicle with a
friend or a security escort, if available.
79
Request special parking arrangements with your Administrator to allow for a safe and
accessible entrance and exit to and from your building.
Ensure all of your information is up to date with the Administrator and the Personnel Liaison.
Give your Supervisor/Manager, Administrator and Personnel Liaison contact names in case of
an emergency.
Co-Worker:
If you suspect a co-worker is suffering abuse, do not directly confront him/her. Express concern
and a willingness to listen and be supportive if needed.
If a co-worker confides in you, encourage communication with the Administrator.
If you witness an incident at work, contact the Administrator immediately. Contact law
enforcement immediately if the situation is threatening. Make sure that any incident is
documented.
Supervisor/Manager/Administrator:
Be aware of unusual absences, behavior of employees, and changes in their job performance.
Be aware of signs of bruises to faces and arms, displays of extreme stress, resentment,
hostility, anger, etc.
Consult with your local EAP counselor and/or Department Personnel Manager to discuss your
concerns and how to approach the employee. Remember, the employee must self disclose.
Maintain confidentiality at all times.
Honor all civil protection orders (i.e. vacate, restraining or no-contact orders or judgments in
effect). Contact the Department Personnel Manager if you have questions.
Make sure the employee has provided a photo of the perpetrator and other pertinent security
information. Be sure this information is provided to the Security Office, if applicable.
Be sensitive to the seriousness of the situation.
If possible, relocate the employee‘s working area to a secure or high visibility site.
When necessary, change the employee‘s work phone number/extension or develop a system
for screening calls at work.
ENFORCEMENT
Threats, threatening conduct, or any other acts of aggression or violence in the workplace will
not be tolerated. Any employee determined to have committed such acts will be subject to
disciplinary action, up to and including termination. Non-employees engaged in violent acts on
the employers‘ premises will be reported to the proper authorities and fully prosecuted.
80
STATE OF NEVADA
OFFICE OF THE LABOR COMMISSIONER
POLICY AND PROCEDURE STATEMENT
ON
WORKPLACE VIOLENCE PREVENTION
Title: Workplace Violence Prevention Policy Effective:
Chapter: Risk Management P/P Number: Revision:
Purpose:
To establish procedures for dealing with workplace violence issues that may arise in the
day-to-day activities of the Office of the Labor Commissioner. To provide guidelines for
staff to follow for reporting workplace violence issues. And to provide guidance for
supervisors who are required to immediately respond to staff concerns.
Authority:
21st and 22nd Editions of S.A.M. Sections 0520, 0521 and 0524
Executive Order by the Governor, June 27, 2002
Policy:
The Office of the Labor Commissioner is committed to working with its employees to
provide and maintain a work environment free from violence, threats of violence,
harassment, intimidation, and other disruptive behavior. In order to provide a safe and
healthy work environment, the agency will adopt the policies in accordance with the
above authority.
Procedures:
Supervisors, and employees will follow the procedures and guidelines set forth in the main
body of this document.
_____________________________ _______________________
Labor Commissioner Issue Date
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TABLE OF CONTENTS
Section Page
Department Policy 4
Immediate Intervention Is Required By Supervisors 5
Bizarre, Inappropriate or Unsafe Behavior 6
Incident Reporting and Investigation 7
Definition of Incidents 7-8
Incident Report Form 9-11
N.R.S. Statutes and N.A.C. Personnel Regulations 12-13
Contacts 13
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State of Nevada
OFFICE OF THE LABOR COMMISSIONER
WORKPLACE VIOLENCE PREVENTION POLICY
The Office of the Labor Commissioner is committed to working with its employees to provide
and maintain a work environment free from violence, threats of violence, harassment,
intimidation, and other disruptive behavior. Workplace violence issues generally arise from
clients or customers, random acts from outside individuals or groups that are generally
directed against the agency with or without apparent reason, or from personal relationships
such as a former spouse or partner, a relative or a friend. If you experience an aggressive
incident, be it on the telephone or in person the details will be documented on Incident Report
Forms that are kept at the Safety Coordinator‘s desk. When completed they are to be given
to the Safety Coordinator. If the incident is directed against a closed or ongoing claimant or
respondent the Investigator will document it and place a copy in the corresponding folder
along with the copy to the safety coordinator. In order to provide a safe and healthy work
environment, the agency will adopt the following policies:
Violence, threats, harassment, intimidation and other acts
of aggression and disruptive behavior in the workplace will
not be tolerated. Acts of aggression can include oral or
written statements, gestures or expressions that
communicate a direct or indirect threat of physical or
emotional harm or indirect acts such as damage to
personal and/or state property.
Employees are responsible to immediately report all incidents or acts of violence to
their supervisor or the most accessible supervisor. Employees who are experiencing
threats of violence from a domestic partner (or other non-work related relationship) that
may carry over to the workplace will be encouraged to report this to their supervisor. The
supervisor will develop a plan of action to minimize the risk to the employee and others.
All reports of incidents must be taken seriously and the appropriate supervisor or
manager must immediately initiate an investigation. When a crisis situation arises,
the highest agency official available will be notified.
Anytime an employee is placed in a position of fear due to an act of aggression or
violence, he or she should remain calm, remove him or herself from the area (or
excuse themselves from the phone call) as soon as possible and report the incident to
the most accessible supervisory representative available. The supervisor will either
deal with the person on the telephone, front counter or the conference room. Under no
circumstances are they to bring that person/s back into the office area. If an employee
has prior knowledge of an encounter with a potentially aggressive individual, such as a
meeting, it would be wise to arrange to have another person present or if appropriate,
security personnel.
Individuals who commit acts of workplace violence, as described herein, will be subject
to disciplinary action (if a state employee), and may be removed from the premises
83
and/or subject to criminal prosecution. (See NRS 199.300, NRS 203.119 and NRS
200.571).
Guidelines For Responding To Employee Threats Of Workplace
Violence/Fitness For Duty Issues
Immediate Intervention Is Required By Supervisors
Direct and Imminent Threat of Violence-DO ALL OF THE FOLLOWING:
(Employee or other person states he/she is on the way to commit an act of violence or indicates that
he/she is going to get the means to commit the act and will be back.)
Call 9-911 or other appropriate Law Enforcement Entity (Capitol Police)
Notify affected employees-give option to go home on personal leave.
If appropriate, evacuate work area and send employees home on administrative leave.
If possible, inform the offending employee that they are being placed on administrative leave and
are prohibited from returning to the work site until further notice
Contact the Investigations Division from the Attorney General’s Office to report the event
Assemble a threat assessment team including the appropriate representative from Administration,
Personnel, Employee Assistance Program (EAP), Attorney General’s Office and Risk Management
to determine the best course of action.
Direct Threat without Imminent Event
(Employee states that he/she intends to commit an act of violence-in the future)
Place the employee on administrative leave pending an investigation.
Notify the employee, verbally and in writing, that they are prohibited from coming to the worksite
or other identified State property without prior approval and coordination with Capitol Police.
Contact the Attorney General’s Office to initiate a criminal investigation if warranted.
Contact the Threat Assessment Team, as noted above, to determine the best course of action.
Indirect Threats, Stalking, Harassment, Bullying, Intimidation
Confront and counsel the employee and state that the behavior must stop
Make a formal referral to the Employee Assistance Program (EAP) Services
If the employee refuses to go to EAP Referral and/or the behavior does not cease, implement
progressive disciplinary procedures -OR-
Determine if conflict resolution needs to occur among employees to diffuse the situation -OR-
If there are indications of a possible medical or psychological illness, either
coordinate a “Fitness for Duty Exam” or direct the employee to obtain a
work release from a personal physician and /or psychologist. Provide the
employee with written instructions to have the physician review a letter that
outlines the reasons for concerns and request the physician to make a
statement in regard to fitness for duty. Provide a copy of the employee’s job
description -OR-
If other employees are expressing concern for their safety or are indicating that they feel they are
working in a hostile environment, the urgency of the follow-up must be escalated
If appropriate, contact the Threat Assessment Team to determine the best course of action
84
Bizarre, Inappropriate or Unsafe Behavior
Confront and counsel the employee-give the employee an opportunity to
explain reasons for the behavior
Make a formal referral to Employee Assistance Program Services
If the behavior does not improve and/or the employee refuses to utilize the
EAP Services, consider following the guidelines for the Alcohol and Drug
Testing Program and/or implement progressive disciplinary actions –OR-
If appropriate, place the employee on sick leave and require him/her to
obtain a release from personal physician. Provide the employee with written
instructions to have the physician review a letter that outlines the reasons
for concerns and request the physician to make a statement in regard to
fitness for duty. Provide a copy of the employee’s job description.
Require a 2nd opinion, if necessary -OR-
Coordinate a “Fitness for Duty” Exam through the Risk Management
Division.
If appropriate, contact the Threat Assessment Team to determine the best course of action
Most circumstances are unique and will require creative solutions to best fit the
situation. These are only guidelines and options for consideration. It is often best
to seek the consensus of a Threat Assessment Team either within the agency or
as coordinated through Risk Management if the situation does not improve or
other employees are expressing concern for their safety.
85
INCIDENT REPORTING AND INVESTIGATION
All incidents must be reported to a supervisor immediately.
The unit supervisor shall report the incident to their next higher supervisor, who in turn
will ensure that appropriate administrators are advised.
The Supervisor will be responsible for reporting the incident to Capitol Police or the local
law enforcement agency, if they had not been called, and providing written
documentation of the incident. The law enforcement agency will conduct further
investigation and coordination with other agencies as necessary. The Division is
responsible for contacting the Attorney General‘s Office or Risk Management if their
assistance is required. Capitol Police is the responsible agency for further investigation
and coordination with the local law enforcement agency, the Attorney General‘s Office
and Risk Management if the incident occurs in a state owned building which is managed
by their office.
Each event must be documented including witness statements, etc. The incident must
be thoroughly investigated and an incident report form completed. A copy of the incident
report must be submitted to the unit or division safety coordinator and Risk Management
Division within 5 working days.
Each incident will be evaluated by the Threat Assessment Team. The team will discuss
the causes of the incident and will make recommendations on how to revise the program
to prevent similar incidents from occurring. All revisions of the Program will be put into
writing and made available to all employees.
DEFINITION OF INCIDENTS:
Assault:
The intentional use of physical injury, (impairment of physical
condition or substantial pain) to another person, with or without
a weapon or dangerous instrument.
Criminal Mischief:
Intentional or reckless damaging of the property of another person without
permission.
Disorderly Conduct:
Intentionally causing public inconvenience, annoyance or alarm or
recklessly creating a risk thereof by fighting (without injury) or violent, numinous
or threatening behavior or making unreasonable
noise, shouting abuse, misbehaving, disturbing an assembly or
meeting or persons or creating hazardous conditions by an act
which serves no legitimate purpose.
Harassment:
Intentionally striking, shoving or kicking another or subjecting
another person to physical contact, or threatening to do the same
(without physical injury). ALSO, using abusive or obscene
language or following a person in about a public place, or
engaging in a course of conduct which alarms or seriously annoys
another person.
Larceny:
Wrongful taking, depriving or withholding property from another
(no force involved). Victim may or may not be present.
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Menacing:
Intentionally places or attempts to place another person in fear
of imminent serious physical injury.
Reckless Endangerment:
Subjecting individuals to danger by recklessly engaging in conduct
which creates substantial risk of serious physical injury.
Robbery:
Forcible stealing of another's property by use of threat of
immediate physical force. (Victim is present and aware of theft).
Sex Offense:
Public Lewdness: Exposure of sexual organs to others.
Sexual Abuse: Subjecting another to sexual contact
without consent.
Training and Communication
Each Division Head shall ensure that all supervisory personnel attend training regarding the
management of workplace violence. Additionally, all employees, regardless of their level of risk,
must be provided initial and periodic refresher training in the recognition of workplace violence,
the appropriate response to incidents of aggression or violence, the agency‘s specific policy and
procedures, and the proper use of security hardware if appropriate. Employees with job tasks
or locations that place them at a higher risk for violent incidents should be provided specialized
training in the prevention of workplace violence.
The Workplace Violence Program must be communicated to all employees and a copy of the
program made readily available to each employee.
Fitness for Duty Evaluations
In accordance with State Administrative Manual Section 0521(8), the Risk Management Division
can coordinate a Fitness for Duty Evaluation with a qualified Occupational Medicine Physician,
Psychologist or Psychiatrist in the event that an appointing authority determines that an
employee is displaying behavior that indicates that the employee may have a medical or
psychological condition that could result in a direct physical threat or other liability to
themselves, a co-worker or the public. Procedures related to requesting a fitness for duty exam
can be obtained directly from the Risk Management Division.
INCIDENT REPORT FORM
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1. VICTIM’S NAME: ________________________ JOB TITLE: _______________
2. VICTIM’S WORK ADDRESS: _______________________________________________
3. WORK PHONE NUMBER: ____________________________________________
6. DEPARTMENT/SECTION: ____________________________________________
7. INCIDENT DATE: __________________________________________________
8. INCIDENT TIME: _________________________________________________
9. INCIDENT LOCATION: _____________________________________________
10. WORK LOCATION (if different): _________________________________
11. TYPE OF INCIDENT: (circle one): Assault, Robbery, Harassment, Threats,
Disorderly Conduct, Sex Offense, Other. (Please Specify)
_________________________________________________________________
12. WERE YOU INJURED: Yes ____ No ____
If yes, please specify your injuries and the location of any treatment:
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
13. DID LAW ENFORCEMENT RESPOND TO INCIDENT: Yes ____ No ____
14. LAW ENFORCEMENT DEPARTMENT: ______________________________________
15. POLICE REPORT FILED: Yes ____ No ____ REPORT NUMBER: ___________
16. WAS YOUR SUPERVISOR NOTIFIED: Yes ____ No ____
17. SUPERVISOR’S NAME: _________________________Phone:
_______________________
18. WAS ANY ACTION TAKEN BY EMPLOYER: (specify)_____________________
88
________________________________________________________________________
19. ASSAILANT/PERPETRATOR: (circle one): Intruder, Customer, Client, Visitor, Student,
Co-Worker, Former Employee, Supervisor, Family/Friend, Other, (specify):
________________________________________________________________
20. ASSAILANT/PERPETRATOR - NAME/ADDRESS/AGE (if known): ___________
________________________________________________________________________
________________________________________________________________________
21. PLEASE BRIEFLY DESCRIBE THE INCIDENT: ___________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
22. INCIDENT DISPOSITION: (Circle all that apply): No action taken, Arrest, Warning,
Suspension, Reprimand, Other: ______________________________________________
23. DID THE INCIDENT INVOLVE A WEAPON? YES ___NO____ Specify________
________________________________________________________________________
24. DID YOU REQUIRE MEDICAL ATTENTION? YES____ NO ____
25. DID YOU LOSE ANY WORK DAYS? YES ____ NO ____ Specify _____________
________________________________________________________________________
26. WERE YOU SINGLED OUT OR WAS THE VIOLENCE DIRECTED AT MORE THAN
ONE INDIVIDUAL? ________________________________________________
27. WERE YOU ALONE WHEN THE INCIDENT OCCURRED? YES ____ NO ____
28. DID YOU HAVE ANY REASON TO BELIEVE THAT AN INCIDENT MIGHT
OCCUR? YES ____ NO ____
Why: __________________________________________________________________
29. HAS THIS TYPE OR SIMILAR INCIDENT (S) HAPPENED TO YOU OR YOUR
CO-WORKERS BEFORE? YES ____ NO ____
Specify: ________________________________________________________________
30. HAVE YOU HAD ANY COUNSELING OR SUPPORT SINCE THE INCIDENT?
YES ___ NO ____
Specify: ________________________________________________________________
31. IF YOU HAVE NOT RECEIVED COUNCELING OR SUPPORT, WOULD YOU LIKE
TOO? ____ YES ____ NO
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32. WHAT DO YOU FEEL CAN BE DONE TO AVOID SUCH AN INCIDENT IN THE
FUTURE?
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
33. ARE ANY MEASURES IN PLACE TO PREVENT SIMILAR INCIDENTS?
YES ____ NO ____
Specify: ________________________________________________________________
34. HAS CORRECTIVE ACTION BEEN TAKEN?
Specify: ________________________________________________________________
35. COMMENTS: ________________________________________________________
_______________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
______________________________________________________________________________________
Current NRS Statutes Related To The Workplace Violence Prevention Program
NRS RESOURCES
90
Statutes frequently used by law enforcement when dealing with a potential violent act or
individual.
NRS 199.300 Intimidating – Public Employee… Gross misdemeanor without the use of, threat
of, immediate physical force. Felony for use of force or second offence. *Directly or indirectly
addresses any threat of intimidation to … public employee… with the intent to make the victim,
contrary to his duty, make, omit or delay any act, decision or determination.
NRS 200.571 Harassment. Misdemeanor first offence. * The person by words or conduct places
the individual receiving the threat in reasonable fear that the threat will be carried out.
NRS 200.575 Stalking. Misdemeanor first offence. *Conduct that would cause a person to feel
terrorized, and actually causes the person to feel terrorized.
NRS 201.255 Obscene, Threatening or Annoying Telephone Calls. Misdemeanor. *Violation
is from either the location called or where the call is placed from.
NRS 202.840 Bomb Threats. Felony. *Mail, note, telephone, E-mail or other means of
communication used to intimidate any person or damage property. Person receiving the call or
writing should feel the threat is valid.
NRS 203.119 Act in Public Building. Misdemeanor. *Act that interferes with the peaceful
conduct of activities normally carried on in building or grounds.
NRS 207.180 Threatening or Obscene Letters or Writings. Misdemeanor. *With intent to
extort, or – threats to harm without extortion, or- using a fictitious name and charging another
with a crime, or – letters containing vulgar or threatening language, or obscene pictures.
NRS 207.200 Trespass. Misdemeanor. *Enters to commit crime, or remains on premises
without legal business, after having been told to leave.
NRS 284.650.21 Causes for Disciplinary Action. Carrying while on the premises of the
workplace, any firearm that is not required for the performance of the employee’s current job
duties…………..
NRS 33.280 Effect of temporary or extended order; court may not issue order against more
than one person; contents of order.
1. A temporary or extended order for protection against harassment in the workplace may:
(a) Enjoin the person who allegedly committed the harassment from contacting the employer,
an employee of the employer while the employee is performing his duties of employment and
any person while the person is present at the workplace of the employer;
(b) Order the person who allegedly committed the harassment to stay away from the
workplace of the employer; and
NRS 202.3673 Permittee authorized to carry concealed firearm while on premises of public
building; exceptions; penalty.
1. Except as otherwise provided in subsections 2 and 3, a permittee may carry a concealed
firearm while he is on the premises of any state building.
3(b) ………..a sign posted at public entrance indicating that no firearms are allowed in the
building
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NRS 618.385 Employers not to maintain unsafe or unhealthy places of employment. An
employer shall not:
1. Require, permit or suffer any employee to go or be in any employment or place of
employment, which is not safe and healthful.
NOTE: When referring to any of the above statutes, ensure that you research and read each one
to determine applicability for the situation at hand.
Contacts
Attorney General‘s Office- (775) 684-1152
Investigations
Capitol Police – Chief (775) 684-4542
Employee Assistance Program (EAP) 1-800-398-3271
(775) 687-3869 North
(702) 486-2929 South
Risk Management Division (775) 687-3190
(775) 687-3192
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OFFICE OF THE GOVERNOR
POLICY AGAINST SEXUAL HARASSMENT & DISCRIMINATION
Sexual harassment and discrimination based on race, color, national origin, religion, sex, age,
disability, or sexual orientation in any term, condition or privilege of employment are violations of
State and federal law.
I. PURPOSE
The purpose of this policy statement regarding sexual harassment and discrimination is to
clearly express the position of the State of Nevada that all employees have the right to work in
an environment free from all forms of discrimination and conduct which can be considered
harassing, coercive or disruptive.
Sexual harassment and discrimination are forms of misconduct that undermine the integrity of
the employment relationship. No employee — either male or female — should be subjected to
unsolicited and unwelcome sexual overtures or conduct, either verbal or physical. Nor should
any employee experience discrimination in hiring, promotion, discharge, pay, fringe benefits, job
training, classification, referral, and other aspects of employment. Sexual harassment and
discrimination are personally offensive, debilitate morale, and, therefore, interfere with work
effectiveness. Such behavior will result in disciplinary action up to and including dismissal.
II. COVERAGE
This policy is intended to be applicable to all State employees, officers, appointees such as
board members, and volunteers in the executive branch of government. All elected officers are
encouraged to adopt this policy.
III. RESPONSIBILITY
A. Sexual harassment and discrimination, whether committed by a supervisor, coworker, or
member of the public is specifically prohibited as unlawful and against State policy. Department
directors are responsible for taking immediate and corrective action in response to complaints,
regardless of whether the specific acts complained of were sanctioned or specifically forbidden
and regardless of the manner in which the department director becomes aware of the conduct.
B. Department directors shall provide each employee with a copy of this policy informing
them that sexual harassment and discrimination are prohibited conduct and will not be tolerated
or condoned. All employees will acknowledge receipt and understanding of the policy through a
signed statement.
C. All new employees, officers, appointees, board members and volunteers in the executive
branch, shall attend a class on sexual harassment prevention training within 6 months of their
appointment. Employees are required to attend refresher training once every two years
regarding the State‘s sexual harassment policy.
D. Managers and supervisors are also required to attend training related to equal
employment opportunity.
E. Department directors shall advise all employees of their responsibility to report incidents
of sexual harassment and discrimination.
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F. Department directors shall designate employees within each agency to act as a
coordinator for the reporting of complaints of incidents of sexual harassment and discrimination
and will notify employees of the coordinator.
G. Supervisors shall have a complete understanding of this policy. Supervisors who
willfully disregard incidents of sexual harassment or discrimination by subordinates will be
disciplined. Supervisors are responsible for ensuring their employees have received training as
outlined in this Policy.
H. It is the responsibility of department directors to make sure their agencies are in full
compliance with this Policy and associated legal guidelines.
IV. STATE EMPLOYEES' RIGHTS AND RESPONSIBILITIES
A. Employees are entitled to work in a workplace free of sexual harassment and
discrimination.
B. Employees are responsible for ensuring they do not sexually harass or discriminate
against any other employee, client, applicant for employment, or other individual with whom they
have contact in the performance of their duties.
C. Employees are responsible for cooperating in the investigation of complaints of alleged
sexual harassment or discrimination and cooperating with the efforts of their agency, division,
board or commission to prevent and eliminate sexual harassment and discrimination and to
maintain a working environment free from such unlawful conduct.
V. LEGAL DEFINITIONS AND GUIDELINES
A. NAC 284.771 specifies that sexual harassment violates the policy of this state and is a
form of unlawful discrimination based on sex under state and federal law. An employee shall
not engage in sexual harassment against another employee, an applicant for employment or
any other person in the workplace.
Sexual harassment is a very serious disciplinary infraction. An appointing authority may impose
harsh disciplinary sanctions on persons who commit sexual harassment, even on first-time
offenders. The appointing authority, in determining the appropriate level of discipline, and the
hearing officer, in reviewing the propriety of the level of discipline selected by the appointing
authority, must consider the principles of progressive discipline as set forth in NRS 284.383.
B. As used in NAC 284.771 and section 703 of Tile VII of the Civil Rights Act of 1964,
"sexual harassment" means unwelcome sexual advances, requests for sexual favors, or other
speech or physical conduct of a sexual nature when:
a) Submission to such speech or conduct is made either explicitly or implicitly a term or
condition of a person's employment;
b) Submission to or the rejection of such speech or conduct by a person is used as the
basis for employment decisions affecting that person; or
c) Such speech or conduct has the purpose or effect of unreasonably interfering with a
person's work performance or creating an intimidating, hostile or offensive working environment.
C. Equal opportunity with regard to the terms, conditions and privileges of employment is
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mandated under Title VII of the Civil Rights Act of 1964, the Americans with Disabilities Act of
1990, the Age Discrimination in Employment Act of 1967, the Equal Pay Act of 1963, NRS
281.370, and numerous sections of Chapter 284 of the NRS, which address the State‘s
Personnel System.
D. The State of Nevada is an equal opportunity employer and does not discriminate against
job applicants or employees based on race, color, religion, sex, national origin, disability, age or
sexual orientation.
E. Federal law prohibits retaliation against employees who bring sexual harassment or
discrimination charges or assist in investigating such charges. Any employee making sexual
harassment or discrimination complaints or assisting in the investigation of such a complaint will
not be adversely affected in terms and conditions of employment, nor discriminated against,
disciplined or discharged because of the complaint.
VI. PROCEDURE
A. EMPLOYEE
1. Employees who believe they have been a victim of sexual harassment or discrimination
shall first advise the person believed to have engaged in sexual harassment or discrimination
that the conduct is unwelcome, undesirable or offensive. If the employee elects not to confront
the alleged harasser or if the conduct persists after an objection, the employee shall report the
incident as set forth below. Employees will be asked to complete a complaint form.
2. Employees shall report incidents of sexual harassment or discrimination to the
coordinator within their agency designated to receive such complaints or call the Department of
Personnel‘s Harassment/Discrimination Hotline at (800) 767-7381. Employees are always
entitled to consult an attorney, labor representative or to report the incident to the Nevada Equal
Rights Commission.
3. Employees should give the completed complaint form and any supporting
documentation to the coordinator designated within their agency to receive such
complaints or to the assigned investigator(s).
B. DEPARTMENT DIRECTORS
1. After notification of the employee's complaint, department directors shall promptly notify
the agency‘s Deputy Attorney General and the Department of Personnel‘s Sexual
Harassment/Discrimination Unit. The agency coordinator will complete the complaint intake
report and obtain a completed copy of the complaint form from the employee filing the
complaint. The coordinator will forward a copy of the completed intake report to the agency‘s
Deputy Attorney General and the Sexual Harassment/Discrimination Unit, along with any
supporting documentation.
2. After receipt of the intake report and original complaint form, an investigator in the
Sexual Harassment/Discrimination Unit will schedule an initial interview with the agency‘s
coordinator and appropriate management personnel to gather information relevant to the
complaint as well as any essential organizational background.
3. The investigator will begin the investigation as soon as witnesses are available.
4. Investigations will be conducted discreetly, with as little disruption to the
workplace as possible. All information gathered in an investigation will be confidential,
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and the confidential nature of the investigative process will be conveyed to the
complainant, the accused, and each witness.
5. The investigator will prepare a written report of findings, which will be submitted to the
department director and the agency‘s Deputy Attorney General. It is important to note that the
ultimate decision for remedial action is the responsibility of the appointing authority; however,
the investigation staff may suggest mediation services, if appropriate.
6. If findings substantiate sexual harassment or discrimination, the investigator will also
provide a copy of the report to the Tort Claims Administrator in the Attorney General‘s office.
7. After the investigation has been completed, the department director will determine the
appropriate resolution of the case. If warranted, the agency, after consultation with their Deputy
Attorney General or staff counsel assigned to represent the agency pursuant to State
Administrative Manual § 1702, shall take disciplinary action up to and including termination.
The agency shall retain a written record of the findings of the investigation and the resolution of
the complaint as confidential records.
8. The agency shall notify both the complainant and the accused in writing as to whether
the investigation disclosed sexual harassment or discrimination. If the investigation disclosed
sexual harassment or discrimination, the agency shall take appropriate corrective action and
advise the complainant that appropriate corrective action has been taken. Further misconduct
by the accused should be immediately reported to the agency coordinator and the Sexual
Harassment/Discrimination Unit. Corrective action that involves discipline of the accused is
confidential pursuant to NAC 284.718 and must not be disclosed except as authorized pursuant
to NAC 284.726.
C. COMPLAINT SUBMITTED THROUGH THE HOTLINE
1. When an employee transmits a complaint of sexual harassment or discrimination
through the hotline, the Sexual Harassment/Discrimination Unit will complete the initial intake
report.
2. The employee will be asked to submit the completed complaint form to the investigation
staff.
3. The investigator will forward a copy of the complaint form to the appropriate agency
coordinator and the agency‘s Deputy Attorney General.
4. The investigation will then proceed as described for complaints submitted to Department
directors (see Item VI-B).
Document in Microsoft Internet Explorer
11/7/03
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APPENDIX 1
SUPPLEMENTAL POLICIES
In addition to the internal policies and procedures developed specifically for the Office of
the Labor Commissioner, there are a number of other state policies and procedural
requirements that state agencies are required to follow. The following links will connect
you with these policies and procedures.
ADMINISTRATIVE RULEMAKING
IFS-HR PROCEDURES
http://www.ifs.intranet.state.nv.us/IFS-HR_Procedures.htm
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